Agenda, regular meeting — Sonoma City Council, October 14, 2024 (part 1 of 3)

City Council:

John Gurney, Mayor
Patricia Farrar-Rivas, Vice
Mayor
Jack Ding
Sandra Lowe
Ron Wellander

REGULAR MEETING AGENDA

OF THE SONOMA CITY COUNCIL
City Council Chambers, 177 First Street West
Monday, October 14, 2024
https://us06web.zoom.us/j/84876986131
6:00 PM Regular Meeting

ACCESSING PUBLIC MEETINGS
As a public service to the community, City Council meetings are held in-person, and viewable through a live webcast on the City’s CivicWeb Portal at https://sonomacity.civicweb.net/Portal/Video.aspx, City of Sonoma YouTube channel at https://www.youtube.com/channel/UChZjUrg2rNLYxTgQHhFy-Tg, and televised on Comcast Cable Channel 27. Members of the public can also view the meeting via ZOOM, at https://us06web.zoom.us/j/84876986131.

If a technical issue arises with Zoom video or the listening phone dial-in option, the City Council meeting will continue unless a Council Member is participating remotely pursuant to the provisions of Assembly Bill 2449.

Members of the public who wish to address the Council by providing public comments during the meeting may do so in-person in the Council Chambers at 177 First Street West, where the meeting is being publicly held. As an alternative, members of the public may also provide written public comment submitted via the City’s online Public Comment form at https://sonomacity.civicweb.net/Portal/CitizenEngagement.aspx or by email to:
[email protected]
PROCESS FOR COMMENTS FROM THE PUBLIC: There will be two opportunities for members of the public to address items not appearing on the agenda. The early public comment period, Agenda Item 1, will be limited to ten speakers. Each speaker will be allowed up to two minutes. Speakers who do not have an opportunity to speak during this time will be allowed to make their comments under the later public comment, Agenda Item 10.

When the Mayor announces these agenda items, please form a line to speak.

In the event a Council Member participates remotely for just cause or an emergency circumstance under Assembly Bill 2449, the City will allow for public comment through the Zoom link.

In accordance with the Americans with Disabilities Act, if you need special assistance to participate in this meeting, please contact the City Clerk (707) 933-2216. Notification 48 hours before the meeting will enable the City to make reasonable arrangements to ensure accessibility to this meeting.

Be Courteous - TURN OFF your cell phones and watches while the meeting is in session.

The City Council may discuss and/or take action on any or all of the items listed on the agenda irrespective of how the items are described.

No new items will begin after 9:00pm unless a majority of the members present vote to allow the items to be heard.

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Page
6:00 P.M. – REGULAR MEETING

1. PRESENTATIONS

2. COMMENTS FROM THE PUBLIC
At this time members of the public may address the Council on matters not listed on this agenda, but which are within the subject matter jurisdiction of the Council. This public comment period will be limited to ten speakers. Each speaker will be allowed up to two minutes.

Speakers who do not have an opportunity to speak during this time will be allowed to make public comments under Agenda Item 10 - SECOND PUBLIC COMMENT. Please form a line to speak.

Under State Law, unless otherwise permitted under the Ralph M. Brown Act, the merits of the matters presented under this item cannot be discussed or acted upon by the City Council at this time. For items appearing on the agenda, the public will be invited to make comments at the time the item comes up for Council consideration. Please begin by stating your name.

3. MEETING DEDICATIONS

4. COUNCILMEMBERS’ REPORTS AND COMMENTS
Committee Reports - Council Members are appointed to various boards and committees - local, county-wide and regional. Any updates from a council member will be shared at this time.

A list of all appointments is available on our City Website for easy reference.

Council Members may also make appointments to city commissions at this time.

5. CITY MANAGER COMMENTS AND ANNOUNCEMENTS

6. CITY ATTORNEY COMMENTS

7. CONSENT CALENDAR – CITY COUNCIL
All items listed on the Consent Calendar are considered to be routine and will be acted upon by a single motion. There will be no separate discussion of these matters unless members of the Council or staff request specific items to be removed for separate action.

7.1: Waive further reading and Authorize Introduction and/or Adoption of Ordinances by Title Only. (Standard procedural action - no backup information provided)

7.2: Accept Minutes from the Regular Meeting of September 18, 2024 (Rebekah Barr, MMC, City Clerk)
RECOMMENDATION: Accept Minutes.

09.18.2024 Regular Meeting Minutes
5 - 7

7.3: Adopt a Resolution Reviewing the 5th Street East and East MacArthur Street Emergency Storm Drain Contract and Determining that the Emergency Contract has Concluded and Terminating the Emergency Action (Michael Berger, Public Works Director)
RECOMMENDATION: Adopt the resolution.

Agenda Report - 5th Street E and E MacArthur Street Emergency Storm Drain Contract - Pdf
8 - 12

7.4: Adopt a Resolution Authorizing the City Manager to Accept the Grant Funds and Execute Sub Award Agreements with the City of Petaluma, County of Sonoma, and County of Napa for the North Bay Water Quality Partnership Project (Ashley Cotter, Public Works Admin & Project Manager) RECOMMENDATION: Adopt the resolution.
13 - 103

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Agenda Report - North Bay Water Quality Partnership Grant - Pdf

7.5: Adopt a Resolution to Authorize the City Manager to Execute Maintenance Service Agreements with Bartlett Tree Experts and A Plus Tree, LLC, both in an Amount Not to Exceed $75,000 Annually to Provide On-Call Tree Maintenance Services (Ashley Cotter, Public Works Admin & Project Manager) RECOMMENDATION: Adopt the resolution.

Agenda Report - Tree Maintenance Contracts - Pdf
104 - 201

7.6: Adopt a Resolution Approving a Time Extension Request to Implement the Required Subdivision Improvements for 369 West Napa Known as Bevan Minor Subdivision (Jennifer Gates, AICP, Community Development Director) RECOMMENDATION: Adopt the resolution.

Agenda Report - SIA Amendment 369 W Napa - Pdf
202 - 210

7.7: Adopt a Resolution Amending the FY24-25 Budget and Allocating $41,410 within Fund 731 Senior Housing (Jennifer Gates, AICP, Community Development Director)
RECOMMENDATION: Adopt the resolution.

Agenda Report - Fund 731 Budget Amendment - Pdf
211 - 263

7.8: Adopt a Resolution Authorizing the City Manager to Execute a Sub-Award Agreement with Sonoma County Water Agency for the Sonoma-Marin Drought Resiliency Program (Ashley Cotter, Public Works Admin & Project Manager) RECOMMENDATION: Adopt the resolution.

Agenda Report - Grant Sub-Award Agreement - Pdf
264 - 346

8. PUBLIC HEARING

9. REGULAR CALENDAR – CITY COUNCIL
(Matters requiring discussion and/or action by the City Council)

9.1: Appointment of Youth Members to Group A Commissions (Rebekah Barr, MMC, City Clerk)
RECOMMENDATIONS: Appoint one Youth Member to the Climate Action Commission, Cultural & Fine Arts Commission, Design Review & Historic Preservation Commission, Parks, Recreation & Open Space Commission, and Traffic Safety Committee by majority vote of the City Council.

Agenda Report - Commission Appointments - Pdf
347 - 360

9.2: Presentation Regarding the City of Sonoma's Approach for Repair of Existing Sidewalks and Construction of New Sidewalks (Michael Berger, Public Works Director)
RECOMMENDATION: Provide direction on potential changes to City Policies and/or the Municipal Code concerning sidewalk repair and new construction requirements.

Agenda Report - Sidewalk Program - Pdf
361 - 370

9.3: Introduce an Ordinance Establishing Administrative Remedies Procedure for Challenges to Fees, Charges, and Assessments (David Ruderman, City Attorney)
RECOMMENDATION: Introduce the ordinance establishing an administrative remedies procedure for challenges to fees, charges, and assessments.

Agenda Report - Ordinance Introduction - Pdf
371 - 375

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9.4: Resolution Adopting the City’s 2024 Investment Policy (Prapti Aryal, Finance Director)
RECCOMMENDATION: Adopt the resolution.

Agenda Report - 2024 Investment Policy - Pdf
376 - 398

9.5: A Resolution Authorizing the City Manager to Execute a Professional Service Agreement with Optimized Investment Partners for Investment Advisory Services (Prapti Aryal, Finance Director)
RECOMMENDATION: Adopt the resolution.

Agenda Report - Optimized Investment Partners PSA - Pdf 399 - 430

10. SECOND PUBLIC COMMENT
At this this time members of the public who did not have the opportunity to speak during the early comment period may address the Council on matters not listed on this agenda, but which are within the subject matter jurisdiction of the Council. Each speaker will be allowed up to two minutes. Please form a line to speak.

11. ADJOURNMENT
I do hereby certify that a copy of the foregoing agenda was posted as legally required. Rebekah Barr, MMC, City Clerk.
*********************************************************************************************************************************** Copies of all staff reports and documents subject to disclosure that relate to any item of business referred to on the agenda are usually available for public inspection the Wednesday before each regularly scheduled meeting at City Hall, located at No. 1 The Plaza, Sonoma CA. Any documents subject to disclosure that are provided to all, or a majority of all, of the members of the City Council regarding any item on this agenda after the agenda has been distributed will be made available for inspection at the City Clerk’s office, No. 1 The Plaza, Sonoma CA during regular business hours. If you challenge the action of the City Council in court, you may be limited to raising only those issues you or someone else raised at the public hearing described on the agenda or in written correspondence delivered to the City Clerk at or prior to the public hearing.

City of Sonoma's Commission and Committee Roster: Commission & Committee Roster 6/21/2024 Appointments to Commission/Committees: The Council may establish and make appointments to a Council committee (made up of two Council Members) with respect to any item appearing on this agenda.

Closed Session: If action is taken during a Closed Session meeting that is required to be reported out at this meeting, the Council will return to Open Session and report out immediately. However, if the Council is unable to do so due to time constraints, it will report out at the immediately following Regular Council Meeting under "REPORT ON CLOSED SESSION".

Motion for Consideration: A Council Member voting with the majority on any item appearing on this agenda may move for reconsideration of that vote provided the motion is in conformance with the rules adopted by the Council governing such motions.

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City Council:

John Gurney, Mayor
Patricia Farrar-Rivas, Vice Mayor
Jack Ding
Ron Wellander
Sandra Lowe

REGULAR MEETING MINUTES

OF THE SONOMA CITY COUNCIL
City Council Chambers
177 First Street West
Wednesday, September 18, 2024

6:00 PM Regular Meeting
Regular Meeting Minutes, September 18, 2024
6:00 P.M. – REGULAR MEETING

CONVENE, CALL TO ORDER, & PLEDGE OF ALLEGIANCE
Vice Mayor Farrar-Rivas called the meeting to order at 6:00 p.m.

ROLL CALL
PRESENT: Council Member Wellander, Council Member Lowe, Council Member Ding, Vice Mayor Farrar-Rivas, and Mayor Gurney

REPORT ON CLOSED SESSION
There was no Closed Session held.

APPROVAL OF AGENDA
Motion by Vice Mayor Farrar-Rivas, seconded by Council Member Ding, to approve the Consent Calendar as presented. Motion carried unanimously.

1. PRESENTATIONS
Item 1.1: Evacuation and Emergency Preparedness Update from Chief of Police Cutting

2. COMMENTS FROM THE PUBLIC
Jim Silverman provided public comment.

3. MEETING DEDICATIONS
None.

4. COUNCILMEMBERS’ REPORTS AND COMMENTS
Council Member Wellander attended the After Fire Conference at Hanna Boys Center and provided a welcome to all attendees.

Council Member Lowe attended a Sonoma County Transportation Authority meeting on September 8, 2024, where she brought up the issues of the heavy traffic congestion at the intersection of Highway 116 and 121.

Vice Mayor Farrar-Rivas attended an event out on by the Bay Area Council called “Climate the New Frontier” which was led by California Lieutenant Governor Kounalakis.

On September 12, 2024, Mayor Gurney attended a Sonoma Tourism Improvement District meeting.

On September 16 and 17, respectively, he also attended a local radio KSVY event and a Finance Committee meeting. Mayor Gurney also shared that everyone within the city limits should have received information in the mail about the upcoming Measure T, which will be on the November 2024 ballot. He also shared that the City is currently seeking applications to fill the Library Commissioner position which sits on the County Library Commission.

5. CITY MANAGER COMMENTS AND ANNOUNCEMENTS
City Manager Guhin notified the public that the City’s YouTube is currently experiencing some issues and cannot livestream the meeting. However, streaming via KSVY’s YouTube and the City of Sonoma’s CivicWeb website is still available. Mr. Guhin shared that the City is currently working with Sonoma Libraries and the County Department of Emergency Management to use the local library as a cooling and warming center moving forward. Additional details will be shared with the community as the City moves through the project. City Manager Guhin shared that the two allelectric Ford trucks that the Council approved at the previous meeting have already been put to use at Public Works. Mr. Guhin announced to the Council and community that commencing October 7, 2024, City Hall’s front desk hours will be extended. City Hall will now be open from 8:00 a.m. to 5:00 p.m., Monday through Thursday, including during the lunch hour. Appointments can be made with individual staff members on Fridays. Mr. Guhin reminded the Council that he would be at the International City Managers Association meeting starting September 21 – 25, 2024. Lastly, he welcomed new staff members Diane Levine and Jacob Dunn to the City’s Planning Department team, acknowledging that the Planning Department is now fully staffed.

6. CITY ATTORNEY COMMENTS
None.

Agenda Item #7.2:

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Regular Meeting Minutes, September 18, 2024

7. CONSENT CALENDAR – CITY COUNCIL
Motion by Council Member Ding, seconded by Council Member Lowe, to approve the Consent Calendar as presented. Motion carried unanimously.

Item 7.1: Waive further reading and Authorize Introduction and/or Adoption of Ordinances by Title Only. (Standard procedural action - no backup information provided)
Item 7.2: Receive the Minutes from the Regular Meeting of September 4, 2024 (Rebekah Barr, MMC, City Clerk)
Action: The minutes were received.

Item 7.3: Accept the Expenditure Report for the Month of August 2024 (Prapti Aryal, Finance Director)
Action: The expenditure report was accepted.

Item 7.4: Adopt a Resolution Authorizing the City Manager to Execute a Professional Services Agreement with GHD Inc. for Design of the Citywide Safety Bicycle and Pedestrian Improvements (CIP T-6) in the amount of $382,430 (Mike Berger, Public Works Director)
Action: Adopted as Resolution 73-2024.

Item 7.5: Adopt a Resolution Authorizing the City Manager to Execute a Professional Services Agreement with Keyser Marston Associates in an Amount Not to Exceed $108,000 to Complete Housing Element Required Analyses (Jennifer Gates, AICP, Community Development Director)
Action: Adopted as Resolution 74-2024.

Item 7.6: Adopt a Resolution Reviewing the 5th Street East and East MacArthur Street Emergency Storm Drain Contract and Determining There is a Need to Continue the Action (Mike Berger, Public Works Director)
Action: Adopted as Resolution 75-2024.

Item 7.7: Adopt a Resolution Cancelling the Regular Meeting Scheduled for October 2, 2024, Scheduling a General Plan Special Study Session and Regular Meeting on October 14, 2024, and Scheduling an Additional Regular Meeting on October 21, 2024 (Rebekah Barr, MMC, City Clerk)
Action: Adopted as Resolution 76-2024.

8. PUBLIC HEARING
None.

9. REGULAR CALENDAR – CITY COUNCIL
Item 9.1: Hold a Public Meeting to Renew the Sonoma Tourism Improvement District (David Guhin, City Manager)
Action: The public meeting was held.

Item 9.2: Adopt a Resolution Approving the Dedication of France Street Bridge to Former Mayor Larry Murphy and a Resolution Adopting a City Property and Infrastructure Naming Policy (Sarah Tracy, Senior Management Analyst/PIO) Action: Adopted as Resolution 77-2024 and Resolution 78-2024.

Motion by Council Member Lowe, seconded by Vice Mayor Farrar-Rivas, to Adopt a Resolution Approving the Dedication of France Street Bridge to Former Mayor Larry Murphy and Adopting a City Property and Infrastructure Naming Policy. Motion carried unanimously.

Item 9.3: Adopt a Resolution Approving the Temporary Use of Field of Dreams "Fazio Field" by Transcendence Theater Company for a Summer Event Series June 2-22, August 1-17 and August 29- September 15, of 2025. The proposed resolution is exempt from the California Environmental Act (CEQA) under Sections 15304 (minor alterations of land), 15323 (normal operations of facilities for public gatherings) and 15061(b)(3) (common sense exemption) of the CEQA Guidelines (Lisa Janson, Senior Management Analyst)
Action: Adopted as Resolution 79-2024.

Public Comment: Bill Lynch, Steve Kyle, and Judith Walsh.

Motion by Council Member Ding, seconded by Vice Mayor Farrar-Rivas, to Adopt a Resolution Approving the Temporary Use of Field of Dreams, “Fazio Field”, by Transcendence Theater Company for a Summer Event Series June 2-22, August 1-17, and August 29 – September 15 of 2025. Motion carried unanimously.

Agenda Item #7.2:

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Regular Meeting Minutes, September 18, 2024
Item 9.4: Designate the City of Sonoma Voting Delegate for the 2024 League of California Cities Annual Conference and Provide Direction on Proposed Resolution (Rebekah Barr, MMC, City Clerk)
Action: Council Member Ding, with Mayor Gurney as an alternate, was designated as the City of Sonoma Voting Delegate for the 2024 League of California Cities Annual Conference and directed to vote no on the proposed resolution.

Motion by Council Member Lowe, seconded by Mayor Gurney, to designate Council Member Ding as the City of Sonoma Voting Delegate for the 2024 League of California Cities Annual Conference.

Motion carried unanimously.

Motion by Mayor Gurney, seconded by Council Member Lowe, to direct Council Member Ding to vote “No” on the proposed resolution at the 2024 League of California Cities Annual Conference.

Motion carried unanimously.

Mayor Gurney called for a recess at 7:40 p.m.; Council reconvened at 7:45 p.m.

Item 9.5: Adopt a Resolution Authorizing the City Manager to Execute a Professional Services Agreement with Hinderliter De Llamas & Associates (HdL Companies) for Business License Administrative Services, Short Term Rental (STR) Administrative Services and Transient Occupancy Tax (TOT) Administrative Services (Jennifer Gates, AICP, Community Development Center and Prapti Aryal, Finance Director) Action: Adopted as Resolution 80-2024.

Motion by Vice Mayor Farrar-Rivas, seconded by Council Member Lowe, to Adopt a Resolution Authorizing the City Manager to Execute a Professional Services Agreement with Hinderliter De Llamas & Associates (HDL Companies) for Business License Administrative Services, Short Term Rental (STR) Administrative Services and Transient Occupancy Tax (TOT) Services. Motion carried unanimously.

Item 9.6: A Resolution Authorizing the City Manager to Execute a Professional Service Agreement with OpenGov for Cloud Budgeting & Planning Software and Implementation (Prapti Aryal, Finance Director)
Action: Adopted as Resolution 81-2024.

Motion by Council Member Ding, seconded by Vice Mayor Farrar-Rivas, to Adopt a Resolution Authorizing the City Manager to Execute a Professional Services Agreement with OpenGov for Cloud Budgeting & Planning Software and Implementation. Motion carried unanimously.

Item 9.7: Update on Fiscal Year 2023-24 Year End (Prapti Aryal, Finance Director) Action: The fiscal year 2023-24 year-end update was received.

10. SECOND COMMENTS FROM THE PUBLIC
None.

10. ADJOURNMENT
Mayor Gurney adjourned the meeting at 8:28 p.m.

I HEREBY CERTIFY that the foregoing minutes were duly and regularly received at a regular meeting of the Sonoma City Council on the 14th of October 2024. ____________________________________
Rebekah Barr, MMC, City Clerk
Agenda Item #7.2:

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City of Sonoma
Agenda Item Summary
Meeting: City Council - 14 Oct 2024
Department
Public Works
Staff Contact
Michael Berger, Public Works Director
Agenda Item Title
Adopt a Resolution Reviewing the 5th Street East and East MacArthur Street Emergency Storm Drain Contract and Determining that the Emergency Contract has Concluded and Terminating the Emergency Action
Summary
On September 4th, the City Council authorized an emergency contract with Granite, Inc. for emergency storm drain repairs at the intersection of Fifth Street East and East MacArthur Street. Under Public Contract Code 20168 and 22050, the City Council may, upon a four-fifths vote, declare that public interest and necessity demand the immediate expenditure of public money to safeguard life, health, or property because of an emergency, and repair or replace a public facility, take directly related and immediate action required by that emergency, and procure the necessary equipment, services, and supplies for those purposes, without giving notice for bids to acquire contracts. Once authorized, the City Council shall review the emergency action at its next regularly scheduled meeting and every regularly scheduled meeting thereafter until the action is terminated, to determine, by a four-fifths vote, that there is a need to continue the action until the contract is complete.

At the September 18th regular City Council meeting, Public Works staff provided an update to City council -- the contract documents were processing, and work was scheduled to begin on September 23rd -- and the Council approved continuing with the work. Work did start on September 23rd, and the work was completed by Thursday October 3rd. All equipment and barriers have been removed from the job site. Public Works staff replaced the striping at the intersection. Public Works is currently processing the Notice of Completion and processing payment for the completed project.

Under Public Works Code section 22050, subdivision (c), the City Council “shall terminate the action at the earliest possible date that conditions warrant." Because Public Works has determined that the project is substantially complete, it recommends the Council terminate its emergency action.

Recommended Council Action
Adopt the attached resolution reviewing and terminating the Council's emergency action.

Alternative Actions
Council discretion.

Financial Impact
Agenda Item #7.3:

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The City Council approved a construction contract for $163,250, and a total project budget of $189,599.41 at the September 4th City Council Meeting. No additional funding is needed at this time.

Environmental Review Status
Environmental Impact Report
Negative Declaration
Exempt
Not Applicable
Approved/Certified
No Action Required
Action Requested
Attachments
Resolution
Agenda Item #7.3:

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City of Sonoma
RESOLUTION # ____ - 2024

RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SONOMA REVIEWING THE EMERGENCY ACTION TAKEN UNDER RESOLUTION 72-2024 AUTHORIZING THE CITY

MANAGER TO EXECUTE CONSTRUCTION CONTRACTS FOR URGENT AND NECESSARY REPAIRS TO THE INTERSECTION OF 5TH STREET EAST / EAST

MACARTHUR STREET AND DETERMINING THAT THE ACTION IS CONCLUDED AND SHALL BE TERMINATED PURSUANT TO PUBLIC CONTRACTS CODE § 22050 WHEREAS, 5th Street East, classified as a local road, and East MacArthur Street, classified as a collector road, are within the jurisdiction of the City of Sonoma (the “City”) and the City is responsible for the traffic control, safety, and maintenance of these roads; and WHEREAS, on or about late March 2024, City crews noticed a sink hole developing in the roadway pavement at the intersection of 5th Street East and East MacArthur Street (the “Intersection”) and it was determined that a significant void was under the asphalt concrete (“AC”), and that the AC bridged a large void extending approximately 9’ x 11’; and WHEREAS, the City Public Works determined the apparent cause of the void is a deteriorated City storm drain pipe in the Intersection; and
WHEREAS, the City initiated a plan and the engineered plan for immediate replacement and construction of the storm drain and pavement, however, to avoid further damage to the Intersection, the repairs must be done before the winter rains; and WHEREAS, traffic has been diverted away from the sink hole over traffic plates, and wet weather or continued expansion of the sink hole will impede the safe and orderly flow of traffic, such that unsafe conditions exist and immediate repairs are needed to avoid danger to the public; and
WHEREAS, the repairs to the Intersection are within the definition of a “public project” as defined in Section 22002 of the California Public Contract Code (“PCC”), and a notice for bids to let contracts is required except in emergencies; and
WHEREAS, under the PCC §§ 20168 and 22050, the City Council may, upon a four-fifths vote, declare that public interest and necessity demand the immediate expenditure of public money to safeguard life, health, or property because of an emergency, and repair or replace a public facility, take any directly related and immediate action required by that emergency, and procure the necessary equipment, services, and supplies for those purposes, without giving notice for bids to let contracts; and
WHEREAS, on September 4, 2024, by a four-fifths vote, the City Council of the City of Sonoma adopted Resolution 72-2024, declaring that public interest and necessity demanded the immediate expenditure of public money to safeguard life, health, or property because of an emergency related to the sink hole at 5th Street East and East MacArthur Street, and authorizing the repair of this public facility, taking any directly related and immediate action required by that emergency, and procuring the necessary equipment, services, and supplies for those purposes, without giving notice for bids to let contracts; and WHEREAS, on September 18th, the City Council reviewed the emergency action related to the sink hole determined, based on substantial evidence in the entire record, that there was a need Agenda Item #7.3:

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to continue the action and authorizations set forth in Resolution 72-2024; and WHEREAS, work on the sink hole began on September 23rd, and was substantially completed by October 3rd; and
WHEREAS, the required repairs to the Intersection are exempt from review under the California Environmental Quality Act of 1970, as amended, Public Resources Code section 21000 et seq. (“CEQA”) under Section 15269, subdivision (a) of the CEQA Guidelines because the emergency repair to this public facility is necessary to maintain service essential to the public, health and welfare.

NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Sonoma finds, orders, and resolves as follows:

SECTION 1: The recitals above are true and correct and incorporated herein by this reference.

SECTION 2: The City Council has considered all the evidence submitted into the administrative record, which includes, but is not limited to:
a. Agenda reports prepared by the Public Works Director for the meeting on September 4, 2024, September 18, 2024, and October 14, 2024.
b. Staff presentation (if any) at the meeting held on September 4, 2024, September 18, 2024, and October 14, 2024, before the City Council.
c. The City of Sonoma Municipal Code, and all other applicable regulations and codes. d. Public comments, both written and oral, received and/or submitted at or prior to the meetings referenced above.
e. All related documents received and/or submitted at or prior to the September 4, 2024, September 18, 2024, and October 14, 2024, meetings. f. All staff reports, presentations, public comments, both written and oral, and any related documents received/submitted after September 4, 2024, September 18, 2024, and October 14, 2024, meetings including updates on the emergency and status of repairs.

SECTION 3: The City Council has reviewed the emergency action related to the sink hole at this regular meeting and determined, based on substantial evidence in the entire record, that the project has concluded, the authorizations set forth in Resolution 72-2024 are complete, and the emergency action is hereby terminated.

SECTION 4: City Staff has reported to City Council that the project has completed at the October 14, 2024, City Council Meeting, and there is no need for additional updates.

RESOLVED AND ADOPTED this 14th day of October, 2024 by the following vote:

AYES:

NOES:

ABSENT:

ABSTAIN:
_________________________________
John Gurney, Mayor
ATTEST:

Agenda Item #7.3:

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_________________________________
Rebekah Barr, MMC, City Clerk
Agenda Item #7.3:

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City of Sonoma
Agenda Item Summary
Meeting: City Council - 14 Oct 2024
Department
Public Works
Staff Contact
Ashley Cotter, PW Admin & Project Manager
Agenda Item Title
Adopt a Resolution Authorizing the City Manager to Accept the Grant Funds and Execute Sub Award Agreements with the City of Petaluma, County of Sonoma, and County of Napa for the North Bay Water Quality Partnership Project
Summary
In Fiscal Year 2023-24, the City of Sonoma applied to the San Francisco Water Quality Improvement Fund which is administered through the Environmental Protection Agency (EPA).

The City of Sonoma applied as the lead agency, with the City of Petaluma, and the counties of Sonoma, Marin, and Napa as partners. Secondary members of this partnership include Marin County and Sonoma Water; however, they are not receiving grant funds as part of this project.

The proposed project for the grant was called the North Bay Water Quality Partnership Project.

The grant was awarded to the City of Sonoma as the lead applicant on June 24, 2024. The City of Sonoma had applied for this funding opportunity in partnership with the other agencies in FY 22-23 as well, however, they were not selected.

The total project cost for this program is $3,053,339. This includes funding from the EPA of $1,526,621, and a local match of $1,526,621. The grant application included a project budget which allocates funding per agency based on their proposed project. Part of the application included a detailed work plan of the activities that each local agency would be doing as part of this project. These activities include wetland restoration, large trash capture device installation, and a Streets to Creeks media campaign educating North Bay residents on stormwater pollution. This grant provides funding for all agencies for required trash capture needs and provide support to meet compliance goals for each agency's MS4 permit. The funding will help meet current unfunded infrastructure implementation projects required under MS4 Storm Water permits and demonstrate meaningful actions to meet the regional trash amendments, which require 100% trash capture by 2030.

The proposed projects specific to the City of Sonoma are: 1) implementing CIP-CD3 trash capture infrastructure at Leveroni and Broadway as budgeted to treat water from 33% of the City’s greatest stormwater source of trash; 2) required stormwater outreach program funding the Streets to Creeks campaign; 3) habitat improvement with wetland management and monitoring on the St. Francis Preserve.

As the lead agency, the City of Sonoma has been awarded the funds in its entirety, however, the City must ensure that the participating agencies get their allocation in order for their projects to move forward. The sub-award agreement is between the City and each participating agency and will allow for participating agencies to be paid for the work done as part of the project.

These agreements also have agreed responsibilities for participating agencies and the City of Sonoma as the lead agency. This agreement was worked on in collaboration with the City of Sonoma, all participating agencies, and the EPA. These agreements have been reviewed by each agency's legal department and have been vetted through their council. The agreements Agenda Item #7.4:

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have three exhibits: Exhibit A - EPA agreement, Exhibit B - EPA General Terms and Conditions, Exhibit C - Project Scope and Budget (included in the sub award agreements).

Recommended Council Action
Authorize the City Manager to accept the award of the grant funds and execute sub-award agreements with the City of Petaluma and Counties of Sonoma and Napa.

Alternative Actions
Council discretion.

Financial Impact
This grant is administered on a reimbursement basis, and each participating agency is responsible for their local match. The City of Sonoma has committed to two projects as part of this project - large trash capture installation at Broadway and Leveroni and habitat improvement with wetland management at the St. Francis Reserve. This requires an overall match of $388,060, with grant funds contributing $388,060 for a total project cost of $776,119. The City had currently has $158,400 budgeted towards our $388,060 match requirement. More funding will be budgeted from fund 301 in subsequent Capital Improvement Program budgets. The grant term is through 2028, and staff is currently planning for construction of these projects during Fiscal Year 2026 or 2027.

The remaining grant funds would be dispersed to the participating agencies as parts of their projects are completed and submitted for reimbursement. The sub-award agreement ensures that the participating agencies receive the funding required for their respective projects.

Environmental Review Status
Environmental Impact Report
Negative Declaration
Exempt
Not Applicable
Approved/Certified
No Action Required
Action Requested
Attachments
Resolution
Sub Award Agreement - City of Petaluma
Sub Award Agreement - County of Sonoma
Sub Award Agreement - County of Napa
Exhibit A: EPA Grant Agreement
Exhibit B: EPA General Terms and Conditions
Agenda Item #7.4:

Page 14 of 430 ends

City of Sonoma
RESOLUTION # ___- 2024

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SONOMA AUTHORIZING THE

CITY MANAGER TO ACCEPT THE GRANT FUNDS AND EXECUTE SUBAWARD

AGREEMENTS WITH THE CITY OF PETALUMA, AND THE COUNTIES OF SONOMA AND

NAPA FOR THE NORTH BAY WATER QUALITY PARTNERSHIP PROJECT WHEREAS The City of Sonoma applied as the lead agency with the City of Petaluma, Counties of Sonoma and Napa, and secondary partners Sonoma Water and Marin County as, for the San Francisco Water Quality Improvement Fund as the North Bay Water Quality Partnership Project; and
WHEREAS, The City of Sonoma was awarded the grant in June 2024, which included grant funds of $1,526,621 and a local match of $1,526,621, for a total project cost of $3,053,339; this grant is administered through the Environmental Protection Agency; and WHEREAS, each participating agency receiving funding is responsible for their portion of the local match and project obligations as outlined in the sub-award agreement; and WHEREAS, these projects include items such as large trash capture installation, habitat improvement, and required stormwater outreach; and
WHEREAS, the participating agencies have worked in conjunction with the Environmental Protection Agency to develop sub-award agreements, these agreements will allow the participating agencies to receive their allocated grant funding and clearly outline roles and responsibilities of the City of Sonoma as the lead agency and subsequent participating agencies.

NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Sonoma hereby adopts this resolution to authorize the City Manager to accept the grant funds and execute subaward agreements with the City of Petaluma, and the Counties of Napa and Sonoma for the North Bay Water Quality Partnership Project.

RESOLVED, PASSED, AND ADOPTED this 14th day of October 2024 by the following vote:

AYES:

NOES:

ABSENT:

ABSTAIN:
________________________________
John Gurney, Mayor
ATTEST:
________________________________
Rebekah Barr, MMC, City Clerk
Agenda Item #7.4:

Page 15 of 430 ends

377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 1

FUNDING AGREEMENT FOR THE

CITY OF PETALUMA NORTH BAY WATER QUALITY PARTNERSHIP PROJECT This Funding Agreement (“Agreement”), dated ___________________, 2024 (“Effec�ve Date”) is between the City of Sonoma, a municipal corpora�on (“Sonoma”) and the City of Petaluma, a Municipal Corpora�on (“Petaluma”), collec�vely the Ci�es.

RECITALS
A. The City of Sonoma is the lead applicant on the North Bay Water Quality Partnership Project grant applica�on to the EPA’s San Francisco Bay Water Quality Improvement Fund.

B. The City of Petaluma was a partner in developing the grant applica�on and has two (2) grantfunded projects in the awarded grant.

C. The City of Sonoma and the City of Petaluma share the goal of increasing resilience to climate change by promo�ng na�ve plants, op�mizing infrastructure, and implemen�ng a tailored stormwater outreach program in compliance with Phase II MS4 permit requirements.

D. The City of Sonoma was awarded $3.1 million under the Environmental Protec�on Agency’s (“EPA”) San Francisco Bay Water Quality Improvement Fund (“Grant”) to fund projects that implement the restora�on of streams, wetlands, and the improvement of water quality, from the Napa River in the North Bay to the salt ponds in the South Bay.

E. The City of Sonoma and the City of Petaluma do mutually desire to cooperate in the implementa�on of the Ci�es’ projects in the grant award.

AGREEMENT
The City of Sonoma and the City of Petaluma agree as follows:

1. RECITALS
A. The above recitals are true and correct.

2. LIST OF EXHIBITS
A. The following exhibits are atached hereto and incorporated herein:
1) Exhibit A: Grant Agreement with EPA
2) Exhibit B: EPA General Terms & Condi�ons
3) Exhibit C: City of Petaluma Project Scope/Budget

3. DEFINITIONS
A. For the purposes of this Agreement the following terms and defini�ons shall be used:
1) Project scope as described in Exhibit A.
2) City of Sonoma Representa�ve. Sonoma staff assigned to perform Sonoma’s grant responsibili�es.
3) City of Petaluma Representa�ve. Petaluma staff assigned to perform Petaluma’s responsibili�es.

Agenda Item #7.4:

Page 16 of 430 ends

377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 2

4. COORDINATION
A. City of Petaluma shall work with the City of Sonoma’s Representa�ve. Contact Informa�on:

City of Sonoma City of Petaluma
City Representa�ve: Mike Berger, Public
Works Director, or assigned personnel
City Representa�ve: or assigned
personnel
Phone: 707 933 2230 Phone: 707 778 4314
Email: [email protected] Email: [email protected] City of Sonoma
No. 1 The Plaza
Sonoma, CA 9
City of Petaluma
202 N. McDowell Blvd
Petaluma, CA 94954

5. CITY OF PETALUMA’S RESPONSIBILITIES
The City of Petaluma shall assist with grant administra�on as follows:

A. Communica�on. Provide regular communica�on via email or phone with the City of Sonoma Representa�ve on Project progress, invoicing, repor�ng, and other issues as required.

B. Quarterly Invoices. Submit �mely invoices to the City of Sonoma for inclusion in the Quarterly Grant Invoice before the scheduled deadlines (Exhibit B).

C. Quarterly Reports. Compile and �mely submit progress updates, deliverables, etc. for inclusion in the Quarterly Report before the scheduled deadlines (Exhibit B).

D. Component Comple�on Report. Prepare and submit a Component Comple�on Report to the City of Sonoma within 90 calendar days of comple�on of the Project as described in Exhibit A.

E. Grant Compliance. Comply with all s�pula�ons in the grant agreement (Exhibit A), including compliance with procurement, Labor Code, nondiscrimina�on, record keeping, and acknowledgement provisions.

6. THE CITY OF SONOMA’S RESPONSIBILITIES
The City of Sonoma shall assist with grant administra�on as follows:

A. Communica�on. Provide regular communica�on via email or phone with City of Petaluma Representa�ve on Project progress, invoicing, repor�ng, and other issues as required.

B. Quarterly Invoices. Submit Quarterly Grant Invoices to EPA.

C. Quarterly Progress Reports. Submit Quarterly Reports to EPA.

D. Component Comple�on Report. Submit Component Comple�on Report to EPA within 90 calendar days of comple�on of the Project as described in Exhibit A.

7. FUNDING
A. Grant Funding:

Agenda Item #7.4:

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377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 3
1) The City of Sonoma will submit invoices and receive funds from EPA under the Grant based on ac�vi�es reported by City of Petaluma in accordance with Paragraph 5 of this Agreement.
2) City of Petaluma may receive $801,933 from the Grant per Exhibit A. Actual payments to City of Petaluma will be based on the invoices submited by the City of Petaluma and the amount authorized by EPA for reimbursement.

B. Grant Distribu�on. City of Petaluma shall report Project ac�vi�es and submit invoices quarterly to the City of Sonoma. The City of Sonoma will submit quarterly reports and invoices to the EPA. A�er the EPA completes their review and authorizes reimbursement, the City of Sonoma will distribute payments to City of Petaluma upon receiving the reimbursement from the EPA.

8. MUTUAL INDEMNIFICATION
A. City of Petaluma agrees to defend, indemnify, and hold the City of Sonoma, its officers, employees, and agents harmless from and against any and all liability, loss, expense, atorneys’ fees, or claims for injury or damages arising out of the performance of this Agreement but only in propor�on to and to the extent such liability, loss, expense, atorneys’ fees, or claims for injury or damages are caused by or result from the negligent or inten�onal acts or omissions of City of Petaluma.

B. The City of Sonoma agrees to defend, indemnify, and hold City of Petaluma, its officers, employees, and agents harmless from and against any and all liability, loss, expense, atorneys’ fees, or claims for injury or damages arising out of the performance of this agreement but only in propor�on to and to the extent such liability, loss, expense, atorneys’ fees, or claims for injury or damages are caused by or result from the negligent or inten�onal acts or omissions of City of Sonoma.

9. TERM OF AGREEMENT
A. This agreement shall remain in effect un�l [DATE], unless terminated earlier in accordance with the provisions of Paragraph 10 of this Agreement.

10. TERMINATION OF AGREEMENT
This Agreement may be terminated by a non-breaching party for breach of any obliga�on, covenant or condi�on hereof by the other party, upon no�ce to the breaching party. With respect to any breach which is reasonably capable of being cured, the breaching party shall have thirty (30) days from the date of the no�ce to ini�ate steps to cure. If the breaching party diligently pursues cure, such party shall be allowed a reasonable �me to cure, not to exceed sixty (60) days from the date of the ini�al no�ce, unless a further extension is granted by the non-breaching party.

On termina�on, the non-breaching party retains all rights to any remedy for breach of the whole contract or any unperformed balance. Sonoma’sright to terminate in compliance with this Sec�on may be exercised by City Manager.

11. EPA SUBAWARD POLICY
OVERVIEW: Program Offices may provide this subaward template to recipients of EPA financial assistance that are “pass-through en��es” as defined by 2 CFR 200.1 to assist them in complying Agenda Item #7.4:

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377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 4
with the “subaward content” requirements in 2 CFR 200.331(a). EPA does not mandate the use of this template. For purposes of this Agreement, the pass-through en�ty is Sonoma and the subrecipient is Petaluma.

Pass-through en��es may use their own form of subaward agreements provided the requirements of 2 CFR 200.331(a) are met. Any changes to the data elements that are required under 2 CFR 200.331(a) must be reflected in subsequent modifica�ons to subawards. If any of the informa�on required by 2 CFR 200.331(a) is not available, pass-through en��es must provide the best informa�on that is available to describe the Federal award and subaward.

Sec�on I. – Project: North Bay Water Quality Partnership subaward to City of Petaluma.

Sec�on II. Federal Requirements.

A. Federal Award Iden�fica�on: TBD
i. Subrecipient name: City of Petaluma
ii. The subrecipient DUNS number: [TO FILL IN]
iii. Federal Award Iden�fica�on Number (FAIN): [TBD]
iv. EPA Award Date: [TBD]
v. Subaward Period of Performance Start and End Date: [4yrs from Award Date] vi. Subaward Budget Period Start and End Date: [TBD]
vii. Amount of EPA Funds Obligated by the pass-through en�ty to the subrecipient:
$801,593.
viii. Total Amount of Federal Funds Obligated to the subrecipient by the pass-through en�ty including the current financial obliga�on: [TBD]
ix. Total Amount of the Federal Award commited to the subrecipient by the passthrough en�ty: [TBD] x. Federal award project descrip�on: [From award TBD]
xi. Informa�on iden�fying EPA as the Federal awarding agency, your organiza�on as the pass-through en�ty, and contact informa�on for your awarding official for the subaward: [TBA]
xii. Catalog of Federal Domes�c Assistance (CFDA) Number and Name for each EPA award used to support the subaward. CFDA informa�on for the pass-through en��es’ EPA award may be found on page 2 of EPA’s No�ce of Award form in the second chart under “EPA Award Informa�on”. (Note the Uniform Grant Guidance requires at 2 CFR 200.331(a)(1)(xi) that the Pass-through en��es iden�fy the dollar amount under each Federal award and the CFDA number at the �me of disbursement of Federal funds to the subrecipient so it is important for passthrough en��es to maintain accoun�ng records to meet this requirement. xiii. Iden�fica�on of whether the award is R & D: [TBD] xiv. Indirect cost rate for the Federal award (including if the de minimis rate is charged) per § 200.414. [TBD]
B. All “flow down” requirements imposed on the subrecipient by the pass-through en�ty to ensure that the EPA award is used in accordance with Federal statutes, regula�ons and Agenda Item #7.4:

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377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 5
the terms of the EPA award. The subrecipient is accountable to the pass-through en�ty for compliance with Federal requirements. In turn, the pass-through en�ty is responsible to EPA for ensuring that subrecipients comply with Federal requirements.

These requirements include, among others:
i. Title VI of the Civil Rights Act and other Federal statutes and regula�ons prohibi�ng discrimina�on in Federal financial assistance programs, as applicable. ii. Repor�ng Subawards and Execu�ve Compensa�on under Federal Funding Accountability and Transparency Act (FFATA) set forth in General Condi�on of the pass-through en�ty’s agreement with EPA en�tled “Repor�ng Subawards and Execu�ve Compensa�on.”
iii. Limita�ons on individual consultant fees as set forth in General Condi�on 2 CFR 1500.9 and the General Condi�on of the pass-through en�ty’s agreement with EPA en�tled “Consultant Fee Cap”.
iv. EPA’s prohibi�on on paying management fees as set forth in General Condi�on of the pass-through en�ty’s agreement with EPA en�tled “Management Fees.” v. The Procurement Standards in 2 CFR Part 200 including those requiring compe��on when the subrecipient acquires goods and services from contractors (including consultants).

12. ADDITIONAL REQUIREMENTS
A. Authority to Amend Agreement. Changes to the Agreement may be authorized only by writen amendment to this Agreement, signed by both par�es. Minor changes, which do not increase the amount paid under the Agreement, and which do not significantly change the Agreement or significantly lengthen �me schedules may be executed by the City of Petaluma’s Public Works Director in a form approved by its Counsel. Notwithstanding this authority, neither of the Ci�es is under any obliga�on to approve such amendments.

B. No Waiver of Breach. The waiver by Ci�es of any breach of any term or promise contained in this Agreement shall not be deemed to be a waiver of such term or promise or any subsequent breach of the same or any other term or promise contained in this Agreement.

C. Construc�on:
1) To the fullest extent allowed by law the provisions of this Agreement shall be construed and given effect in a manner that avoids any viola�on of statute, ordinance, regula�on, or law. The par�es covenant and agree that in the event that any provision of this Agreement is held by a court of competent jurisdic�on to be invalid, void, or unenforceable, the remainder of the provisions hereof shall remain in full force and effect and shall in no way be affected, impaired, or invalidated thereby.
2) The City of Petaluma and the City of Sonoma acknowledge that they have each contributed to the making of this Agreement and that, in the event of a dispute over the interpreta�on of this Agreement, the language of the Agreement will not be construed against one party in favor of the other. City of Petaluma and the City of Sonoma acknowledge that they have each had an adequate Agenda Item #7.4:

Page 20 of 430 ends

377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 6
opportunity to consult with counsel in the nego�a�on and prepara�on of this Agreement.

D. No Third-Party Beneficiaries. Nothing contained in this Agreement shall be construed to create and the par�es do not intend to create any rights in third par�es.

E. Applicable Law and Forum. This Agreement shall be construed and interpreted according to the substan�ve law of California excluding the law of conflicts. Any ac�on to enforce the terms of this Agreement or for the breach thereof shall be brought and tried in the County of Sonoma.

F. Cap�ons. The cap�ons in this Agreement are solely for the convenience of reference. They are not a part of this Agreement and shall have no effect on its construc�on or interpreta�on.

G. Merger. This wri�ng is intended both as the final expression of the Agreement between the par�es hereto with respect to the included terms and as a complete and exclusive statement of the terms of the Agreement, pursuant to Code of Civil Procedure Sec�on 1856. No modifica�on of this Agreement shall be effec�ve unless and un�l such modifica�on is evidenced by a wri�ng signed by both par�es.

H. Survival of Terms. All express representa�ons, waivers, indemnifica�ons, and limita�ons of liability included in this Agreement will survive its comple�on or termina�on for any reason.

I. Time of Essence. Time is and shall be of the essence of this Agreement and every provision hereof.

J. Independent Agency. Petaluma and Sonoma render their services under this Agreement as independent agencies. None of Petaluma’s agents or employees shall be agents or employees of Sonoma and none of Sonoma’s agents or employees shall be agents or employees of Petaluma.

K. Dispute Resolu�on. If any conflicts or disputes arise between the par�es to this Agreement, each party shall assign staff to meet with the other party in a �mely manner to resolve the conflict or dispute.

L. Acceptance of Electronic Signatures and Counterparts. The par�es agree that this Agreement, any Agreements ancillary to this Agreement and related documents to be entered into this Agreement will be considered executed when all par�es have signed this Agreement. Signatures delivered by scanned image as an atachment to electronic mail or delivered electronically through the use of programs such as DocuSign must be treated in all respects as having the same effect as an original signature. Each party further agrees that this Agreement may be executed in two or more counterparts, all of which cons�tute one and the same instrument.

Agenda Item #7.4:

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377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 7
IN WITNESS WHEREOF, the par�es hereto have executed this Agreement as set forth below.

City of Sonoma
By: __________________________
David Guhin
City Manager
Date:________________
Atest:

By: __________________________
City Clerk
Approved:

By: __________________________
Department Director
Approved as to form:

By: __________________________
City Atorney
City of Petaluma
By: __________________________
City Manager
Date:________________
Atest:

By: __________________________
City Clerk
Agenda Item #7.4:

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377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 8
Exhibit C – Scope EPA SFWQIF – NBWQPP
GRANT FUND: SAN FRANCISCO BAY WATER QUALITY IMPROVEMENT FUND Since 2008, the EPA through the San Francisco Bay Water Quality Improvement Fund (SFBWQIF has funded several water quality projects across the nine coun�es in the Bay Area. This coopera�ve funding source has been dedicated to the restora�on of streams, wetlands, and the improvement of water quality, from the Napa River in the North Bay to the salt ponds in the South Bay.

In 2022, Congress augmented the funding through the Bipar�san Infrastructure Law (BIL), eleva�ng the annual alloca�on from $5 million to $25 million. This year the County of Sonoma has been selected as part of a regional partnership to fund the North Bay Water Quality Partnership Project. This project will focus regionally on restora�on work, storm water outreach, and a variety of trash capture projects designed to inform regional compliance with the storm water trash provisions by learning from various pilot projects installed throughout the North Bay.

1. CITY OF PETALUMA PROJECTS:

Storm Drain Trash Capture Pilot (c16501931)
Upon reissuance of the City of Petaluma’s MS4 permit, the City will be required to implement the requirements of the Statewide Trash Provisions and demonstrate 100 percent compliance by 2030. To achieve this, the City will install trash capture devices at strategic loca�ons in the coming years.

The SFBWQIF grant will enable the City of Petaluma to install a pilot trash capture device.

Following the project launch, staff will assess the effec�veness, quality, and opera�onal costs of the system. City staff is currently evalua�ng poten�al loca�ons and devices for this pilot test.

The pilot will likely focus on installing one large trash capture device to treat a significant drainage area.

EPA grant funds for this task will support environmental review, preliminary design and device iden�fica�on, construc�on management, and acquisi�on and installa�on of a suitable large trash capture device. This pilot project will help determine if large trash capture devices can advance the City’s compliance with the Statewide Trash Provisions.

Agenda Item #7.4:

Page 23 of 430 ends

377686.1 Funding Agreement for City of Petaluma North Bay Water Quality Partnership Project. 9
Corona Creek Flood Reduc�on Project (c16502431)
This project will begin with a detailed hydraulic study of the Corona Creek area and the adjacent Capri Creek, preparing for restora�on work along the upper reach of Corona Creek. The restora�on is expected to focus on the upper reach of Corona Creek, from Sonoma Mountain Parkway to Riesling Road, restoring up to 10.5 acres of habitat.

The City of Petaluma’s new flood model will inform a comprehensive stormwater and flood mi�ga�on project. This project will address the creek's current condi�on, restore it to its designed storm capacity, enhance water quality, and reduce out-of-bank flows occurring just upstream of the Sonoma Mountain Parkway crossing. A conceptual design will be developed based on exis�ng contours and opportunity sites for widening, meandering, and slowing peak flows.

This work will contribute to the development of a full creek maintenance and restora�on program in the City of Petaluma, aiming to address flooding, maintenance, and habitat restora�on holis�cally.

2. SCHEDULE
The Grant received award on June 27, 2024 with City of Petaluma acceptance of the grant on August 5, 2024. The project is an�cipated to conclude in the Summer of 2028.

3. FUNDING
The full North Bay Water Quality Partnership Project is set to receive a grant amoun�ng to $1,526,718. This grant requires a 50% matching contribu�on from local jurisdic�ons, bringing the total project budget to $3,053,339. The City of Petaluma is slated to receive a grant totaling $801,593, with a matching requirement of $708,593.

4. BUDGET
Task / Organiza�on Grant Funded Match Total

1.2 Trash Capture Devise Pilot $359,000 $370,000 $729,000

2.2 Corona Creek Flood Reduc�on & Habitat $325,368 $325,368 $650,736

4.1 Administra�on $117,225 $13,225 $130,450
TOTALS $801,593 $708,593 $1,510,186
*Task Numbers as associated with overall grant.

Agenda Item #7.4:

Page 24 of 430 ends

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FUNDINGAGREEMENTFORTHE

COUNTYOF SONOMA NORTH BAYWATER QUALITYPARTNERSHIPPROJECT This Funding Agreement ("Agreement”), dated 2024 (”Effective Date”) is between the City of Sonoma, a municipal corporation (”City”) and the County of Sonoma (”County”).

RECITALS
A. The City of Sonoma is the lead applicant on the North Bay Water Quality Partnership Project grant application to the EPA’sSan Francisco Bay Water Quality Improvement Fund.

B. The County of Sonoma wasa partner in developing the grant application and has three (3) grant— funded projects in the awarded grant.

C. The City and the County share the goal of increasing resilience to climate change by promoting native plants, optimizing infrastructure, and implementing a tailored stormwater outreach program in compliance with Phase II MS4 permit requirements.

D. The City was awarded $3.1 million under the Environmental Protection Agency’s (”EPA”) San Francisco Bay Water Quality Improvement Fund (”Grant”) to fund projects that implement the restoration of streams, wetlands, and the improvement of water quality, from the Napa River in the North Bay to the salt ponds in the South Bay.

E. The City and County do mutually desire to cooperate in the implementation of the Counties projects in the grant award.

AGREEMENT
The City of Sonoma and the County of Sonoma agree as follows:

1. RECITALS
A. The above recitals are true and correct.

2. LISTOFEXHIBITS
A. The following exhibits are attached hereto and incorporated herein:
1) ExhibitA: Grant Agreement with EPA
2) ExhibitB: EPAGeneral Terms & Conditions
3) ExhibitC: County of Sonoma Project Scope/Budget

3. DEFINITIONS
A. For the purposes of this Agreement the following terms and de?nitions shall be used:
1) Project scope as described in ExhibitC.
2) City of Sonoma Representative. City staff assigned to perform City’s grant responsibilities.
3) County of Sonoma Representative. County staff assigned to perform County’s responsibilities.
363965.1 Funding Agreement for County of Sonoma— North Bay Water Quality Partnership Project. 1
Agenda Item #7.4:

Page 25 of 430 ends

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4. COORDINATION
A. County of Sonoma shall work with the City of Sonoma’s Representative. Contact Information:

City of Sonoma County ofSonoma
City Representative: Mike Berger, Public County Representative: Alisa Keenan, Works Director, or assigned personnel Sr. Environmental Specialist, or assigned personnel
Phone: 707 933 2230 Phone: 707 565 2518
Email: [email protected] Email: Alisa.Keenan@sonoma— county.org
City of Sonoma County of Sonoma
No. 1 The Plaza 2550 Ventura Ave
Sonoma, CA 9 Santa Rosa, CA95403

5. COUNTYOFSONOMA’SRESPONSIBILITIES
The County of Sonoma shall assist with grant administration as follows:

Communication. Provide regular communication via email or phone with the City of Sonoma Representative on Project progress, invoicing, reporting, and other issues as required.

Quarterly Invoices. Submit timely invoices to the City of Sonoma for inclusion in the Quarterly Grant Invoice.

Quarterly Reports. Compile and timely submit progress updates, deliverables, etc. for inclusion in the Quarterly Report within 20 calendar days after the end of each ?scal quarter.

Component CompletionReport. Prepare and submit a Component Completion Report to the City of Sonoma within 75 calendar days of completion of the Project as described in ExhibitA.

Grant Compliance. Comply with all stipulations in the grant agreement (Exhibit A), including compliance with procurement, Labor Code, nondiscrimination, record keeping, and acknowledgement provisions.

6. THE CITYOFSONOMA’SRESPONSIBILITIES
The City of Sonoma shall assist with grant administration as follows:

D.
363965.1
Partnership Project.

Communication. Provide regular communication via email or phone with County of Sonoma Representative on Project progress, invoicing, reporting, and other issues as required.

Quarterly Invoices. Submit Quarterly Grant Invoices to EPAwithin 30 calendar days after the end of each ?scal quarter.

Qua rterly Progress Reports. Submit Quarterly Reports to EPAwithin 30 calenda r days after the end of each ?scal quarter.

Component Completion Report. Submit Component Completion Report to EPA within 90 calendar days of completion of the Project as described in ExhibitA.

Funding Agreement for County of Sonoma— North Bay Water Quality Agenda Item #7.4:

Page 26 of 430 ends

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E. Grant Compliance. Comply with all stipulations in the grant agreement (Exhibit A), including compliance with procurement, Labor Code, nondiscrimination, record keeping, and acknowledgement provisions.

7. FUNDING
A. Grant Funding:
1) The City of Sonoma will submit invoices and receive funds from EPAunder the Grant based on activities reported by the County in accordance with Paragraph 5 of this Agreement.
2) County of Sonoma may receive $226,879.77 from the Grant per Exhibit A.

Actual payments to County of Sonoma will be based on the invoices submitted by the County of Sonoma and the amount authorized by EPA for reimbursement. The County is obligated to provide a 50% matching contribution in accordance with ExhibitC.

B. Grant Distribution. County of Sonoma shall report Project activities and submit invoices quarterly to the City of Sonoma. The City of Sonoma will submit quarterly reports and invoices to the EPA.After the EPAcompletes their review and authorizes reimbursement, the City of Sonoma will distribute payments to County of Sonoma upon receiving the reimbursement from the EPA.

8. MUTUALINDEMNIFICATION
A. County of Sonoma agrees to defend, indemnify, and hold the City of Sonoma, its of?cers, employees, and agents harmless from and against any and all liability, loss, expense, attorneys’ fees, or claims for injury or damages arising out of the performance of this Agreement but only in proportion to and to the extent such liability, loss, expense, attorneys’ fees, or claims for injury or damages are ca used by or result from the negligent or intentional acts or omissions of County of Sonoma.

B. The City of Sonoma agreesto defend, indemnify, and hold County of Sonoma, its of?cers, employees, and agents harmless from and against any and all liability, loss, expense, attorneys’ fees, or claims for injury or damages arising out of the performance of this Agreement but only in proportion to and to the extent such liability, loss, expense, attorneys’ fees, or claims for injury or damages are ca used by or result from the negligent or intentional acts or omissions of City of Sonoma.

9. TERM OFAGREEMENT
A. This agreement shall remain in effect until Summer of 2028, unless terminated earlier in accordance with the provisions of Paragraph 10 of this Agreement.

10. TERMINATIONOFAGREEMENT
This Agreement may be terminated by a non—breaching party for breach of any obligation, covenant or condition hereof by the other party, upon notice to the breaching party. With respect to any breach which is reasonably capable of being cured, the breaching party shall have thirty (30) days from the date of the notice to initiate steps to cure. If the breaching party diligently pursues cure, such party shall be allowed a reasonable time to cure, not to exceed sixty (60) days 363965.1 Funding Agreement for County of Sonoma— North Bay Water Quality Partnership Project. 3
Agenda Item #7.4:

Page 27 of 430 ends

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7 from the date of the initial notice, unless a further extension is granted bythe non-breaching party.

On termination, the non—breaching party retains all rights to any remedy for breach of the whole contract or a ny unperformed balance. The City’sright to terminate in compliance with this Section may be exercised by City Manager The County’s right to terminate in compliance with this Section may be exercised by the Board of Supervisors, or by the Permit Sonoma Directorin consultation with County Counsel.

11. EPA SUBAWARD POLICY
For purposes of this Agreement,the pass—through entity isthe City and the subrecipient isthe County in conformance with 2 CFR200.331(a)
Section I. — Project: North Bay Water Quality Partnership subawa rd to County of Sonoma.

Section N. Federal Requirements.

A. Federal Award Identi?cation: 98T97401
I.
ii.
iii.
iv.
vi.
vii.
viii.
ix.
363965.1
Partnership Project.

Subrecipient name: County of Sonoma
The subrecipient DUNSnumber: 0797773880000
Federal Award Identi?cation Number (FAIN):98T97401
EPA Award Date: 6/24/2024
Subaward Period of Performance Start and End Date: 06/01/2024— 12/31/2028 Subaward Budget Period Start and End Date: 06/01/2024- 12/31/2028 Amount of EPA Funds Obligated by the pass-th rough entity to the subrecipient:
$226,879.77
Total Amount of Federal Funds Obligated to the subrecipient by the passthrough entity including the current ?nancial obligation: $453,759.54 Total Amount of the Federal Award committed to the subrecipient by the passthrough entity: $226,879.77 Federal award project description:

This project bolsters a growing partnership between the City of Sonoma, the City of Petaluma,the County of Na pa, the County of Sonoma, Sonoma County Water Agency (Sonoma Water), the County of Marin, and the Laguna Foundation to implement three main project types: (1) Installation of large and small—scaletrash capture devices in four separate municipal stormwater systems to meet Phase II MS4 permit requirements and improve water quality, (2) habitat restoration projects to improve water quality in riparian corridors and promote the establishment of Sonoma sunshine, an endangered plant species, and (3) educational outreach throughout the partnering North Bay counties with watersheds that drain to the San Francisco Bay. The projects are rooted in approved C|P programs, SWRP documents, and submitted trash implementation plans. The initiative aims to enhance resiliency against the impacts of climate change by promoting the development of native plants, optimizing the ef?cacy of interconnecting infrastructure, and implementing a robust stormwater outreach program speci?c to the local watersheds and requirements of the Phase II MS4 permit.

Funding Agreement for County of Sonoma— North Bay Water Quality 4 Agenda Item #7.4:

Page 28 of 430 ends

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Information identifying EPA as the Federal awarding agency, your organization as the pass-through entity, and contact information for your awarding official for the subaward: Reference ExhibitA
Catalog of Federal Domestic Assistance (CFDA)Number and Name for each EPA award used to support the subaward. CFDAinformation for the pass-through entities’ EPA award may be found on page 2 of EPA’sNotice of Award form in the second chart under ”EPA Award Information”. (Note the Uniform Grant Guidance requires at 2 CFR 200.331(a)(1)(xi) that the Pass-through entities identify the dollar amount under each Federal award and the CFDAnumberat the time of disbursement of Federalfunds to the subrecipient so it isimportant for pass-through entities to maintain accounting records to meet th's requirement: 66.126 — Geographic Programs — San Francisco Bay Water Quality Improvement Fund
Identi?cation of whether the award is R & D: Not Applicable. Thisis not R&D.

Indirect cost rate for the Federal award (including if the de minimis rate is charged) per § 200.414. No indirect costs included in the assistance budget.

B. All”?ow down” requirements imposed on the subrecipient by the pass—through entityto ensure that the EPA award is used in accordance with Federal statutes, regulations and the terms of the EPA award. The subrecipient is accountable to the pass—through entity for compliance with Federal requirements. In turn, the pass—through entity is responsible to EPAfor ensuring that subrecipients comply with Federal requirements.

These requirements include, among others:
iv.

Title VI of the Civil Rights Act and other Federal statutes and regulations prohibiting discrimination in Federal ?nancial assistance progra ms,as applicable.

Reporting Subawa rds and Executive Compensation under Federal Funding Accountability and Tra nspa rencyAct (FFATA)set forth in General Condition of the pass—through entity’s agreement with EPA entitled ”Reporting Subawards and Executive Compensation.”
Limitations on individual consultant fees as set forth in General Condition 2 CFR 1500.9 and the General Condition of the pass—through entity’s agreement with EPAentitled ”Consulta nt Fee Cap”.

EPA’sprohibition on paying management fees as set forth in GeneralCondition of the pass—through entity’s agreement with EPAentitled ”Management Fees.” The Procurement Standards in 2 CFR Part 200 including those requiring competition when the subrecipient acquires goods and services from contractors (including consultants).

12. ADDITIONALREQUIREMENTS
A. Authority to Amend Agreement. Changes to the Agreement may be authorized only by written amendment to this Agreement, signed by both parties. Minor changes, which do not increase the amount paid under the Agreement, and which do not signi?cantly change the Agreement or signi?cantly lengthen time schedules may be executed by the County’s 363965.1
Partnership Project.

Funding Agreement for County of Sonoma— North Bay Water Quality Agenda Item #7.4:

Page 29 of 430 ends

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Partnership Project.

Permit Sonoma Director in a form approved by County Counsel. Agreement to minor changes shall not be unreasonably withheld.

No Waiver of Breach. The waiver by either party of any breach of any term or promise contained in this Agreement shall not be deemed to be a waiver of such term or promise or any subsequent breach of the same or any other term or promise contained in this Agreement.

Construction:
1) To the fullest extent allowed by law the provisions of this Agreement shall be construed and given effect in a manner that avoids any violation of statute, ordinance, regulation, or law. The parties covenant and agree that in the event that any provision of this Agreement is held by a court of competentjurisdiction to be invalid, void, or unenforceable, the remainder of the provisions hereof shall remain in fullforce and effect and shall in no way be affected, impaired, or invalidated thereby.
2) The County of Sonoma and the City of Sonoma acknowledge that they have each contributed to the making of this Agreement and that, in the event of a dispute over the interpretation of this Agreement, the language of the Agreement willnot be construed against one party in favor of the other. County of Sonoma and the City of Sonoma acknowledge that they have each had an adequate opportunity to consult with counsel in the negotiation and preparation of this Agreement.
. No Third—PartyBene?ciaries. Nothing contained in this Agreement shall be construed to create and the parties do not intend to create any rights in third parties.

ApplicableLaw and Forum. This Agreement shall be construed and interpreted accordir‘g to the substantive law of California excluding the law of con?icts. Any action to enforce the terms of this Agreement or for the breach thereof shall be brought and tried in the County of Sonoma.

Captions. The captions in this Agreement a re solelyfor the convenience of reference. They are not a part of this Agreement and shall have no effect on its construction or interpretation.
. Merger. This writing is intended both as the ?nal expression of the Agreement between the parties hereto with respect to the included terms and as a complete and exclusive statement of the terms of the Agreement, pursuant to Code of Civil Procedure Section 1856. No modi?cation of this Agreement shall be effective unless and until such modi?cation is evidenced by a writing signed by both parties. . Survival of Terms. Allexpress representations, waivers, indemni?cations, and limitations of liability included in this Agreement will survive its completion or termination for any reason.

Time of Essence. Time is and shall be of the essence of this Agreement a nd every provision hereof.

Independent Agency.The City and the County render their services under this Agreement as independent agencies. None of the County’s agents or employees shall be agents or employees of the City and none of the City’s agents or employees shall be agents or employees of the County.

Funding Agreement for County of Sonoma— North Bay Water Quality 6 Agenda Item #7.4:

Page 30 of 430 ends

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K. Dispute Resolution. If any con?icts or disputes arise between the parties to this Agreement, each party shall assign staffto meet with the other party in a timely manner to resolve the con?ict or dispute.

L. Acceptance of Electronic Signatures and Counterparts. The parties agree that this Agreement, any Agreements ancillary to this Agreement and related documents to be entered intothis Agreement willbe considered executed when all parties have signed this Agreement. Signatures delivered by sca nned image as an attachment to electronic mail or delivered electronicallythrough the use of programs such as DocuSign must be treated in all respects as having the same effect as an original signature. Each party further agrees that this Agreement may be executed in two or more counterpa rts, all of which constitute one and the same instrument.

IN WITNESS WHEREOF,the parties hereto have executed this Agreement as set forth below.

Approved as to form: By:

Department Director
City ofSonoma Date:

By:

City Attorney
By:

David Guhin
City Manager
Date:

Attest:

By:

City Clerk
Approved:

By:

Department Director
County ofSonoma
Approved as to form:

By:

County Counsel
363965.1 Funding Agreement for County of Sonoma— North Bay Water Quality Partnership Project. 7
Agenda Item #7.4:

Page 31 of 430 ends

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Exhibit C — Scope EPA SFWQIF— NBWQPP
GRANTFUND:SAN FRANCISCOBAYWATER QUALITYIMPROVEMENT FUND Since 2008, the EPA through the San Francisco Bay Water Quality Improvement Fund (SFBWQIF)has funded several water quality projects across the nine counties in the Bay Area.

This cooperative funding source has been dedicated to the restoration of streams, wetlands, and the improvement of water quality, from the Napa River in the North Bay to the salt ponds in the South Bay.

In 2022, Congress augmented the funding through the Bipartisan Infrastructure Law (BIL), elevating the annual allocation from $5 million to $25 million. This year the County of Sonoma has been selected as part of a regional partnership to fund the North Bay Water Quality Partnership Project. This project willfocus regionally on restoration work, storm water outreach, and a variety of trash capture projects designed to inform regional compliance with the storm water trash provisions by learning from various pilot projects installed throughout the North Bay.

1. COUNTYOF SONOMA PROJECTS:

Storm Drain Trash Capture Pilot
Upon reissuance of the County of Sonoma’s MS4 permit, the County will be required to implement the requirements of the Statewide Trash Provisions and demonstrate 100 percent compliance by 2030. To achieve this, the County will install trash capture devices at strategic locations in the coming years.

The SFBWQIFgrant will enable the County of Sonoma to install and pilot a series of trash capture devices. Following the project launch, staff will assess the effectiveness, quality, and operational costs of the system. County staff are currently evaluating potential locations and devices for this pilot test. The pilot will likely focus on installing a few small trash capture devices to treat a significant drainage area.

EPA grant funds for this task will support environmental review, preliminary design and device identification, construction management, and acquisition and installation of a suitable large trash capture device. This pilot project will help determine ifthese trash capture devices can advance the County’s compliance with the Statewide Trash Provisions.

Sonoma Valley Regional Park Vernal Pool Habitat Restoration Expansion This project task will continue the existing wetland basin restoration progress in Sonoma Valley Regional Park (SVRP)Currently, the endangered wildflower Sonoma sunshine (Blennosperma bakeri) is successfully planted in three vernal pools since restoration efforts began, and project partners have identified an opportunity to restore an additional 1.5 acres within two adjacent vernal pool wetlands. By creating the conditions to manage Agenda Item #7.4:

Page 32 of 430 ends

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hydroperiods in the pool features bisected by an access road and impacted by a culvert set lower than the natural drainage elevation, this task expands the footprint of suitable vernal pool habitat for Sonoma sunshine. Monitoring and project design efforts willensure that the current vernal pool restoration efforts willnot be negatively impacted by proposed hydrological changes.

Funds for this project will cover site surveys, hydrological analysis, plant and soil studies, permitting, monitoring, reporting and conditional seeding of Sonoma sunshine upon restoration success. Additionally, task funds will cover the cost of instruments for monitoring and the water control structure to be placed along the drainage area. Study data will contribute greatly to our regional understanding of vernal pool and Sonoma sunshine restoration.

Water Quality Outreach: Streets to Creeks
Streets to Creeks is a multi-media outreach campaign designed to educate the general population on stormwater quality protection and makes it specific to individual creeks. The campaign focuses on educating the public about how activities on land impact our creek system and what actions prevent stormwater pollution.

Sections E7 and F.5.b of the Phase II Municipal Separate Storm Sewer Systems (MS4) permit require permittees to provide education and outreach to the general public on stormwater topics such as local pollutants of concerns, preventing and reporting illicit discharges, and best management practices for activities like car washing and pesticide application.

The outreach requirement is extensive and specific, and includes specific messaging topics, the campaign to be multi-media, student messaging, and Spanish translation. The Program Improvement and Effectiveness Assessments conducted as a requirement of the Phase II permit (as required by sections of E14 and F.5.h) have demonstrated needed improvement to the current outreach efforts, and future MS4 Phase II permit draft sections require increased outreach to the public.

To improve compliance strategies with these requirements, the Phase II co—permittee partners have identified utilizing the Streets to Creeks outreach program for its power to address and meet the current and future needs of the permit. Draft language of the forthcoming reissuance of the Phase IIStatewide general permit suggests that permit requires will include creating a community based social marketing campaign to engage the public around stormwater issues.

By undertaking this outreach effort, the NBWQP partners willsignificantly enhance their ability to meet the elevated outreach criteria outlined in the impending Phase II permit.

This project, led by the County of Sonoma, will include a collaborative approach for outreach, working with a local marketing firm to help deliver the campaign and track project metrics. The specific outreach strategy will be developed using partnership input from year to year, using a Agenda Item #7.4:

Page 33 of 430 ends

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2. FUNDING
The full North Bay Water Quality Partnership Project is set to receive a grant amounting to $1,526,621. This grant requires a 50% matching contribution from local jurisdictions, bringing the total project budget to $3,053,339. The County of Sonoma is slated to receive a grant totaling $226,879.77, with a matching requirement of $226,879.77.

3. BUDGET
Task* / Organization Grant Funded m—

1.4 Trash Capture Pilot Sonoma County $45,452.77 $137,005.77 $182,458.54

2.3 Vernal Pool Restoration SVRP $117,181.00 $28,944.00 $146,125

3.1 Water Quality Outreach $64,246.00 $60,930.00 $125, 176 TOTALS $226,879.77 $226,879.77 $453,759.54
*Task Numbers as associated with overall grant.

Agenda Item #7.4:

Page 34 of 430 ends

377682.1 Funding Agreement for County of Napa- North Bay Water Quality Partnership Project. 1

FUNDING AGREEMENT FOR THE

COUNTY OF NAPA NORTH BAY WATER QUALITY PARTNERSHIP PROJECT This Funding Agreement (“Agreement”), dated ___________________, 2024 (“Effec�ve Date”) is between the City of Sonoma, a municipal corpora�on (“City”) and the County of Napa (“County”).

RECITALS
A. The City of Sonoma is the lead applicant on the North Bay Water Quality Partnership Project grant applica�on to the EPA’s San Francisco Bay Water Quality Improvement Fund.

B. The County of Napa was a partner in developing the grant applica�on and has two (2) grantfunded projects in the awarded grant.

C. The City and the County share the goal of increasing resilience to climate change by promo�ng na�ve plants, op�mizing infrastructure, and implemen�ng a tailored stormwater outreach program in compliance with Phase II MS4 permit requirements.

D. The City was awarded $3.1 million under the Environmental Protec�on Agency’s (“EPA”) San Francisco Bay Water Quality Improvement Fund (“Grant”) to fund projects that implement the restora�on of streams, wetlands, and the improvement of water quality, from the Napa River in the North Bay to the salt ponds in the South Bay.

E. The City and County do mutually desire to cooperate in the implementa�on of the Coun�es projects in the grant award.

AGREEMENT
The City of Sonoma and the County of Napa agree as follows:

1. RECITALS
A. The above recitals are true and correct.

3. DEFINITIONS
A. For the purposes of this Agreement the following terms and defini�ons shall be used:
1) Project scope as described in Exhibit C.
2) City of Sonoma Representa�ve. Sonoma staff assigned to perform Sonoma’s grant responsibili�es.
3) County of Napa Representa�ve. County staff assigned to perform County’s responsibili�es.

Agenda Item #7.4:

Page 35 of 430 ends

377682.1 Funding Agreement for County of Napa- North Bay Water Quality Partnership Project. 2

4. COORDINATION
A. County of Napa shall work with the City of Sonoma’s Representa�ve. Contact Informa�on:

City of Sonoma County of Napa
City Representa�ve: Mike Berger, Public
Works Director, or assigned personnel
County Representa�ve: Jeff Skinner or
assigned personnel
Phone: 707 933 2230 Phone: 707 259 8620
Email: [email protected] Email: [email protected] City of Sonoma
No. 1 The Plaza
Sonoma, CA 9
County of Napa
1195 Third St
Napa, CA 94559

5. COUNTY OF NAPA’S RESPONSIBILITIES
The County of Napa shall assist with grant administra�on as follows:

A. Communica�on. Provide regular communica�on via email or phone with the City of Sonoma Representa�ve on Project progress, invoicing, repor�ng, and other issues as required.

B. Quarterly Invoices. Submit �mely invoices to the City of Sonoma for inclusion in the Quarterly Grant Invoice.

C. Quarterly Reports. Compile and �mely submit progress updates, deliverables, etc. for inclusion in the Quarterly Report.

D. Component Comple�on Report. Prepare and submit a Component Comple�on Report to the City of Sonoma within 90 calendar days of comple�on of the Project as described in Exhibit A.

6. THE CITY OF SONOMA’S RESPONSIBILITIES
The City of Sonoma shall assist with grant administra�on as follows:

A. Communica�on. Provide regular communica�on via email or phone with County of Napa Representa�ve on Project progress, invoicing, repor�ng, and other issues as required.

B. Quarterly Invoices. Submit Quarterly Grant Invoices to EPA.

C. Quarterly Progress Reports. Submit Quarterly Reports to EPA.

D. Component Comple�on Report. Submit Component Comple�on Report to EPA within 90 calendar days of comple�on of the Project as described in Exhibit A.

7. FUNDING
A. Grant Funding:
1) The City of Sonoma will submit invoices and receive funds from EPA under the Grant based on ac�vi�es reported by County in accordance with Paragraph 5 of this Agreement.

Agenda Item #7.4:

Page 36 of 430 ends

377682.1 Funding Agreement for County of Napa- North Bay Water Quality Partnership Project. 3
2) County of Napa may receive $25,000 from the Grant per Exhibit A. Actual payments to County of Napa will be based on the invoices submited by the County of Napa and the amount authorized by EPA for reimbursement.

B. Grant Distribu�on. County of Napa shall report Project ac�vi�es and submit invoices quarterly to the City of Sonoma. The City of Sonoma will submit quarterly reports and invoices to the EPA. A�er the EPA completes their review and authorizes reimbursement, the City of Sonoma will distribute payments to County of Napa upon receiving the reimbursement from the EPA.

8. MUTUAL INDEMNIFICATION
A. County of Napa agrees to defend, indemnify, and hold the City of Sonoma, its officers, employees, and agents harmless from and against any and all liability, loss, expense, atorneys’ fees, or claims for injury or damages arising out of the performance of this Agreement but only in propor�on to and to the extent such liability, loss, expense, atorneys’ fees, or claims for injury or damages are caused by or result from the negligent or inten�onal acts or omissions of County of Napa.

B. The City of Sonoma agrees to defend, indemnify, and hold County of Napa, its officers, employees, and agents harmless from and against any and all liability, loss, expense, atorneys’ fees, or claims for injury or damages arising out of the performance of this agreement but only in propor�on to and to the extent such liability, loss, expense, atorneys’ fees, or claims for injury or damages are caused by or result from the negligent or inten�onal acts or omissions of City of Sonoma.

9. TERM OF AGREEMENT
A. This agreement shall remain in effect un�l [DATE], unless terminated earlier in accordance with the provisions of Paragraph 10 of this Agreement.

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377682.1 Funding Agreement for County of Napa- North Bay Water Quality Partnership Project. 4
with the “subaward content” requirements in 2 CFR 200.331(a). EPA does not mandate the use of this template. For purposes of this Agreement, the pass-through en�ty is the City and the subrecipient is County.

Sec�on I. – Project: North Bay Water Quality Partnership subaward to County of Napa.

Sec�on II. Federal Requirements.

A. Federal Award Iden�fica�on: TBD
i. Subrecipient name: County of Napa
ii. The subrecipient DUNS number: [TO FILL IN]
iii. Federal Award Iden�fica�on Number (FAIN): [TBD]
iv. EPA Award Date: [TBD]
v. Subaward Period of Performance Start and End Date: [4yrs from Award Date] vi. Subaward Budget Period Start and End Date: [TBD]
vii. Amount of EPA Funds Obligated by the pass-through en�ty to the subrecipient:
$25,000.
viii. Total Amount of Federal Funds Obligated to the subrecipient by the pass-through en�ty including the current financial obliga�on: [TBD]
ix. Total Amount of the Federal Award commited to the subrecipient by the passthrough en�ty: [TBD] x. Federal award project descrip�on: [From award TBD]
xi. Informa�on iden�fying EPA as the Federal awarding agency, your organiza�on as the pass-through en�ty, and contact informa�on for your awarding official for the subaward: [TBA]
xii. Catalog of Federal Domes�c Assistance (CFDA) Number and Name for each EPA award used to support the subaward. CFDA informa�on for the pass-through en��es’ EPA award may be found on page 2 of EPA’s No�ce of Award form in the second chart under “EPA Award Informa�on”. (Note the Uniform Grant Guidance requires at 2 CFR 200.331(a)(1)(xi) that the Pass-through en��es iden�fy the dollar amount under each Federal award and the CFDA number at the �me of disbursement of Federal funds to the subrecipient so it is important for passthrough en��es to maintain accoun�ng records to meet this requirement. xiii. Iden�fica�on of whether the award is R & D: [TBD] xiv. Indirect cost rate for the Federal award (including if the de minimis rate is charged) per § 200.414. [TBD]
B. All “flow down” requirements imposed on the subrecipient by the pass-through en�ty to ensure that the EPA award is used in accordance with Federal statutes, regula�ons and Agenda Item #7.4:

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377682.1 Funding Agreement for County of Napa- North Bay Water Quality Partnership Project. 5
the terms of the EPA award. The subrecipient is accountable to the pass-through en�ty for compliance with Federal requirements. In turn, the pass-through en�ty is responsible to EPA for ensuring that subrecipients comply with Federal requirements.

12. ADDITIONAL REQUIREMENTS
A. Authority to Amend Agreement. Changes to the Agreement may be authorized only by writen amendment to this Agreement, signed by both par�es. Minor changes, which do not increase the amount paid under the Agreement, and which do not significantly change the Agreement or significantly lengthen �me schedules may be executed by the County of Sonoma’s Department Director in a form approved by its Counsel. Notwithstanding this authority, neither of the par�es is under any obliga�on to approve such amendments.

C. Construc�on:
1) To the fullest extent allowed by law the provisions of this Agreement shall be construed and given effect in a manner that avoids any viola�on of statute, ordinance, regula�on, or law. The par�es covenant and agree that in the event that any provision of this Agreement is held by a court of competent jurisdic�on to be invalid, void, or unenforceable, the remainder of the provisions hereof shall remain in full force and effect and shall in no way be affected, impaired, or invalidated thereby.
2) The County of Napa and the City of Sonoma acknowledge that they have each contributed to the making of this Agreement and that, in the event of a dispute over the interpreta�on of this Agreement, the language of the Agreement will not be construed against one party in favor of the other. County of Napa and the City of Sonoma acknowledge that they have each had an adequate Agenda Item #7.4:

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opportunity to consult with counsel in the nego�a�on and prepara�on of this Agreement.

D. No Third-Party Beneficiaries. Nothing contained in this Agreement shall be construed to create and the par�es do not intend to create any rights in third par�es.

F. Cap�ons. The cap�ons in this Agreement are solely for the convenience of reference. They are not a part of this Agreement and shall have no effect on its construc�on or interpreta�on.

H. Survival of Terms. All express representa�ons, waivers, indemnifica�ons, and limita�ons of liability included in this Agreement will survive its comple�on or termina�on for any reason.

I. Time of Essence. Time is and shall be of the essence of this Agreement and every provision hereof.

J. Independent Agency. The City and the County render their services under this Agreement as independent agencies. None of the County’s agents or employees shall be agents or employees of the City and none of the City’s agents or employees shall be agents or employees of the County.

IN WITNESS WHEREOF, the par�es hereto have executed this Agreement as set forth below.

City of Sonoma County of Napa
Agenda Item #7.4:

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377682.1 Funding Agreement for County of Napa- North Bay Water Quality Partnership Project. 7
By: __________________________
David Guhin
City Manager
Date:________________
Atest:

By: __________________________
City Clerk
Approved:

By: __________________________
Department Director
Approved as to form:

By: __________________________
City Atorney
By: __________________________
Department Director
Date:________________
Atest:

By: __________________________
County Clerk
Agenda Item #7.4:

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377682.1 Funding Agreement for County of Napa- North Bay Water Quality Partnership Project. 8
Exhibit C – Scope EPA SFWQIF – NBWQPP
GRANT FUND: SAN FRANCISCO BAY WATER QUALITY IMPROVEMENT FUND Since 2008, the EPA through the San Francisco Bay Water Quality Improvement Fund (SFBWQIF has funded several water quality projects across the nine coun�es in the Bay Area. This coopera�ve funding source has been dedicated to the restora�on of streams, wetlands, and the improvement of water quality, from the Napa River in the North Bay to the salt ponds in the South Bay.

In 2022, Congress augmented the funding through the Bipar�san Infrastructure Law (BIL), eleva�ng the annual alloca�on from $5 million to $25 million. This year the City of Sonoma has been selected as part of a regional partnership to fund the North Bay Water Quality Partnership Project. This project will focus regionally on restora�on work, storm water outreach, and a variety of trash capture projects designed to inform regional compliance with the storm water trash provisions by learning from various pilot projects installed throughout the North Bay.

1. COUNTY OF NAPA PROJECTS:

Trash Capture Napa County
The County of Napa has several poten�al industrial park installa�on loca�ons accoun�ng for 95% of the total PLUs within unincorporated Napa County. This task will allow the County of Napa to develop a preliminary design, acquire and install suitable small trash capture devices and perform biannual maintenance for two years on these devices.

Water Quality Outreach, Streets To Creeks
Streets to Creeks is a mul�-media outreach campaign designed to educate the general popula�on and target communi�es in specific permit sec�ons on stormwater quality protec�on and makes it specific to individual creeks. The campaign focuses on educa�ng the public about how ac�vi�es on land impact our creek system and what ac�ons prevent stormwater pollu�on.

The campaign is focused on providing messaging on ac�ons to reduce pollu�on from entering the storm drain and the importance of protec�ng water quality. The outreach strategy includes targeted messaging on pollu�on preven�on techniques to residents, children, and those performing upstream agricultural ac�vi�es that adversely affect stormwater quality. It also has allowed established partners to revise handouts relevant to regula�ng construc�on and trades, TMDLs for regulated contaminants, and maintenance ac�vi�es that have impact to the Agenda Item #7.4:

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377682.1 Funding Agreement for County of Napa- North Bay Water Quality Partnership Project. 9
watershed. Delivery of the mul�-media campaign will be directed to specific zip codes, guaranteeing local informa�on to each recipient relevant to their region’s watershed. The Streets to Creeks campaign will be an inclusive campaign to meet all Phase II MS4 Permit requirements. .

2. SCHEDULE
The City can expect the formal announcement of the project award in the first quarter of 2024.

The grant s�pulates a four-year �meline for comple�on from the date of the award, with the project an�cipated to conclude in the Summer of 2028.

3. FUNDING
The full North Bay Water Quality Partnership Project is set to receive a grant amoun�ng to $1,526,718. This grant requires a 50% matching contribu�on from local jurisdic�ons, bringing the total project budget to $3,053,339. The County of Sonoma is slated to receive a grant totaling $25,000 with an equivalent matching requirement.

4. BUDGET
Task / Organiza�on Grant Funded Match Total

1.4 Trash Capture Pilot County of Napa $25,000 $25,000 $50,000

3.1 Water Quality Outreach $8,500 $8,500
TOTALS $25,000 $33,500 $58,000
*Task Numbers as associated with overall grant.

Agenda Item #7.4:

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TYPE OF ACTION
U.S. ENVIRONMENTAL

PROTECTION AGENCY MAILING DATE
PAYMENT METHOD: ACH#
PROGRAM CODE:

MODIFICATION NUMBER: DATE OF AWARD
GRANT NUMBER (FAIN): 98T97401

ASAP PEND
0 06/24/2024
New 06/27/2024
Grant Agreement
W9
RECIPIENT TYPE: Send Payment Request to:

RECIPIENT:

EIN:

PAYEE:

Municipal
Sonoma, CA 95476-6618

CITY OF SONOMA
94-6000433
No.1 The Plaza
Contact EPA RTPFC at: [email protected]
No.1 The Plaza

CITY OF SONOMA
Sonoma, CA 95476-6618

PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST Erica Warren
No. 1 The Plaza
Sonoma, CA 95476-0169
Email: [email protected]
Phone: 707-933-2229
Erica Yelensky
75 Hawthorne Street, WTR-2-2
San Francisco, CA 94105
Email: [email protected]
Phone: 415-972-3021
Fareed Ali
Grants Branch, MSD-6
75 Hawthorne Street
San Francisco, CA 94105
Email: [email protected]
Phone: 415-972-3665

PROJECT TITLE AND DESCRIPTION
San Francisco Bay Area Water Quality Improvement Fund
See Attachment 1 for project description.

BUDGET PERIOD PROJECT PERIOD TOTAL BUDGET PERIOD COST TOTAL PROJECT PERIOD COST 06/01/2024 - 12/31/2028 06/01/2024 - 12/31/2028 $ 3,053,339.00 $ 3,053,339.00

NOTICE OF AWARD
Based on your Application dated 08/30/2023 including all modifications and amendments, the United States acting by and through the US Environmental Protection Agency (EPA) hereby awards $ 1,526,621.00. EPA agrees to cost-share 50.00% of all approved budget period costs incurred, up to and not exceeding total federal funding of $ 1,526,621.00. Recipient's signature is not required on this agreement. The recipient demonstrates its commitment to carry out this award by either: 1) drawing down funds within 21 days after the EPA award or amendment mailing date; or 2) not filing a notice of disagreement with the award terms and conditions within 21 days after the EPA award or amendment mailing date. If the recipient disagrees with the terms and conditions specified in this award, the authorized representative of the recipient must furnish a notice of disagreement to the EPA Award Official within 21 days after the EPA award or amendment mailing date. In case of disagreement, and until the disagreement is resolved, the recipient should not draw down on the funds provided by this award/amendment, and any costs incurred by the recipient are at its own risk. This agreement is subject to applicable EPA regulatory and statutory provisions, all terms and conditions of this agreement and any attachments.

ISSUING OFFICE (GRANTS MANAGEMENT OFFICE) AWARD APPROVAL OFFICE

ORGANIZATION / ADDRESS ORGANIZATION / ADDRESS
U.S. EPA, Region 9, U.S. EPA, Region 9 Grants Branch, MSD-6 75 Hawthorne Street
San Francisco, CA 94105
U.S. EPA, Region 9, Water Division, WTR-1
R9 - Region 9
75 Hawthorne Street
San Francisco, CA 94105
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY Digital signature applied by EPA Award Official Carolyn Truong - Grants Management Officer DATE 06/24/2024
Sub Award Agreement -Exhibit A: Grant Agreement with EPA Agenda Item #7.4:

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EPA Funding Information

FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL
EPA Amount This Action $ 0 $ 1,526,621 $ 1,526,621
EPA In-Kind Amount $ 0 $ 0 $ 0
Unexpended Prior Year Balance $ 0 $ 0 $ 0
Other Federal Funds $ 0 $ 0 $ 0
Recipient Contribution $ 0 $ 1,526,718 $ 1,526,718
State Contribution $ 0 $ 0 $ 0
Local Contribution $ 0 $ 0 $ 0
Other Contribution $ 0 $ 0 $ 0
Allowable Project Cost $ 0 $ 3,053,339 $ 3,053,339
Assistance Program (CFDA) Statutory Authority Regulatory Authority

66.126 - Geographic Programs - San Francisco Bay
Water Quality Improvement Fund
Clean Water Act: Sec. 320 2 CFR 200, 2 CFR 1500 and 40 CFR 33 Fiscal
Site Name Req No FY Approp.

Code
Budget
Organization PRC ObjectClass Site/Project CostOrganization Obligation /
Deobligation
- 2409W32024 2324 B 09L2 000BK4 4158 - - $ 1,526,621
$ 1,526,621
Agenda Item #7.4:

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Budget Summary Page
Table A - Object Class Category
(Non-Construction)
Total Approved Allowable
Budget Period Cost

1. Personnel $ 149,864

2. Fringe Benefits $ 61,145

3. Travel $ 0

4. Equipment $ 320,000

5. Supplies $ 45,000

6. Contractual $ 446,385

7. Construction $ 0

8. Other $ 2,030,945

9. Total Direct Charges $ 3,053,339

10. Indirect Costs: 0.00 % Base $ 0

11. Total (Share: Recipient ______ % Federal ______ %) 50.00 50.00 $ 3,053,339

12. Total Approved Assistance Amount $ 1,526,621

13. Program Income $ 0

14. Total EPA Amount Awarded This Action $ 1,526,621

15. Total EPA Amount Awarded To Date $ 1,526,621
Agenda Item #7.4:

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Attachment 1 - Project Description
The City of Sonoma’s North Bay Water Quality Partnership project bolsters a growing partnership between the City of Sonoma, the City of Petaluma, the County of Napa, the County of Sonoma, Sonoma County Water Agency (Sonoma Water), the County of Marin, and the Laguna Foundation to implement three main project types: (1) Installation of large and small-scale trash capture devices in four separate municipal stormwater systems to meet Phase II stormwater permit requirements and improve water quality, (2) habitat restoration projects to improve water quality in riparian corridors and promote the establishment of Sonoma sunshine, an endangered plant species, and (3) educational outreach throughout the partnering North Bay counties with watersheds that drain to the San Francisco Bay.

This assistance agreement provides full federal funding in the amount of $1,526,621. Preaward costs are approved back to 06/01/2024.

To implement the San Francisco Estuary Partnership Comprehensive Conservation and Management Plan (CCMP), the city of Sonoma and partners will implement projects that will improve water quality by installing trash capture devices and riparian and vernal pool habitat by implementing restoration projects.

These projects help the North Bay municipalities meet their stormwater permit requirements and benefit the water quality in San Francisco Bay.Anticipated deliverables include managing competitively bid trash capture device contracts, tracking the performance of the trash capture devices, developing a Maintenance Tracking and Output Study Joint Report of the trash capture devices installed in all partner locations; conducting restoration activities for seasonal wetlands, urban forest, Corona Creek, and vernal pools; and conducting a public outreach and engagement program. The expected outcomes include install full trash capture devices and treat more than 1038 acres in priority areas throughout the project partner jurisdictions; restore 0.4 1 acres of seasonal wetlands; install .55 acres of urban forest; and restore 10.5 acres along Corona Creek reducing flood flows. The intended beneficiaries of the project are the residents of the cities of Sonoma and Petaluma and counties of Sonoma and Napa and the living resources of San Francisco Bay and its watersheds.The sub awardees include the city of Petaluma, County of Napa, County of Marin, and County of Sonoma. Work includes installing trash capture devices to improve water quality of local streams and San Francisco Bay.

Agenda Item #7.4:

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Administrative Conditions
Administrative Conditions "A" thru "E" below apply. In addition, please reference the paragraph below for General Terms and Conditions.

The recipient agrees to comply with the current EPA general terms and conditions available at: https:
//www.epa.gov/grants/epa-general-terms-and-conditions-effective-october-1-2023-or-later.

These terms and conditions are in addition to the assurances and certifications made as a part of the award and the terms, conditions, or restrictions cited throughout the award.

The EPA repository for the general terms and conditions by year can be found at: https://www.epa. gov/grants/grant-terms-and-conditions#general.

A. Federal Financial Reporting (FFR)
For awards with cumulative project and budget periods greater than 12 months, the recipient will submit an annual FFR (SF 425) covering the period from "project/budget period start date" to June 30 of each calendar year to the EPA Finance Center in Research Triangle Park, NC. The annual FFR will be submitted electronically to [email protected] no later than September 30 of the same calendar year.

Find additional information at https://www.epa.gov/financial/grants. (NOTE: The grantee must submit the Final FFR to [email protected] within 120 days after the end of the project period.) B. Procurement
The recipient will ensure all procurement transactions will be conducted in a manner providing full and open competition consistent with 2 CFR Part 200.319. In accordance with 2 CFR Part 200.324, the grantee and subgrantee(s) must perform a cost or price analysis in connection with applicable procurement actions, including contract modifications.

C. MBE/WBE Reporting, 40 CFR, Part 33, Subpart E (EPA Form 5700-52A) The recipient agrees to submit a “MBE/WBE Utilization Under Federal Grants and Cooperative Agreements” report (EPA Form 5700-52A) annually for the duration of the project period. The current EPA Form 5700-52A with instructions is located at https://www.epa.gov/grants/epa-grantee-forms This provision represents an approved exception from the MBE/WBE reporting requirements as described in 40 CFR Section 33.502.

Reporting is required for assistance agreements where funds are budgeted for procuring construction, equipment, services and supplies (including funds budgeted for direct procurement by the recipient or procurement under subawards or loans in the “Other” category) with a cumulative total that exceed the Simplified Acquisition Threshold (SAT) currently set at $250,000 (the dollar threshold will be automatically revised whenever the SAT is adjusted; See 2 CFR Section 200.1), including amendments and/or modifications. All procurement actions are reportable when reporting is required, not just the portion which exceeds the SAT.

Recipients with expended and/or budgeted funds for procurement are required to report annually whether the planned procurements take place during the reporting period or not. If no budgeted Agenda Item #7.4:

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procurements take place during the reporting period, the recipient should check the box in section 4A when completing the form.

When completing the annual report, recipients are instructed to check the box titled “annual” in section 1B of the form. For the final report, recipients are instructed to check the box indicated for the “Final Report (project completed)” in section 1B of the form.

The annual reports are due by October 30th of each calendar year and the final report is due within 120 days after the end of the project period, whichever comes first. The recipient will submit the MBE/WBE report(s) and/or questions to [email protected] and the EPA Grants Specialist identified on page 1 of the award document.

D. Indirect Costs
The Cost Principles under 2 CFR Part 200, Subpart E apply to this award. Since there are no indirect costs included in the assistance budget, they are not allowable under this Assistance Agreement.

E. Subaward(s)
The recipient's approved budget includes subaward(s). As applicable, the recipient will comply with the General Term and Condition on reporting of first tier subawards to www.fsrs.gov per “Reporting Subawards and Executive Compensation” requirement.

Agenda Item #7.4:

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Programmatic Conditions
Programmatic Conditions a.] to g.] below apply.
a.] Reporting:

The recipient shall submit quarterly progress reports electronically to the EPA Project Officer due within 30 calendar days after the end of each Federal fiscal quarter (January 31, April 30, July 31, and October 31). The progress reports should include:
- a discussion of the activities conducted during the previous quarter (including a comparison of actual accomplishments with the anticipated outputs and outcomes specified in the workplan), - progress towards milestones,
- problems encountered with achieving outputs and outcomes, and their resolution, - activities planned for the next two quarters,
- a financial accounting of costs incurred during the reporting period, - cumulative project costs (EPA and match amounts) since the beginning of the project, by task, and
- identification of any special EPA assistance needed, and an explanation of any cost overruns.

The recipient will notify the EPA Project Officer if something materially impairs their ability to complete the tasks and deliver the products, outputs and outcomes identified in the workplan. Within 120 days of the end of the project period the recipient must email to the EPA Project Officer a final report documenting project activities over the entire project period and the recipient's achievements with respect to the project's purposes and objectives.
b.] Subaward Reporting Requirement:

The recipient must report on its subaward monitoring activities under 2 CFR 200.331(d). Examples of items that must be reported if the pass-through entity has the information available are:

1. Summaries of results of reviews of financial and programmatic reports.

2. Summaries of findings from site visits and/or desk reviews to ensure effective subrecipient performance.

3. Environmental results the subrecipient achieved.

4. Summaries of audit findings and related pass-through entity management decisions.

5. Actions the pass-through entity has taken to correct deficiencies such as those specified at 2 CFR 200.331(e), 2 CFR 200.207 and the 2 CFR Part 200.338 Remedies for Noncompliance.

Agenda Item #7.4:

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c.] Grant Source Recognition:

The recipient should publicly acknowledge the US EPA San Francisco Bay Water Quality Improvement Fund as the funding vehicle for the projects when the grantee is asked by public entities, federal agencies or state and local agencies about the projects and on-going results. d.] Quality Assurance Plan:

In accordance with 2 CFR 1500.11, the recipient must develop and implement quality assurance and quality control procedures, specifications and documentation that are sufficient to produce data of adequate quality to meet project objectives. Recipients implementing environmental programs within the scope of the assistance agreement must submit to the EPA Project Officer an approvable Quality Assurance Project Plan (QAPP) at least 60 days prior to the initiating of data collection or data compilation. The Quality Assurance Project Plan (QAPP) is the document that provides comprehensive details about the quality assurance, quality control, and technical activities that must be implemented to ensure that project objectives are met. Environmental programs include direct measurements or data generation, environmental modeling, compilation of date from literature or electronic media, and data supporting the design, construction, and operation of environmental technology.

The QAPP should be prepared in accordance with EPA QA/R-5: EPA Requirements for Quality Assurance Project Plans. No environmental data collection or data compilation may occur until the QAPP is approved by the EPA Project Officer and Quality Assurance Regional Manager. When the recipient is delegating the responsibility for an environmental data collection or data compilation activity to another organization, the EPA Regional Quality Assurance Manager may allow the recipient to review and approve that organization's QAPP. Additional information on these requirements can be found at the EPA Office of Grants and Debarment Web Site:
https://www.epa.gov/grants/implementation-quality-assurance-requirements-organizations-receivingepafinancial e.] Competency of Organizations Generating Environmental Measurement Data:

In accordance with Agency Policy Directive Number FEM-2012-02, Policy to Assure the Competency of Organizations Generating Environmental Measurement Data under Agency-Funded Assistance Agreements, the Recipient agrees, by entering into this agreement, that it has demonstrated competency prior to award, or alternatively, where a pre-award demonstration of competency is not practicable, Recipient agrees to demonstrate competency prior to carrying out any activities under the award involving the generation or use of environmental data. Recipient shall maintain competency for the duration of the project period of this agreement and this will be documented during the annual reporting process. A copy of the Policy is available online at https://www.epa.gov/sites/production/files/2015- 03/documents/competency-policy-aaia-new.pdf or a copy may also be requested by contacting the EPA Project Officer for this award.
f.] Cybersecurity Grant Condition for Other Recipients:
(a) The recipient agrees that when collecting and managing environmental data under this assistance agreement, it will protect the data by following all applicable State or Tribal law cybersecurity requirements.
(b)(1) EPA must ensure that any connections between the recipient's network or information system and Agenda Item #7.4:

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EPA networks used by the recipient to transfer data under this agreement, are secure. For purposes of this Section, a connection is defined as a dedicated persistent interface between an Agency IT system and an external IT system for the purpose of transferring information. Transitory, user-controlled connections such as website browsing are excluded from this definition.

If the recipient's connections as defined above do not go through the Environmental Information Exchange Network or EPA's Central Data Exchange, the recipient agrees to contact the EPA Project Officer (PO) no later than 90 days after the date of this award and work with the designated Regional/Headquarters Information Security Officer to ensure that the connections meet EPA security requirements, including entering into Interconnection Service Agreements as appropriate. This condition does not apply to manual entry of data by the recipient into systems operated and used by EPA's regulatory programs for the submission of reporting and/or compliance data. (b)(2) The recipient agrees that any subawards it makes under this agreement will require the subrecipient to comply with the requirements in (b)(1) if the subrecipient's network or information system is connected to EPA networks to transfer data to the Agency using systems other than the Environmental Information Exchange Network or EPA's Central Data Exchange. The recipient willbe in compliance withthis condition: by including this requirement in subaward agreements; and during subrecipient monitoring deemed necessary by the recipient under 2 CFR 200.332(d), by inquiring whether the subrecipient has contacted the EPA Project Officer. Nothing in this condition requires the recipient to contact the EPA Project Officer on behalf of a subrecipient or to be involved in the negotiation of an Interconnection Service Agreement between the subrecipient and EPA. g.] SF Bay Water Quality Improvement Fund Grant Davis-Bacon Requirement:
(a) Applicability of the Davis-Bacon (DB) Prevailing Wage Requirements.

The recipient agrees to include in all procurement contracts and subawards for the construction, alteration, and repair of treatment works carried out in whole or in part with funds made available by the San Francisco Bay Water Quality Improvement Fund awarded under Section 320 of the Clean Water Act (CWA), 33 U.S.C. §1330, and require that procurement contractors and subgrantees include such a term and condition in subcontracts and other lower tiered transactions. All contracts and subcontracts in excess of $2,000 for the construction of treatment works carried out in whole or in part with assistance made available as stated herein shall include in full in the contract clauses as attached hereto entitled “Wage Rate Requirements Under Section 513 of the CWA (Labor Standards), 33 U.S.C. § 1372, for the San Francisco Bay Water Quality Improvement Fund project.” This term and condition applies to all subagreements to provide assistance under the authorities referenced herein, whether in the form of a subgrant, or any other vehicle to provide financing for a project.

If the recipient encounters a unique situation at a site that presents uncertainties regarding DB applicability, the recipient must discuss the situation with EPA before authorizing work on that site. (b) Obtaining Wage Determinations.
(1) Unless otherwise instructed by EPA on a project specific basis, the recipients shall use DOL General Wage Classifications for the locality in which the construction activity subject to DB will take place.

Recipients must obtain proposed wage determinations for specific localities at SAM.gov. If the recipient is a non-governmental entity, after the recipient obtains its proposed wage determination, it must submit the wage determination to Regional Davis Bacon Coordinator [Fareed Ali, [email protected]], for Agenda Item #7.4:

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approval prior to inserting the wage determination into a solicitation, contract or before issuing task orders, work assignments, or similar instruments to existing contractors (ordering instruments) unless subsequently directed otherwise by EPA's Award Official.

Note: Recipients must discuss unique situations that may not be covered by the DOL General Wage Classifications with EPA. If, based on discussions with a recipient, EPA determines that DB applies to a unique situation (e.g., unusually extensive excavation) the Agency will advise the recipient which General Wage Classification to use based on the nature of the construction activity at the site.
(2) Recipients shall obtain the wage determination for the locality in which a San Francisco Bay Water Quality Improvement Fund grant activity subject to DB will take place prior to issuing requests for bids, proposals, quotes, or other methods for soliciting contracts (solicitation) for activities subject to DB.

These wage determinations shall be incorporated into solicitations and any subsequent contracts. Prime contracts must contain a provision requiring that subcontractors follow the wage determination incorporated into the prime contract.
(i) While the solicitation remains open, the recipient shall monitor SAM.gov on a weekly basis to ensure that the wage determination contained in the solicitation remains current.

The recipient shall amend the solicitation if DOL issues a modification more than 10 days prior to the closing date (i.e., bid opening) for the solicitation. If DOL modifies or supersedes the applicable wage determination less than 10 days prior to the closing date, the recipient may request a finding from EPA that there is not a reasonable time to notify interested contractors of the modification of the wage determination. EPA will provide a report of the Agency's finding to the recipient.
(ii) If the recipient does not award the contract within 90 days of the closure of the solicitation, any modifications DOL makes to the wage determination contained in the solicitation shall be effective unless EPA, at the request of the recipient, obtains an extension of the 90-day period from DOL pursuant to 29 CFR 1.6(c)(3)(iv). The recipient shall monitor SAM.gov on a weekly basis if it does not award the contract within 90 days of closure of the solicitation to ensure that wage determinations contained in the solicitation remain current.
(iii) If the recipient carries out a San Francisco Bay Water Quality Improvement grant activity subject to DB by issuing a task order, work assignment or similar instrument to an existing contractor (ordering instrument) rather than by publishing a solicitation, the recipient shall insert the appropriate DOL wage determination from SAM.gov into the ordering instrument.
(3) Recipients shall review all subcontracts subject to DB entered into by prime contractors to verify that the prime contractor has required its subcontractors to include the applicable wage determinations. (4) As provided in 29 CFR 1.6(f), DOL may issue a revised wage determination applicable to a recipient's contract after the award of a contract or the issuance of an ordering instrument if DOL determines that the recipient has failed to incorporate a wage determination or has used a wage determination that clearly does not apply to the contract or ordering instrument. If this occurs, the recipient shall either terminate the contract or ordering instrument and issue a revised solicitation or ordering instrument or incorporate DOL's wage determination retroactive to the beginning of the contract or ordering instrument Agenda Item #7.4:

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by change order. The recipient's contractor must be compensated for any increases in wages resulting from the use of DOL's revised wage determination.
(c) Contract and Subcontract Provisions
(1) The recipient shall insert in full in any contract in excess of $2,000 which is entered into for the actual construction, alteration and/or repair, including painting and decorating, of treatment works, and construction projects that would be eligible under the San Francisco Bay Water Quality Improvement Fund, and which is subject to the labor standards provision of Section 513 of the CWA (Labor Standards), 33 U.S.C. § 1372, the following labor standards provisions. (i) Minimum wages.
(I) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the applicable wage determination of the Secretary of Labor which the recipient obtained under the procedures specified in Item(b) Obtaining Wage Requirements, above, and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics.

Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1 (b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(i)(IV) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein:

Provided that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (1)(i)(II) of this section) and the DavisBacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. Recipients shall require that the contractor and subcontractors include the name of the recipient employee or official responsible for monitoring compliance with DB on the poster.

Recipients may obtain wage determinations from https://sam.gov/content/wage-determinations. (II)(A) The recipient, on behalf of EPA, shall require that contracts and subcontracts entered into under this agreement provide that any class of laborers or mechanics, including helpers, which is not listed in the wage determination, and which is to be employed under the contract shall be classified in conformance with the wage determination. The EPA Award Official shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

Agenda Item #7.4:

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(1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (II)(B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the recipient agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the recipient to the EPA Award Official. The Award Official will transmit the report, to the Administrator of the Wage and Hour Division (WHD) at whd[email protected]. The WHD Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the Award Official or will notify the Award Official within the 30-day period that additional time is necessary.
(II)(C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the recipient do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the award official shall refer the questions, including the views of all interested parties and the recommendation of the Award Official, to the WHD Administrator for determination. The WHD Administrator, or an authorized representative, at [email protected] will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the Award Official within the 30-day period that additional time is necessary. (II)(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (1)(i)(II)(B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.
(III) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.
(IV) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account, assets for the meeting of obligations under the plan or program.
(ii) Withholding. The recipient, upon written request of the Award Official or an authorized representative of the Department of Labor, shall withhold or cause to withhold from the contractor under this contract or any other federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by Agenda Item #7.4:

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the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, EPA may, after written notice to the contractor, or recipient take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.
(iii) Payrolls and basic records.
(I) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made, and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.
(II)(A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the recipient who will maintain the records on behalf of EPA. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead, the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division website at https:
//www.dol.gov/whd/forms/wh347.pdf or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker and shall provide them upon request to the recipient for transmission to the EPA, if requested by EPA, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the recipient. (II)(B) Each payroll submitted to the recipient shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or Agenda Item #7.4:

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supervises the payment of the persons employed under the contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be provided under § 5.5 (a)(3)(ii) of Regulations, 29 CFR Part 5, the appropriate information is being maintained under § 5.5 (a)(3)(i) of Regulations, 29 CFR Part 5, and that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR Part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (II)(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph (1)(iii)(II)(B) of this section. (II)(D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code.
(III) The contractor or subcontractor shall make the records required under paragraph (1)(iii)(I) of this section available for inspection, copying, or transcription by authorized representatives of the EPA or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, EPA may, after written notice to the contractor, recipient, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.
(iv) Apprentices and Trainees.
(I) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any Agenda Item #7.4:

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worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the WHD Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (II) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination.

Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.
(III) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.
(v) Compliance with Copeland Act requirements. The contractor shall comply with the Agenda Item #7.4:

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requirements of 29 CFR Part 3, which are incorporated by reference in this contract. (vi) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the EPA may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in this term and condition.
(vii) Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.
(viii) Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract.
(ix) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors), the recipient, borrower or subrecipient and EPA, the U.S.

Department of Labor, or the employees or their representatives. (x) Certification of eligibility.
(I) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12 (a)(1).
(II) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (III) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
(d) Contract Provisions for Contracts in Excess of $100,000. (1) Contract Work Hours and Safety Standards Act. The recipient shall insert the following clauses set forth in paragraphs (1)(i), (ii), (iii), and (iv) of this section in full in any contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act.

These clauses shall be inserted in addition to the clauses required by Item (c) Contract and Subcontract Provisions, above, or 29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics include watchmen and guards.
(i) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such Agenda Item #7.4:

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work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.
(ii) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (1)(i) of this section the contractor and any subcontractor responsible therefore shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages.

Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1)(i) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (1)(i) of this section. (iii) Withholding for unpaid wages and liquidated damages. The recipient, upon written request of the Award Official or an authorized representative of the Department of Labor, shall withhold or cause to withhold from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (1)(ii) of this section. (iv) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (1)(i) through (iv) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1)(i) through (iv) of this section.
(2) In addition to the clauses contained in Item (c) Contract and Subcontract Provisions, above, in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR 5.1, the recipient shall insert a clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid.

Further, the recipient shall insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of EPA and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job.
(e) Compliance Verification.
(1) The recipient shall periodically interview a sufficient number of employees entitled to DB prevailing wages (covered employees) to verify that contractors or subcontractors are paying the appropriate wage rates. As provided in 29 CFR 5.6(a)(6), all interviews must be conducted in confidence. The recipient Agenda Item #7.4:

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must use Standard Form (SF) 1445 or equivalent documentation to memorialize the interviews. Copies of the SF 1445 are available from EPA on request.
(2) The recipient shall establish and follow an interview schedule based on its assessment of the risks of noncompliance with DB posed by contractors or subcontractors and the duration of the contract or subcontract. At a minimum, the recipient must conduct interviews with a representative group of covered employees within two weeks of each contractor or subcontractor's submission of its initial weekly payroll data and two weeks prior to the estimated completion date for the contract or subcontract. Recipients must conduct more frequent interviews if the initial interviews or other information indicates that there is a risk that the contractor or subcontractor is not complying with DB. Recipients shall immediately conduct necessary interviews in response to an alleged violation of the prevailing wage requirements. All interviews shall be conducted in confidence.
(3) The recipient shall periodically conduct spot checks of a representative sample of weekly payroll data to verify that contractors or subcontractors are paying the appropriate wage rates. The recipient shall establish and follow a spot check schedule based on its assessment of the risks of noncompliance with DB posed by contractors or subcontractors and the duration of the contract or subcontract. At a minimum, the recipient must spot check payroll data within two weeks of each contractor or subcontractor's submission of its initial payroll data and two weeks prior to the completion date the contract or subcontract. recipients must conduct more frequent spot checks if the initial spot check or other information indicates that there is a risk that the contractor or subcontractor is not complying with DB. In addition, during the examinations, the recipient shall verify evidence of fringe benefit plans and payments thereunder by contractors and subcontractors who claim credit for fringe benefit contributions. (4) The recipient shall periodically review contractor and subcontractor use of apprentices and trainees to verify registration and certification with respect to apprenticeship and training programs approved by either the U.S Department of Labor or a state, as appropriate, and that contractors and subcontractors are not using disproportionate numbers of, laborers, trainees and apprentices. These reviews shall be conducted in accordance with the schedules for spot checks and interviews described in Item 5(b) and (c) above.
(5) Recipients must immediately report potential violations of the DB prevailing wage requirements to the EPA DB contact listed above and to the appropriate DOL Wage and Hour District Office listed at https:
//www.dol.gov/whd/america2.htm.
** END OF ASSISTANCE AGREEMENT **
Agenda Item #7.4:

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Revision History:

The Environmental Protection Agency’s General Terms and Conditions are published and become effective October 1st at the start of the federal fiscal year. Any additions, revisions, or changes to the terms and conditions after October 1 will be summarized below.

T&C Number Effective Date Description of Changes
#48 October 23, 2023 Implements new Office of Management and Budget (OMB) guidance on the Buy America preference for
infrastructure projects.
#5 January 12, 2024 Removed the customer service line for Research Triangle Park Finance Center (RTPFC).
#8 May 21, 2024 Added clarifying guidance on Subawards to Federal Agencies.
#33 May 21, 2024 Updated in accordance with 40 CFR 26 and EPA Order 1000.17A for human subjects research.

Table of Contents
Preface ................................................................................................................................................................................ 2 Financial Information.......................................................................................................................................................... 3 Selected Items of Cost ........................................................................................................................................................ 5 Reporting and Additional Post-Award Requirements.......................................................................................................10 Programmatic General Terms and Conditions..................................................................................................................25 Public Policy Requirements...............................................................................................................................................33 Sub Award Agreement - Exhibit B: EPA General Terms and Conditions Agenda Item #7.4:

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Preface

1. Introduction
(a) The recipient and any sub-recipient must comply with the applicable EPA general terms and conditions outlined below. These terms and conditions are in addition to the assurances and certifications made as part of the award and terms, conditions, and restrictions reflected on the official assistance award document. Recipients must review their official award document for additional administrative and programmatic requirements. Failure to comply with the general terms and conditions outlined below and those directly reflected on the official assistance award document may result in enforcement actions as outlined in 2 CFR 200.339 and 2 CFR 200.340. (b) If the EPA General Terms and Conditions have been revised, EPA will update the terms and conditions when it provides additional funding (incremental or supplemental) prior to the end of the period of performance of this agreement. The recipient must comply with the revised terms and conditions after the effective date of the EPA action that leads to the revision. Revised terms and conditions do not apply to the recipient’s expenditures of EPA funds or activities the recipient carries out prior to the effective date of the EPA action. EPA will inform the recipient of revised terms and conditions in the action adding additional funds.

2. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
This award is subject to the requirements of the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards; Title 2 CFR Part 200 and 2 CFR Part 1500. 2 CFR 1500.2, Adoption of 2 CFR Part 200, states the Environmental Protection Agency adopts the Office of Management and Budget (OMB) guidance Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards to Non-Federal Entities (subparts A through F of 2 CFR Part 200), as supplemented by 2 CFR Part 1500, as the Environmental Protection Agency (EPA) policies and procedures for financial assistance administration. 2 CFR Part 1500 satisfies the requirements of 2 CFR 200.110(a) and gives regulatory effect to the OMB guidance as supplemented by 2 CFR Part 1500. This award is also subject to applicable requirements contained in EPA programmatic regulations located in 40 CFR Chapter 1 Subchapter B.

2.1 Effective Date and Incremental or Supplemental Funding. Consistent with the OMB Frequently Asked Questions at https://cfo.gov/cofar on Effective Date and Incremental Funding, any new funding through an amendment (supplemental or incremental) on or after December 26, 2014, and any unobligated balances (defined at 2 CFR 200.1) remaining on the award at the time of the amendment, will be subject to the requirements of the Uniform Administrative Requirements, Cost Principles and Audit Requirements (2 CFR Parts 200 and 1500).

3. Termination
Consistent with 2 CFR 200.340, EPA may unilaterally terminate this award in whole or in part:
(a) If a recipient fails to comply with the terms and conditions of the award including statutory or regulatory requirements; or
Agenda Item #7.4:

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(b) If the award no longer effectuates the program goals or agency priorities. Situations in which EPA may terminate an award under this provision include when:
i. EPA obtains evidence that was not considered in making the award that reveals that specific award objective(s) are ineffective at achieving program goals and EPA determines that it is in the government’s interest to terminate the award; ii. EPA obtains evidence that was not considered in making the award that causes EPA to significantly question the feasibility of the intended objective(s) of the award and EPA determines that it is in the government’s interest to terminate the award; iii. EPA determines that the objectives of the award are no longer consistent with funding priorities for achieving program goals.

Financial Information

4. Reimbursement Limitation
EPA’s financial obligations to the recipient are limited by the amount of federal funding awarded to date as reflected on the award document. If the recipient incurs costs in anticipation of receiving additional funds from EPA, it does so at its own risk. See 2 CFR 1500.9.

5. Automated Standard Application Payments (ASAP) and Proper Payment Draw Down Electronic Payments. Recipients must be enrolled or enroll in the Automated Standard Application for Payments (ASAP) system to receive payments under EPA financial assistance agreements unless:
• EPA grants a recipient-specific exception;
• The assistance program has received a waiver from this requirement; • The recipient is exempt from this requirement under 31 CFR 208.4; or, • The recipient is a fellowship recipient pursuant to 40 CFR Part 46.

EPA will not make payments to recipients until the ASAP enrollment requirement is met unless the recipients fall under one of the above categories. Recipients may request exceptions using the procedures below but only EPA programs may obtain waivers. To enroll in ASAP, complete the ASAP Initiate Enrollment Form located at: https://www.epa.gov/financial/forms and email it to rtpfc[email protected] or mail it to:

US Environmental Protection Agency
RTP-Finance Center (Mail Code AA216-01)
4930 Page Rd.

Durham, NC 27711
Under this payment mechanism, the recipient initiates an electronic payment request online via ASAP, which is approved or rejected based on the amount of available funds authorized by EPA in the recipient’s ASAP account. Approved payments are credited to the account at the financial institution of the recipient organization set up by the recipient during the ASAP enrollment process.

Additional information concerning ASAP and enrollment can be obtained by contacting the EPA Agenda Item #7.4:

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Research Triangle Park Finance Center (RTPFC), at [email protected], or by visiting:
https://www.fiscal.treasury.gov/asap/.

EPA will grant exceptions to the ASAP enrollment requirement only in situations in which the recipient demonstrates to EPA that receiving payment via ASAP places an undue administrative or financial management burden on the recipient or EPA determines that granting the waiver is in the public interest. Recipients may request an exception to the requirement by following the procedures specified in RAIN-2018-G06-R.

Proper Payment Drawdown (for recipients other than states) (a) As required by 2 CFR 200.305(b), the recipient must draw funds from ASAP only for the minimum amounts needed for actual and immediate cash requirements to pay employees, contractors, subrecipients or to satisfy other obligations for allowable costs under this assistance agreement. The timing and amounts of the drawdowns must be as close as administratively feasible to actual disbursements of EPA funds. Disbursement within 5 business days of drawdown will comply with this requirement and the recipient agrees to meet this standard when performing this award.
(b) Recipients may not retain more than 5% of the amount drawn down, or $1,000 whichever is less, 5 business days after drawdown to materially comply with the standard. Any EPA funds subject to this paragraph that remain undisbursed after 5 business days must be fully disbursed within 15 business days of draw down or be returned to EPA. (c) If the recipient draws down EPA funds in excess of that allowed by paragraph b., the recipient must contact [email protected] for instructions on whether to return the funds to EPA.

Recipients must comply with the requirements at 2 CFR 200.305(b)(8) and (9) regarding depositing advances of Federal funds in interest bearing accounts. (d) Returning Funds: Pay.gov is the preferred mechanism to return funds. It is free, secure, paperless, expedient, and does not require the recipient/vendor to create an account. Contact RTPFC-Grants at [email protected] to obtain complete instructions. Additional information is available at the Pay.gov website. Information on how to repay EPA via check is available at https://www.epa.gov/financial/makepayment. Instructions on how to return funds to EPA electronically via ASAP are available at https://www.fiscal.treasury.gov/asap/. (e) Failure on the part of the recipient to materially comply with this condition may, in addition to EPA recovery of the un-disbursed portions of the drawn down funds, lead to changing the payment method from advance payment to a reimbursable basis. EPA may also take other remedies for noncompliance under 2 CFR 200.208 and/or 2 CFR 200.339. (f) If the recipient believes that there are extraordinary circumstances that prevent it from complying with the 5-business day disbursement requirement throughout the performance period of this agreement, recipients may request an exception to the requirement by following the procedures specified in RAIN-2018-G06-R. EPA will grant exceptions to the 5-business day disbursement requirement only if the recipient demonstrates that compliance places an undue Agenda Item #7.4:

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administrative or financial management burden or EPA determines that granting the exception is in the public interest.

Proper Payment Drawdown for State Recipients
In accordance with 2 CFR 200.305(a), payments are governed by Treasury-State Cash Management Improvement Act (CMIA) agreements and default procedures codified at 31 CFR Part 205, Subparts A and B and Treasury Financial Manual (TFM) 4A-2000, “Overall Disbursing Rules for All Federal Agencies” unless a program specific regulation (e.g. 40 CFR 35.3160 or 40 CFR 35.3560) provides otherwise. Pursuant to 31 CFR Part 205, Subpart A—Rules Applicable to Federal Assistance Programs Included in a Treasury-State Agreement, States follow their Treasury-State CMIA Agreement for major Federal programs listed in the agreement. For those programs not listed as major in the Treasury-State agreement, the State follows the default procedures in 31 CFR Part 205, Subpart B— Rules Applicable to Federal Assistance Programs Not Included in a Treasury-State Agreement, which directs State recipients to draw-down and disburse Federal financial assistance funds in anticipation of immediate cash needs of the State for work under the award. States must comply with 2 CFR 200.302(a) in reconciling costs incurred and charged to EPA financial assistance agreements at time of close out unless a program specific regulation provides otherwise.

Selected Items of Cost

6. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment This term and condition implements 2 CFR 200.216 and is effective for obligations and expenditures of EPA financial assistance funding on or after 8/13/2020.

As required by 2 CFR 200.216, EPA recipients and subrecipients, including borrowers under EPA funded revolving loan fund programs, are prohibited from obligating or expending loan or grant funds to procure or obtain; extend or renew a contract to procure or obtain; or enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. As described in Public Law 115-232, section 889, covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).

Recipients, subrecipients, and borrowers also may not use EPA funds to purchase:
(a) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities).
(b) Telecommunications or video surveillance services provided by such entities or using such equipment.

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(c) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country.

Consistent with 2 CFR 200.471, costs incurred for telecommunications and video surveillance services or equipment such as phones, internet, video surveillance, and cloud servers are allowable except for the following circumstances:
(a) Obligating or expending EPA funds for covered telecommunications and video surveillance services or equipment or services as described in 2 CFR 200.216 to:
(1) Procure or obtain, extend or renew a contract to procure or obtain; (2) Enter into a contract (or extend or renew a contract) to procure; or (3) Obtain the equipment, services, or systems.

Certain prohibited equipment, systems, or services, including equipment, systems, or services produced or provided by entities identified in section 889, are recorded in the System for Award Management exclusion list.

7. Consultant Cap
EPA participation in the salary rate (excluding overhead) paid to individual consultants retained by recipients or by a recipient's contractors or subcontractors shall be limited to the maximum daily rate for a Level IV of the Executive Schedule, available at: https://www.opm.gov/policy-dataoversight/pay-leave/salaries-wages/, to be adjusted annually. This limit applies to consultation services of designated individuals with specialized skills who are paid at a daily or hourly rate. This rate does not include transportation and subsistence costs for travel performed (the recipient will pay these in accordance with their normal travel reimbursement practices).

Information on how to calculate the maximum daily rate and the daily pay limitation is available at the Office Of Personnel Management’s Fact Sheet: How to Compute Rates of Pay and Fact Sheet:

Expert and Consultant Pay. Specifically, to determine the maximum daily rate, follow these steps:
(1) Divide the Level IV salary by 2087 to determine the hourly rate. Rates must be rounded to the nearest cent, counting one-half cent and over as the next higher cent (e.g., round $18.845 to $18.85).
(2) Multiply the hourly rate by 8 hours. The product is the maximum daily rate.

Contracts and subcontracts with firms for services that are awarded using the procurement requirements in Subpart D of 2 CFR Part 200 are not affected by this limitation unless the terms of the contract provide the recipient with responsibility for the selection, direction and control of the individuals who will be providing services under the contract at an hourly or daily rate of compensation. See 2 CFR 1500.10.

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8. Establishing and Managing Subawards
If the recipient chooses to pass funds from this assistance agreement to other entities, the recipient must comply with applicable provisions of 2 CFR Part 200 and the EPA Subaward Policy.

Subawards to Federal Agencies – Clarity on Applicable EPA Terms and Conditions: If the subrecipient is federal agency, the only provisions of the EPA General Terms and Conditions implementing 2 CFR Part 200 on subawards that apply are: (1) the requirement for the federal agency to obtain a Unique Entity Identifier (UEI) in accordance with 2 CFR Part 25 as described in Item 3 below and (2) the requirement for the recipient to report on first-tier subawards as described in EPA General Term and Condition 15.1, “Reporting of first tier subawards.” As provided within 2 CFR 200.101(a)(2), all other provisions of 2 CFR Part 200, Subparts A through E, do not apply to subawards with federal agencies. Transactions between the recipient and the federal agency subrecipient will be governed by the federal agency subrecipient’s cost reimbursement agreement with the recipient.

As a pass-through entity, the recipient agrees to:
1) Be responsible for selecting subrecipients and as appropriate conducting subaward competitions using a system for properly differentiating between subrecipients and procurement contractors under the standards at 2 CFR 200.331 and EPA’s supplemental guidance in Appendix A of the EPA Subaward Policy.
(a) For-profit organizations and individual consultants, in almost all cases, are not eligible subrecipients under EPA financial assistance programs and the pass-through entity must obtain prior written approval from EPA’s Award Official for subawards to these entities unless the EPA- approved budget and work plan for this agreement contain a precise description of such subawards.
(b) Stipends and travel assistance for trainees (including interns) and similar individuals who are not are not employees of the pass-through entity must be classified as participant support costs rather than subawards as provided in 2 CFR 200.1 Participant support costs, 2 CFR 200.1 Subaward, and EPA’s Guidance on Participant Support Costs.
(c) Subsidies, rebates and similar payments to participants in EPA funded programs to encourage environmental stewardship are also classified as Participant support costs as provided in 2 CFR 1500.1 and EPA’s Guidance on Participant Support Costs. 2) Establish and follow a system that ensures all subaward agreements are in writing and contain all of the elements required by 2 CFR 200.332(a). EPA has developed a template for subaward agreements that is available in Appendix D of the EPA Subaward Policy. 3) Prior to making subawards, ensure that each subrecipient has a “Unique Entity Identifier (UEI).” The UEI is required by 2 CFR Part 25 and 2 CFR 200.332(a)(1). Subrecipients are not required to complete full System for Award Management (SAM) registration to obtain a UEI. Information regarding obtaining a UEI is available at the SAM Internet site: https://www.sam.gov/SAM/ and Agenda Item #7.4:

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in EPA’s General Term and Condition “System for Award Management and Universal Identifier Requirements” of the pass-through entity’s agreement with the EPA. 4) Ensure that subrecipients are aware that they are subject to the same requirements as those that apply to the pass-through entity’s EPA award as required by 2 CFR 200.332(a)(2). These requirements include, among others:
(a) Title VI of the Civil Rights Act and other Federal statutes and regulations prohibiting discrimination in Federal financial assistance programs, as applicable. (b) Reporting Subawards and Executive Compensation under Federal Funding Accountability and Transparency Act (FFATA) set forth in the General Condition passthrough entity’s agreement with EPA entitled “Reporting Subawards and Executive Compensation.”
(c) Limitations on individual consultant fees as set forth in 2 CFR 1500.10 and the General Condition of the pass-through entity’s agreement with EPA entitled “Consultant Fee Cap.”
(d) EPA’s prohibition on paying management fees as set forth in General Condition of the pass-through entity’s agreement with EPA entitled “Management Fees.” (e) The Procurement Standards in 2 CFR Part 200 including those requiring competition when the subrecipient acquires goods and services from contractors (including consultants).

EPA provides general information on other statutes, regulations, and Executive Orders on the Grants internet site at https://www.epa.gov/grants/epa-subaward-cross-cutter-requirements.

Many Federal requirements are agreement or program specific, and EPA encourages passthrough entities to review the terms of their assistance agreement carefully and consult with their EPA Project Officer for advice if necessary.
5) Ensure, for states and other public recipients, that subawards are not conditioned in a manner that would disadvantage applicants for subawards based on their religious character. 6) Establish and follow a system for evaluating subrecipient risks of noncompliance with Federal statutes, regulations and the terms and conditions of the subaward as required by 2 CFR 200.332(b) and document the evaluation. Risk factors may include:
(a) Prior experience with same or similar subawards
(b) Results of previous audits;
(c) Whether new or substantially changed personnel or systems, and; (d) Extent and results of Federal awarding agency or the pass-through entity’s monitoring 7) Establish and follow a process for deciding whether to impose additional requirements on subrecipients based on risk factors as required by 2 CFR 200.332(c). Examples of additional requirements authorized by 2 CFR 200.208 include:
(a) Requiring payments as reimbursements rather than advance payments; (b) Withholding authority to proceed to the next phase until receipt of evidence of acceptable performance within a given period of performance;
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(c) Requiring additional, more detailed financial reports; (d) Requiring additional project monitoring;
(e) Requiring the non-Federal entity to obtain technical or management assistance, and (f) Establishing additional prior approvals
8) Establish and follow a system for monitoring subrecipient performance that includes the elements required by 2 CFR 200.332(d) and report the results of the monitoring in performance reports as provided in the reporting terms and conditions of this agreement. 9) Establish and maintain an accounting system which ensures compliance with the $25,000 limitation at 2 CFR 200.1, Modified Total Direct Costs, if applicable, on including subaward costs in Modified Total Direct Costs for the purposes of distributing indirect costs. Recipients with Federally approved indirect cost rates that use a different basis for distributing indirect costs to subawards must comply with their Indirect Cost Rate Agreement. 10) Work with EPA’s Project Officer to obtain the written consent of EPA’s Office of International and Tribal Affairs (OITA), prior to awarding a subaward to a foreign or international organization, or a subaward to be performed in a foreign country even if that subaward is described in a proposed scope of work.
11) Obtain written approval from EPA’s Award Official for any subawards that are not described in the approved work plan in accordance with 2 CFR 200.308. 12) Obtain the written approval of EPA’s Award Official prior to awarding a subaward to an individual if the EPA-approved scope of work does not include a description of subawards to individuals.
13) Establish and follow written procedures under 2 CFR 200.302(b)(7) for determining that subaward costs are allowable in accordance with 2 CFR Part 200, Subpart E and the terms and conditions of this award. These procedures may provide for allowability determinations on a pre-award basis, through ongoing monitoring of costs that subrecipients incur, or a combination of both approaches provided the pass-through entity documents its determinations. 14) Establish and maintain a system under 2 CFR 200.332(d)(3) and 2 CFR 200.521 for issuing management decisions for audits of subrecipients that relate to Federal awards. However, the recipient remains accountable to EPA for ensuring that unallowable subaward costs initially paid by EPA are reimbursed or mitigated through offset with allowable costs whether the recipient recovers those costs from the subrecipient or not.
15) As provided in 2 CFR 200.333, pass-through entities must obtain EPA approval to make fixed amount subawards. EPA is restricting the use of fixed amount subawards to a limited number of situations that are authorized in official EPA pilot projects. Recipients should consult with their EPA Project Officer regarding the status of these pilot projects.

By accepting this award, the recipient is certifying that it either has systems in place to comply with the requirements described in Items 1 through 14 above or will refrain from making subawards until the systems are designed and implemented.

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9. 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 assistance agreement.

Management fees or similar charges may not be used to improve or expand the project funded under this agreement, except to the extent authorized as a direct cost of carrying out the scope of work.

10. Federal Employee Costs
The recipient understands that none of the funds for this project (including funds contributed by the recipient as cost sharing) may be used to pay for the travel of Federal employees or for other costs associated with Federal participation in this project unless a Federal agency will be providing services to the recipient as authorized by a Federal statute.

11. Foreign Travel
EPA policy requires that all foreign travel must be approved by its Office of International and Tribal Affairs. The recipient agrees to obtain prior EPA approval before using funds available under this agreement for international travel unless the trip(s) are already described in the EPA approved budget for this agreement. Foreign travel includes trips to Mexico and Canada but does not include trips to Puerto Rico, the U.S. Territories or possessions. Recipients that request post-award approval to travel frequently to Mexico and Canada by motor vehicle (e.g., for sampling or meetings) may describe their proposed travel in general terms in their request for EPA approval. Requests for prior approval must be submitted to the Project Officer for this agreement.

12. The Fly America Act and Foreign Travel
The recipient understands that all foreign travel funded under this assistance agreement must comply with the Fly America Act. All travel must be on U.S. air carriers certified under 49 U.S.C.

Section 40118, to the extent that service by such carriers is available even if foreign air carrier costs are less than the American air carrier.

13. Union Organizing
Grant funds may not be used to support or oppose union organizing, whether directly or as an offset for other funds.

Reporting and Additional Post-Award Requirements

14. System for Award Management and Universal Identifier Requirements

14.1 Requirement for System for Award Management (SAM) Unless exempted from this requirement under 2 CFR 25.110, the recipient must maintain current information in the SAM. This includes information on the recipient’s immediate and highest-level owner and subsidiaries, as well as on all the recipient’s predecessors that have been Agenda Item #7.4:

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awarded a Federal contract or Federal financial assistance within the last three years, if applicable, until the submittal of the final financial report required under this award or receipt of the final payment, whichever is later. This requires that the recipient reviews and updates the information at least annually after the initial registration, and more frequently if required by changes in the information or another award term.

14.2 Requirement for Unique Entity Identifier. If the recipient is authorized to make subawards under this award, the recipient:
a. Must notify potential subrecipients that no entity (see definition in paragraph

14.3 of this award term) may receive a subaward unless the entity has provided its Unique Entity Identifier.
b. May not make a subaward to an entity unless the entity has provided its Unique Entity Identifier. Subrecipients are not required to obtain an active SAM registration but must obtain a Unique Entity Identifier.

14.3 Definitions. For the Purpose of this award term:
a. System for Award Management (SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site: https://www.sam.gov/SAM/.
b. Unique Entity Identifier means the identifier assigned by SAM to uniquely identify business entities
c. Entity includes non-Federal entities as defined as 2 CFR 200.1 and also includes all of the following:

14.3.c.1. A foreign organization;

14.3.c.2. A foreign public entity;

14.3.c.3. A domestic for-profit organization; and

14.3.c.4. A domestic or foreign for-profit organization; and

14.3.c.5. A Federal agency.
d. Subaward is defined at 2 CFR 200.1
e. Subrecipient is defined at 2 CFR 200.1

15. Reporting Subawards and Executive Compensation

15.1 Reporting of first tier subawards.
a. Applicability. Unless the recipient is exempt as provided in paragraph 15.4. of this award term, the recipient must report each action that obligates $30,000 or more in Federal funds for a subaward to a non-Federal entity or Federal agency (see definitions in paragraph 15.5 of this award term). b. Where and When to Report. (1) The recipient must report each obligating action described in paragraph 15.1.a of this award term to www.fsrs.gov. (2) For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on any date during the month of November of a given year, the obligation must be reported by no later than December 31 of that year.) Agenda Item #7.4:

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c. What to Report. The recipient must report the information about each obligating action as described in the submission instructions available at:
http://www.fsrs.gov.

15.2 Reporting Total Compensation of Recipient Executives. a. Applicability and What to Report. The recipient must report total compensation for each of their five most highly compensated executives for the preceding completed fiscal year, if:

15.2.a.1. The total Federal funding authorized to date under this award is $30,000 or more;

15.2.a.2. In the preceding fiscal year, the recipient received: (i.) 80 percent or more of their annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); (ii.) and $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

15.2.a.3. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at:
http:// www.sec.gov/answers/execomp.htm.)
b. Where and When to Report. The recipient must report executive total compensation described in paragraph 15.2.a of this award term: (i.) As part of the registration System for Award Management profile available at https://www.sam.gov/SAM/ (ii.) By the end of the month following the month in which this award is made, and annually thereafter.

15.3 Reporting Total Compensation of Subrecipient Executives. a. Applicability and What to Report. Unless exempt as provided in paragraph 15.4. of this award term, for each first-tier non-Federal entity subrecipient under this award, the recipient shall report the names and total compensation of each of the subrecipient’s five most highly compensated executives for the subrecipient’s preceding completed fiscal year, if:

15.3.a.1. In the subrecipient’s preceding fiscal year, the subrecipient received: (i.) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and (ii.) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and
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15.3.a.2. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at:
http:// www.sec.gov/answers/execomp.htm.)
b. Where and When to Report. The recipient must report subrecipient executive total compensation described in paragraph 15.3.a. of this award term:

15.3.b.1. To the recipient.

15.3.b.2. By the end of the month following the month during which the recipient makes the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), the recipient must report any required compensation information of the subrecipient by November 30 of that year.

15.4 Exemptions
a. If, in the previous tax year, the recipient had gross income, from all sources, under $300,000, the recipient is exempt from the requirements to report:

15.4.a.1. (i) subawards, and (ii) the total compensation of the five most highly compensated executives of any subrecipient.

15.5 Definitions. For purposes of this award term:
a. Federal Agency means a Federal agency as defined at 5 U.S.C. 551(1) and further clarified by 5 U.S.C 552(f).
b. Non-Federal entity means all of the following, as defined in 2 CFR Part 25: (i.) A Governmental organization, which is a State, local government, or Indian tribe; (ii.) A foreign public entity; (iii.) A domestic or foreign nonprofit organization; and (iv.) A domestic or foreign for-profit organization. c. Executive means officers, managing partners, or any other employees in management positions.
d. Subaward:

15.5.d.1. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

15.5.d.2. The term does not include procurement of property and services needed to carry out the project or program (for further explanation, see 2 CFR 200.331).

15.5.d.3. A subaward may be provided through any legal agreement, including an agreement that the recipient or a subrecipient considers a contract.
e. Subrecipient means a non-Federal entity or Federal agency that:

15.5.e.1. Receives a subaward from the recipient under this award; and Agenda Item #7.4:

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15.5.e.2. Is accountable to the recipient for the use of the Federal funds provided by the subaward.
f. Total compensation means the cash and noncash dollar value earned by the executive during the recipient’s or subrecipient’s preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)):

15.5.f.1. Salary and bonus.

15.5.f.2. Awards of stock, stock options and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.

15.5.f.3. Earnings for services under non-equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives and are available generally to all salaried employees.

15.5.f.4. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans.

15.5.f.5. Above-market earnings on deferred compensation which is not taxqualified.

15.5.f.6. Other compensation, if the aggregate value of all such other compensation (e.g., severance, termination payments, value of life insurance paid on behalf of the employee, perquisites, or property) for the executive exceeds $10,000.

16. Recipient Integrity and Performance Matters – Reporting of Matters Related to Recipient Integrity and Performance

16.1 General Reporting Requirement
If the total value of your currently active grants, cooperative agreements, and procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this Federal award, then you as the recipient during that period of time must maintain the currency of information reported to the System for Award Management (SAM) that is made available in the designated integrity and performance system (currently the responsibility/qualification information) about civil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available.

16.2 Proceedings About Which You Must Report
Submit the information required about each proceeding that:

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a. Is in connection with the award or performance of a grant, cooperative agreement, or procurement contract from the Federal Government; b. Reached its final disposition during the most recent five-year period; and c. Is one of the following:

16.2.c.1. A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this award term and condition;

16.2.c.2. A civil proceeding that resulted in a finding of fault and liability and payment of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;

16.2.c.3. An administrative proceeding, as defined in paragraph 5. of this award term and condition, that resulted in a finding of fault and liability and your payment of either a monetary fine or penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or

16.2.c.4. Any other criminal, civil, or administrative proceeding if:

16.2.c.4.1. It could have led to an outcome described in paragraph

16.2.c.1, 16.2.c.2, or 16.2.c.3 of this award term and condition;

16.2.c.4.2. It had a different disposition arrived at by consent or compromise with an acknowledgment of fault on your part; and

16.2.c.4.3. The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations.

16.3 Reporting Procedures
Enter in SAM Entity Management area the information that SAM requires about each proceeding described in paragraph 2 of this award term and condition. You do not need to submit the information a second time under assistance awards that you received if you already provided the information through SAM because you were required to do so under Federal procurement contracts that you were awarded.

16.4 Reporting Frequency
During any period of time when you are subject to the requirement in paragraph 16.1 of this award term and condition, you must report proceedings information through SAM for the most recent five-year period, either to report new information about any proceeding(s) that you have not reported previously or affirm that there is no new information to report. Recipients that have Federal contract, grant, and cooperative agreement awards with a cumulative total value greater than $10,000,000 must disclose semiannually any information about the criminal, civil, and administrative proceedings.

16.5 Definitions
For purposes of this award term and condition:
a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of Contract Appeals Agenda Item #7.4:

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proceedings). This includes proceedings at the Federal and State level but only in connection with performance of a Federal contract or grant. It does not include audits, site visits, corrective plans, or inspection of deliverables. b. Conviction, for purposes of this award term and condition, means a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement contracts includes –

16.5.c.1. Only the Federal share of the funding under any Federal award with a recipient cost share or match; and

16.5.c.2. The value of all expected funding increments under a Federal award and options, even if not yet exercised.

17. Federal Financial Reporting (FFR)
Pursuant to 2 CFR 200.328 and 2 CFR 200.344, EPA recipients must submit the Federal Financial Report (SF-425) at least annually and no more frequently than quarterly. EPA’s standard reporting frequency is annual unless an EPA Region has included an additional term and condition specifying greater reporting frequency within this award document. EPA recipients must submit the SF-425 no later than 30 calendar days after the end of each specified reporting period for quarterly and semiannual reports and 90 calendar days for annual reports. Final reports are due no later than 120 calendar days after the end date of the period of performance of the award. Extension of reporting due dates may be approved by EPA when requested and justified by the recipient. The FFR form is available on the internet at: https://www.epa.gov/grants/sf-425-federal-financial-report. All FFRs must be submitted to the Research Triangle Park Finance Center (RTPFC) via email at rtpfc[email protected] or mail it to:

US Environmental Protection Agency
RTP-Finance Center (Mail Code AA216-01)
4930 Page Rd.

Durham, NC 27703
The RTPFC will make adjustments as necessary, to obligated funds after reviewing and accepting a final Federal Financial Report. Recipients will be notified and instructed by EPA if they must complete any additional forms for the closeout of the assistance agreement.

18. Indirect Cost Rate Agreements
This term and condition provides requirements for recipients using EPA funds for indirect costs and applies to all EPA assistance agreements unless there are statutory or regulatory limits on IDCs. See also EPA’s Indirect Cost Policy for Recipients of EPA Assistance Agreements (IDC Policy).

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In order for the assistance agreement recipient to use EPA funding for indirect costs, the IDC category of the recipient’s assistance agreement award budget must include an amount for IDCs and at least one of the following must apply:
• With the exception of “exempt” agencies and Institutions of Higher Education as noted below, all recipients must have one of the following current (not expired) IDC rates, including IDC rates that have been extended by the cognizant agency:
• Provisional
• Final
• Fixed rate with carry-forward
• Predetermined
• 10% de minimis rate of modified total direct costs authorized by 2 CFR 200.414(f) • EPA-approved use of an expired fixed rate with carry-forward on an exception basis, as detailed in section 6.4.a. of the IDC Policy
• “Exempt” state of local governmental departments or agencies are agencies that receive up to and including $35,000,000 in Federal funding per the department or agency’s fiscal year and must have an IDC rate proposal developed in accordance with 2 CFR Part 200, Appendix VII, with documentation maintained and available for audit. • Institutions of Higher Education must use the IDC rate in place at the time of award for the life of the assistance agreement (unless the rate was provisional at time of award, in which case the rate will change once it becomes final). As provided by 2 CFR Part 200, Appendix III(C)(7), the term “life of the assistance agreement”, means each competitive segment of the project. Additional information is available in the regulation.

IDCs incurred during any period of the assistance agreement that are not covered by the provisions above are not allowable costs and must not be drawn down by the recipient. Recipients may budget for IDCs if they have submitted a proposed IDC rate to their cognizant Federal agency or requested an exception from EPA under subsection 6.4 of the IDC Policy. However, recipients may not draw down IDCs until their rate is approved, if applicable, or EPA grants an exception. IDC drawdowns must comply with the indirect rate corresponding to the period during which the costs were incurred.

This term and condition does not govern indirect rates for subrecipients or recipient procurement contractors under EPA assistance agreements. Pass-through entities are required to comply with 2 CFR 200.332(a)(4)(i) and (ii) when establishing indirect cost rates for subawards.

19. Audit Requirements
In accordance with 2 CFR 200.501(a), the recipient hereby agrees to obtain a single audit from an independent auditor, if their organization expends $750,000 or more in total Federal funds in their fiscal year for that year.

The recipient must submit the form SF-SAC and a Single Audit Report Package within 9 months of the end of the recipient’s fiscal year or 30 days after receiving the report from an independent Agenda Item #7.4:

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auditor. The SF-SAC and a Single Audit Report Package MUST be submitted using the Federal Audit Clearinghouse’s Internet Data Entry System available at: https://facides.census.gov/.

For complete information on how to accomplish the single audit submissions, the recipient will need to visit the Federal Audit Clearinghouse Web site: https://facweb.census.gov/

20. Closeout Requirements
Reports required for closeout of the assistance agreement must be submitted in accordance with this agreement. Submission requirements and frequently asked questions can also be found at:
https://www.epa.gov/grants/frequent-questions-about-closeouts

21. Suspension and Debarment
Recipient shall fully comply with Subpart C of 2 C.F.R. Part 180 entitled, “Responsibilities of Participants Regarding Transactions Doing Business With Other Persons,” as implemented and supplemented by 2 C.F.R. Part 1532. Recipient is responsible for ensuring that any lower tier covered transaction, as described in Subpart B of 2 C.F.R. Part 180, entitled “Covered Transactions,” and 2 C.F.R. § 1532.220, includes a term or condition requiring compliance with 2 C.F.R. Part 180, Subpart C. Recipient is responsible for further requiring the inclusion of a similar term and condition in any subsequent lower tier covered transactions. Recipient acknowledges that failing to disclose the information required under 2 C.F.R. § 180.335 to the EPA office that is entering into the transaction with the recipient may result in the delay or negation of this assistance agreement, or pursuance of administrative remedies, including suspension and debarment. Recipients may access the System for Award Management (SAM) exclusion list at https://sam.gov/SAM/ to determine whether an entity or individual is presently excluded or disqualified.

22. Representation by Corporations Regarding Delinquent Tax Liability or a Felony Conviction under any Federal Law
This award is subject to the provisions contained in an appropriations act(s) which prohibits the Federal Government from entering into a contract, memorandum of understanding, or cooperative agreement with, make a grant to, or provide a loan or loan guarantee to any corporation having a delinquent Federal tax liability or a felony conviction under any Federal law, unless the agency has considered suspension or debarment of the corporation and has made a determination that this further action is not necessary to protect the interests of the Government. A “corporation” is a legal entity that is separate and distinct from the entities that own, manage, or control it. It is organized and incorporated under the jurisdictional authority of a governmental body, such as a State or the District of Columbia. A corporation may be a for-profit or non-profit organization.

As required by the appropriations act(s) prohibitions, the Government will not enter into a contract, memorandum of understanding, or cooperative agreement with, make a grant to, or provide a loan or loan guarantee with any corporation that — (1) Has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority Agenda Item #7.4:

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responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax liability, unless an agency has considered suspension or debarment of the corporation and made a determination that suspension or debarment is not necessary to protect the interests of the Government; or (2) Was convicted of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency is aware of the conviction, unless an agency has considered suspension or debarment of the corporation and made a determination that this action is not necessary to protect the interests of the Government.

By accepting this award, the recipient represents that it is not a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and it is not a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months.

Alternatively, by accepting this award, the recipient represents that it disclosed unpaid Federal tax liability information and/or Federal felony conviction information to the EPA. The recipient may accept this award if the EPA Suspension and Debarment Official has considered suspension or debarment of the corporation based on tax liabilities and/or Federal felony convictions and determined that suspension or debarment is not necessary to protect the Government’s interests.

If the recipient fails to comply with this term and condition, EPA will annul this agreement and may recover any funds the recipient has expended in violation of the appropriations act(s) prohibition(s).

The EPA may also pursue other administrative remedies as outlined in 2 CFR 200.339 and 2 CFR 200.340 and may also pursue suspension and debarment.

23. Disclosing Conflict of Interest

23.1 For Award to Non-Federal Entities and Individuals (other than states and fellowship recipients under 40 CFR Part 46)
As required by 2 CFR 200.112, EPA has established a policy (COI Policy) for disclosure of conflicts of interest (COI) that may affect EPA financial assistance awards. EPA’s COI Policy is posted at https://www.epa.gov/grants/epas-financial-assistance-conflictinterest-policy. The posted version of EPA’s COI Policy is applicable to new funding (initial awards, supplemental and incremental funding) awarded on or after October 1, 2015.

For competitive awards, recipients must disclose any competition related COI described in section 4.0(a) of the COI Policy that are discovered after award to the EPA Grants Specialist listed on the Assistance Agreement/Amendment within 30 calendar days of discovery of the COI. The Grants Specialist will respond to any such disclosure within 30 calendar days.

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EPA’s COI Policy requires that recipients have systems in place to address, resolve and disclose to EPA COIs described in sections 4.0(b), (c) and/or (d) of the COI Policy that affect any contract or subaward regardless of amount funded under this award. The recipient’s COI Point of Contact for the award must disclose any COI to the EPA Grants Specialist listed on the Assistance Agreement/Amendment within 30 calendar days of the discovery of the potential COI and their approach for resolving the COI.

EPA’s COI Policy requires that subrecipients have systems in place to address, resolve and disclose COI’s described in section 4.0(b)(c) and (d) of the COI Policy regardless of the amount of the transaction. Recipients who are pass-through entities as defined at 2 CFR 200.1 must require that subrecipients being considered for or receiving subawards disclose COI to the pass-through entities in a manner that, at a minimum, is in accordance with sections 5.0(d) and 7.0(c) of EPA’s COI Policy. Pass-through entities must disclose the subrecipient COI along with the approach for resolving the COI to the EPA Grants Specialist listed on the Assistance Agreement/Amendment within 30 calendar days of receiving notification of the COI by the subrecipient.

EPA only requires that recipients and subrecipients disclose COI’s that are discovered under their systems for addressing and resolving COI. If recipients or subrecipients do not discover a COI, they do not need to advise EPA or the pass-through entity of the absence of a COI.

Upon notice from the recipient of a potential COI and the approach for resolving it, the Agency will then make a determination regarding the effectiveness of these measures within 30 days of receipt of the recipient’s notice unless a longer period is necessary due to the complexity of the matter. Recipients may not request payment from EPA for costs for transactions subject to the COI pending notification of EPA’s determination.

Failure to disclose a COI may result in cost disallowances.

Disclosure of potential COI will not necessarily result in EPA disallowing costs, with the exception of procurement contracts that the Agency determines violate 2 CFR 200.318(c)(1) or (2), provided the recipient notifies EPA of measures the recipient or subrecipient has taken to eliminate, neutralize or mitigate the conflict of interest when making the disclosure.

23.2 For Awards to States Including State Universities that are State Agencies or Instrumentalities
As required by 2 CFR 200.112, EPA has established a policy (COI Policy) for disclosure of conflicts of interest (COI) that may affect EPA financial assistance awards. EPA’s COI Policy is posted at: https://www.epa.gov/grants/epas-financial-assistance-conflictinterest-policy. The posted version of EPA’s COI Policy is applicable to new funding Agenda Item #7.4:

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(initial awards, supplemental, incremental funding) awarded on or after October 1, 2015.

States including state universities that are state agencies and instrumentalities receiving funding from EPA are only required to disclose subrecipient COI as a pass-through entity as defined by 2 CFR 200.1. Any other COI are subject to state laws, regulations, and policies. EPA’s COI Policy requires that subrecipients have systems in place to address, resolve and disclose COIs described in section 4.0(b)(c) and (d) of the COI Policy that arise after EPA made the award regardless of the amount of the transaction. States who are pass-through entities as defined at 2 CFR 200.1 must require that subrecipients being considered for or receiving subawards disclose COI to the state in a manner that, as a minimum, in accordance with sections 5.0(d) and 7.0(c) of EPA’s COI Policy. States must disclose the subrecipient COI along with the approach for resolving the COI to the EPA Grants Specialist listed on the Assistance Agreement/Amendment within 30 calendar days of receiving notification of the COI by the subrecipient.

EPA only requires that subrecipients disclose COI’s to state pass-through entities that are discovered under their systems for addressing, resolving, and disclosing COI. If subrecipients do not discover a COI, they do not need to advise state pass-through entities of the absence of a COI.

Upon receiving notice of a potential COI and the approach for resolving it, the Agency will make a determination regarding the effectiveness of these measures within 30 days of receipt of the state’s notice of a subrecipient COI unless a longer period is necessary due to the complexity of the matter. States may not request payment from EPA for costs for transactions subject to the COI pending notification of EPA’s determination. A subrecipient’s failure to disclose a COI to the state and EPA may result in cost disallowances.

Disclosure of potential subrecipient COI will not necessarily result in EPA disallowing costs, with the exception of procurement contracts that the Agency determines violate 2 CFR 200.318(c)(1) or (2), provided the subrecipient has taken measures that EPA and the state agree eliminate, neutralize or mitigate the conflict of interest.

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24. Transfer of Funds

24.1 Transfer of Funds
Applicable to all assistance agreements other than Continuing Environmental Program Grants subject to 40 CFR 35.114 and 40 CFR 35.514 when EPA’s share of the total project costs exceeds the Simplified Acquisition Threshold. Simplified Acquisition Threshold is defined at 2 CFR 200.1 and is currently set at $250,000 but the amount is subject to adjustment. (1) As provided at 2 CFR 200.308(f), the recipient must obtain prior approval from EPA’s Grants Management Officer if the cumulative amount of funding transfers among direct budget categories or programs, functions and activities exceeds 10% of the total budget. Recipients must submit requests for prior approval to the Grant Specialist and Grants Management Officer with a copy to the Project Officer for this agreement. (2) Recipients must notify EPA’s Grant Specialist and Project Officer of cumulative funding transfers among direct budget categories or programs, functions and activities that do not exceed 10% of the total budget for the agreement. Prior approval by EPA’s Grant Management Officer is required if the transfer involves any of the items listed in 2 CFR 200.407 that EPA did not previously approve at time of award or in response to a previous post-award request by the recipient.

24.2 Post-Award Changes for Continuing Environmental Program Grants Applicable to Continuing Environmental Program Grants subject to 40 CFR 35.114 and 40 CFR

35.514 when EPA’s share of the total project costs exceeds the Simplified Acquisition Threshold.

Simplified Acquisition Threshold is defined at 2 CFR 200.1 and is currently set at $250,000 but the amount is subject to adjustment.

To determine if a post-award change in work plan commitments is significant and requires prior written approval for the purposes of 40 CFR §35.114(a) or 40 CFR §35.514(a), the recipient agrees to consult the EPA Project Officer (PO) before making the change. The term work plan commitments is defined at 40 CFR §35.102. If the PO determines the change is significant, the recipient cannot make the change without prior written approval by the EPA Award Official or Grants Management Officer.

The recipient must obtain written approval from the EPA Award Official prior to transferring funds from one budget category to another if the EPA Award Official determines that such transfer significantly changes work plan commitment(s). All transfers must be reported in required performance reports. In addition, unless approved with the budget at the time of award, Continuing Environmental Program (CEP) recipients must also obtain prior written approval from the EPA Award Official or Grants Management Officer to use EPA funds for directly charging compensation for administrative and clerical personnel under 2 CFR 200.413(c) and the General Provisions for Selected Items of Cost allowability at 2 CFR 200.420 through 2 CFR 200.476 as supplemented by EPA’s Guidance on Selected Items of Cost. The recipient is not required to obtain prior written approval from the EPA Award Official for other items requiring prior EPA approval listed in 2 CFR §§ 200.407.

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25. Electronic/Digital Signatures on Financial Assistance Agreement Form(s)/Document(s) Throughout the life of this assistance agreement, the recipient agrees to ensure that any form(s)/document(s) required to be signed by the recipient and submitted to EPA through any means including but not limited to hard copy via U.S. mail or express mail, hand delivery or through electronic means such as e-mail are: (1) signed by the individual identified on the form/document, and (2) the signer has the authority to sign the form/document for the recipient. Submission of any signed form(s)/document(s) is subject to any provisions of law on making false statements (e.g., 18 U.S.C. 1001).

26. Extension of Project/Budget Period Expiration Date
EPA has not exercised the waiver option to allow automatic one-time extensions for non-research grants under 2 CFR 200.308(e)(2). Therefore, if a no-cost time extension is necessary to extend the period of availability of funds, the recipient must submit a written request to the EPA prior to the budget/project period expiration dates. The written request must include: a justification describing the need for additional time, an estimated date of completion, and a revised schedule for project completion including updated milestone target dates for the approved workplan activities. In addition, if there are overdue reports required by the general, administrative, and/or programmatic terms and conditions of this assistance agreement, the recipient must ensure that they are submitted along with or prior to submitting the no-cost time extension request.

27. Utilization of Disadvantaged Business Enterprises
General Compliance, 40 CFR, Part 33
The recipient agrees to comply with the requirements of EPA's Disadvantaged Business Enterprise (DBE) Program for procurement activities under assistance agreements, contained in 40 CFR, Part

33. The following text provides updates to 40 CFR, Part 33 based upon the associated class exception or highlights a requirement.
1) EPA MBE/WBE CERTIFICATION, 40 CFR, Part 33, Subpart B EPA no longer certifies entities as Minority-Owned Business Entities (MBEs) or WomenOwned Business Entities (WBEs) pursuant to a class exception issued in October 2019. The class exception was authorized pursuant to the authority in 2 CFR, Section 1500.4(b). 2) SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C
Pursuant to 40 CFR Section 33.301, the recipient agrees to make good faith efforts whenever procuring construction, equipment, services and supplies under an EPA financial assistance agreement, and to require that sub-recipients, loan recipients, and prime contractors also comply. Records documenting compliance with the six good faith efforts shall be retained.

The specific six good faith efforts can be found at: 40 CFR Section 33.301 (a)-(f).

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economic enterprises and give them preference in the award process prior to undertaking the six good faith efforts (40 CFR Section 33.304). If recruiting efforts are unsuccessful, the recipient must follow the six good faith efforts.
3) CONTRACT ADMINISTRATION PROVISIONS, 40 CFR, Section 33.302 The recipient agrees to comply with the contract administration provisions of 40 CFR Section

33.302 (a)-(d) and (i).
4) BIDDERS LIST, 40 CFR Section 33.501(b) and (c)
Recipients of a Continuing Environmental Program Grant or other annual reporting grant, agree to create and maintain a bidders list. Recipients of an EPA financial assistance agreement to capitalize a revolving loan fund also agree to require entities receiving identified loans to create and maintain a bidders list if the recipient of the loan is subject to, or chooses to follow, competitive bidding requirements. Please see 40 CFR Section 33.501 (b) and (c) for specific requirements and exemptions.
5) FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D
In June 2023, EPA reinstated the requirements under 40 CFR, Part 33, Subpart D. Unless the recipient is exempted from these requirements as outlined in 40 CFR 33.411, the recipient agrees to submit fair share objectives for EPA approval within 120 days of acceptance of this award, and, once approved, apply them to procurements under this award in accordance with Subpart D. See RAIN-2023-G02 for information on EPA’s reinstatement of the fair share objectives.
6) MBE/WBE REPORTING, 40 CFR, Part 33, Subpart E
When required, the recipient agrees to complete and submit a “MBE/WBE Utilization Under Federal Grants and Cooperative Agreements” report (EPA Form 5700-52A) on an annual basis. The current EPA Form 5700-52A can be found at the EPA Grantee Forms Page at https://www.epa.gov/system/files/documents/2021-08/epa_form_5700_52a.pdf .

Reporting is required for assistance agreements where funds are budgeted for procuring construction, equipment, services and supplies (including funds budgeted for direct procurement by the recipient or procurement under subawards or loans in the “Other” category) with a cumulative total that exceed the Simplified Acquisition Threshold (SAT) (currently, $250,000 however the threshold will be automatically revised whenever the SAT is adjusted; See 2 CFR Section 200.1), including amendments and/or modifications. When reporting is required, all procurement actions are reportable, not just the portion which exceeds the SAT.

Annual reports are due by October 30th of each year. Final reports are due 120 days after the end of the project period.

This provision represents an approved exception from the MBE/WBE reporting requirements as described in 40 CFR Section 33.502.
7) MBE/WBE RECORDKEEPING, 40 CFR, Part 33, Subpart E
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The recipient agrees to comply with all recordkeeping requirements as stipulated in 40 CFR Part 33, Subpart E including creating and maintain a bidders list, when required. Any document created as a record to demonstrate compliance with any requirements of 40 CFR Part 33 must be maintained pursuant to the requirements stated in this Subpart.

Programmatic General Terms and Conditions

28. Sufficient Progress
EPA will measure sufficient progress by examining the performance required under the workplan in conjunction with the milestone schedule, the time remaining for performance within the project period and/or the availability of funds necessary to complete the project. EPA may terminate the assistance agreement for failure to ensure reasonable completion of the project within the project period.

29. Copyrighted Material and Data
In accordance with 2 CFR 200.315, EPA has the right to reproduce, publish, use and authorize others to reproduce, publish and use copyrighted works or other data developed under this assistance agreement for Federal purposes.

Examples of a Federal purpose include but are not limited to: (1) Use by EPA and other Federal employees for official Government purposes; (2) Use by Federal contractors performing specific tasks for [i.e., authorized by] the Government; (3) Publication in EPA documents provided the document does not disclose trade secrets (e.g. software codes) and the work is properly attributed to the recipient through citation or otherwise; (4) Reproduction of documents for inclusion in Federal depositories; (5) Use by State, tribal and local governments that carry out delegated Federal environmental programs as “co-regulators” or act as official partners with EPA to carry out a national environmental program within their jurisdiction and; (6) Limited use by other grantees to carry out Federal grants provided the use is consistent with the terms of EPA’s authorization to the other grantee to use the copyrighted works or other data.

Under Item 6, the grantee acknowledges that EPA may authorize another grantee(s) to use the copyrighted works or other data developed under this grant as a result of:
• The selection of another grantee by EPA to perform a project that will involve the use of the copyrighted works or other data, or
• Termination or expiration of this agreement.

In addition, EPA may authorize another grantee to use copyrighted works or other data developed with Agency funds provided under this grant to perform another grant when such use promotes efficient and effective use of Federal grant funds.

30. Patents and Inventions
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 USC Sections 200-212.

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Pursuant to the Bayh-Dole Act (set forth in 35 USC 200-212), EPA retains the right to a worldwide, nonexclusive, nontransferable, irrevocable, paid-up license to practice the invention owned by the assistance agreement holder, as defined in the Act. To streamline the invention reporting process and to facilitate compliance with the Bayh-Dole Act, the recipient must utilize the Interagency Edison extramural invention reporting system at https://www.nist.gov/iedison. Annual utilization reports must be submitted through the system. The recipient is required to notify the Project Officer identified on the award document when an invention report, patent report, or utilization report is filed at https://www.nist.gov/iedison. EPA elects not to require the recipient to provide a report prior to the close-out of a funding agreement listing all subject inventions or stating that there were none.

In accordance with Executive Order 12591, as amended, government owned and operated laboratories can enter into cooperative research and development agreements with other federal laboratories, state and local governments, universities, and the private sector, and license, assign, or waive rights to intellectual property “developed by the laboratory either under such cooperative research or development agreements and from within individual laboratories.”

31. Acknowledgement Requirements for Non-ORD Assistance Agreements The recipient agrees that any reports, documents, publications, or other materials developed for public distribution supported by this assistance agreement shall contain the following statement:
“This project has been funded wholly or in part by the United States Environmental Protection Agency under assistance agreement (number) to (recipient). The contents of this document do not necessarily reflect the views and policies of the Environmental Protection Agency, nor does the EPA endorse trade names or recommend the use of commercial products mentioned in this document.” Recipients of EPA Office of Research Development (ORD) research awards must follow the acknowledgement requirements outlined in the research T&Cs available at:
https://www.nsf.gov/awards/managing/rtc.jsp. In accordance with the Research Terms and Conditions Overlay to the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (Uniform Guidance), 2 CFR §200, recipients of EPA ORD research must abide by the research T&Cs.

32. Electronic and Information Technology Accessibility Recipients are subject to the program accessibility provisions of Section 504 of the Rehabilitation Act, codified in 40 CFR Part 7, which includes an obligation to provide individuals with disabilities reasonable accommodations and an equal and effective opportunity to benefit from or participate in a program, including those offered through electronic and information technology (“EIT”). In compliance with Section 504, EIT systems or products funded by this award must be designed to meet the diverse needs of users (e.g., U.S. public, recipient personnel) without barriers or diminished function or quality. Systems shall include usability features or functions that accommodate the needs of persons with disabilities, including those who use assistive technology.

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At this time, the EPA will consider a recipient’s websites, interactive tools, and other EIT as being in compliance with Section 504 if such technologies meet standards established under Section 508 of the Rehabilitation Act, codified at 36 CFR Part 1194. While Section 508 does not apply directly to grant recipients, we encourage recipients to follow either the 508 guidelines or other comparable guidelines that concern accessibility to EIT for individuals with disabilities.

Recipients may wish to consult the latest Section 508 guidelines issued by the U.S. Access Board or W3C’s Web Content Accessibility Guidelines (WCAG) 2.0 (see https://www.accessboard.gov/about/policy/accessibility.html).

33. Human Subjects
Human subjects research is any activity that meets the regulatory definitions of both research AND human subject. Research is a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Human subject means a living individual about whom an investigator (whether professional or student) conducting research:
(i) Obtains information or biospecimens through intervention or interaction with the individual, and uses, studies, or analyzes the information or biospecimens; or (ii) Obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens 40 CFR 26.102(e)(l).

No research involving human subjects shall be conducted under this agreement without prior written approval of the EPA Human Subject Research Review Official (HSRRO) to proceed with that research. If engaged in human subjects’ research as part of this agreement, the recipient agrees to comply with all applicable provisions of EPA Regulation 40 CFR 26 (Protection of Human Subjects).

This includes, at Subpart A, the Basic Federal Policy for the Protection of Human Research Subjects, also known as the Common Rule. It also includes, at Subparts B, C, and D, prohibitions and additional protections for children, nursing women, pregnant women, and fetuses in research conducted or supported by EPA.

The recipient further agrees to comply with EPA’s procedures for oversight of the recipient’s compliance with 40 CFR 26, as given in EPA Order 1000.17A (Policy and Procedures on Protection of Human Research Subjects in EPA Conducted or Supported Research). As per this order, no human subject may be involved in any research conducted under this assistance agreement, including recruitment, until the research has been approved or determined to be exempt by the EPA HSRRO after review of the approval or exemption determination of the Institutional Review Board(s) (IRB(s)) with jurisdiction over the research under 40 CFR 26.

For HSRRO approval, the recipient must forward to the Project Officer: (1) copies of all documents upon which the IRB(s) with jurisdiction based their approval(s) or exemption determination(s), (2) copies of the IRB approval or exemption determination letter(s), (3) copy of the IRB-approved consent forms and subject recruitment materials, if applicable, and (4) copies of all supplementary IRB correspondence.

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Following the initial approvals indicated above, the recipient must, as part of the annual report(s), provide evidence of continuing review and approval of the research by the IRB(s) with jurisdiction, as required by 40 CFR 26.109(e). Materials submitted to the IRB(s) for their continuing review and approval are to be provided to the EPA HSRRO via the Project Officer upon IRB approval. During the course of the research, investigators must promptly report any unanticipated problems involving risk to subjects or others according to requirements set forth by the IRB. In addition, any event that is significant enough to result in the removal of the subject from the study should also be reported to the EPA HSRRO via the Project Officer, even if the event is not reportable to the IRB of record.

34. Animal Subjects
The recipient agrees to comply with the Animal Welfare Act of 1966 (P.L. 89-544), as amended, 7 USC 2131- 2156. Recipient also agrees to abide by the “U.S. Government Principles for the Utilization and Care of Vertebrate Animals used in Testing, Research, and Training.” (Federal Register 50(97): 20864-20865. May 20,1985). The nine principles can be viewed at https://olaw.nih.gov/policies-laws/phs-policy.htm. For additional information about the Principles, the recipient should consult the Guide for the Care and Use of Laboratory Animals, prepared by the Institute of Laboratory Animal Resources, National Research Council.

35. Light Refreshments and/or Meals
(a) APPLICABLE TO ALL AGREEMENTS EXCEPT STATE CONTINUING ENVIRONMENTAL PROGRAMS (AS DESCRIBED BELOW):

Unless the event(s) and all of its components are described in the approved workplan, the recipient agrees to obtain prior approval from EPA for the use of grant funds for light refreshments and/or meals served at meetings, conferences, training workshops and outreach activities (events). The recipient must send requests for approval to the EPA Project Officer and include:
(1) An estimated budget and description for the light refreshments, meals, and/or beverages to be served at the event(s)
(2) A description of the purpose, agenda, location, length, and timing for the event, and (3) An estimated number of participants in the event and a description of their roles Costs for light refreshments and meals for recipient staff meetings and similar day-to-day activities are not allowable under EPA assistance agreements.

Recipients may address questions about whether costs for light refreshments, and meals for events may be allowable to the recipient’s EPA Project Officer; however, the Agency Award Official or Grant Management Officer will make final determinations on allowability. Agency policy prohibits the use of EPA funds for receptions, banquets and similar activities that take place after normal business hours unless the recipient has provided a justification that has been expressly approved by EPA's Award Official or Grants Management Officer.

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EPA funding for meals, light refreshments, and space rental may not be used for any portion of an event where alcohol is served, purchased, or otherwise available as part of the event or meeting, even if EPA funds are not used to purchase the alcohol.

Note: U.S. General Services Administration regulations define light refreshments for morning, afternoon, or evening breaks to include, but not be limited to, coffee, tea, milk, juice, soft drinks, donuts, bagels, fruit, pretzels, cookies, chips, or muffins. (41 CFR 301-74.7) (b) FOR STATE CONTINUING ENVIROMENTAL PROGRAM GRANT RECIPIENTS EXCLUDING STATE UNIVERSITIES:

If the state maintains systems capable of complying with federal grant regulations at 2 CFR 200.432 and 2 CFR 200.438, EPA has waived the prior approval requirements for the use of EPA funds for light refreshments and/or meals served at meetings, conferences, and training, as described above.

The state may follow its own procedures without requesting prior approval from EPA. However, notwithstanding state policies, EPA funds may not be used for (1) evening receptions, or (2) other evening events (with the exception of working meetings). Examples of working meetings include those evening events in which small groups discuss technical subjects on the basis of a structured agenda or there are presentations being conducted by experts. EPA funds for meals, light refreshments, and space rental may not be used for any portion of an event (including evening working meetings) where alcohol is served, purchased, or otherwise available as part of the event or meeting, even if EPA funds are not used to purchase the alcohol.

By accepting this award, the state is certifying that it has systems in place (including internal controls) to comply with the requirements described above.

36. Tangible Personal Property

36.1 Reporting pursuant to 2 CFR 200.312 and 2 CFR 200.314, property reports, if applicable, are required for Federally-owned property in the custody of a non-Federal entity upon completion of the Federal award or when the property is no longer needed. Additionally, upon termination or completion of the project, residual unused supplies with a total aggregate fair market value exceeding $5,000 not needed for any other Federally-sponsored programs or projects must be reported. For Superfund awards under Subpart O, refer to 40 CFR 35.6340 and 40 CFR 35.6660 for property reporting requirements. Recipients should utilize the Tangible Personal Property Report form series (SF-428) to report tangible personal property.

36.2 Disposition

36.2.1. Most Recipients. Consistent with 2 CFR 200.313, unless instructed otherwise on the official award document, this award term, or at closeout, the recipient may keep the equipment and continue to use it on the project originally funded through this assistance agreement or on other federally funded projects whether or not the project or program continues to be supported by Federal funds.

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36.2.2. State Agencies. Per 2 CFR 200.313(b), state agencies may manage and dispose of equipment acquired under this assistance agreement in accordance with state laws and procedures.

36.2.3. Superfund Recipients. Equipment purchased under Superfund projects is subject to specific disposal options in accordance with 40 CFR Part 35.6345.

37. Dual Use Research of Concern (DURC)
The recipient agrees to conduct all life science research* in compliance with EPA’s Order on the Policy and Procedures for Managing Dual Use Research of Concern (EPA DURC Order) and United States Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern (iDURC Policy). If the recipient is an institution within the United States that receives funding through this agreement, or from any other source, the recipient agrees to comply with the iDURC Policy if they conduct or sponsor research involving any of the agents or toxins identified in Section

6.2.1 of the iDURC Policy. If the institution is outside the United States and receives funding through this agreement to conduct or sponsor research involving any of those same agents or toxins, the recipient agrees to comply with the iDURC Policy. The recipient agrees to provide any additional information that may be requested by EPA regarding DURC and iDURC. The recipient agrees to immediately notify the EPA Project Officer should the project use or introduce use of any of the agents or toxins identified in the iDURC Policy. The recipient’s Institution/Organization must also comply with USG iDURC policy and EPA DURC Order and will inform the appropriate government agency if funded by such agency of research with the agents or toxins identified in Section 6.2.1 of the iDURC Policy. If privately funded the recipient agrees to notify the National Institutes of Health at [email protected].
* “Life Sciences Research,” for purposes of the EPA DURC Order, and based on the definition of research in 40 CFR §26.102(d), is a systematic investigation designed to develop or contribute to generalizable knowledge involving living organisms (e.g., microbes, human beings, animals, and plants) and their products. EPA does not consider the following activities to be research: routine product testing, quality control, mapping, collection of general-purpose statistics, routine monitoring and evaluation of an operational program, observational studies, and the training of scientific and technical personnel. [Note: This is consistent with Office of Management and Budget Circular A-11.]

38. Research Misconduct
In accordance with 2 CFR 200.329, the recipient agrees to notify the EPA Project Officer in writing about research misconduct involving research activities that are supported in whole or in part with EPA funds under this project. EPA defines research misconduct as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results [65 FR 76262. I], or ordering, advising or suggesting that subordinates engage in research misconduct. The recipient agrees to:

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(1) Immediately notify the EPA Project Officer who will then inform the EPA Office of Inspector General (OIG) if, at any time, an allegation of research misconduct falls into one of the categories listed below:

A. Public health of safety is at risk
B. Agency resources or interests are threatened
C. Circumstances where research activities should be suspended D. There is a reasonable indication of possible violations of civil or criminal law E. Federal action is required to protect the interests of those involved in the investigation F. The research entity believes that the inquiry or investigation may be made public prematurely so that appropriate steps can be taken to safeguard evidence and protect the rights of those involved
G. Circumstances where the research community or public should be informed. [65 FR 76263.III]
(2) Report other allegations to the OIG when they have conducted an inquiry and determined that there is sufficient evidence to proceed with an investigation. [65 FR 76263. III]

39. Scientific Integrity Terms and Conditions
The recipient agrees to comply with EPA’s Scientific Integrity Policy when conducting, supervising, and communicating science and when using or applying the results of science. For purposes of this award condition scientific activities include, but are not limited to, computer modelling, economic analysis, field sampling, laboratory experimentation, demonstrating new technology, statistical analysis, and writing a review article on a scientific issue. The recipient agrees to:

39.1 Scientific Products

39.1.1. Produce scientific products of the highest quality, rigor, and objectivity, by adhering to applicable EPA information quality guidelines, quality policy, and peer review policy.

39.1.2. Prohibit all recipient employees, contractors, and program participants, including scientists, managers, and other recipient leadership, from suppressing, altering, or otherwise impeding the timely release of scientific findings or conclusions.

39.1.3. Adhere to EPA’s Peer Review Handbook, 4th Edition, for the peer review of scientific and technical work products generated through EPA grants or cooperative agreements which, by definition, are not primarily for EPA’s direct use or benefit.

39.2 Scientific Findings

39.2.1. Require that reviews regarding the content of a scientific product that are conducted by the project manager and other recipient managers and the broader management chain be based only on scientific quality considerations, e.g., the methods used are clear and appropriate, the presentation of results and conclusions is impartial.

39.2.2. Ensure scientific findings are generated and disseminated in a timely and transparent manner, including scientific research performed by employees, contractors, and program participants, who assist with developing or applying the results of scientific activities.

39.2.3. Include, when communicating scientific findings, an explication of underlying assumptions, accurate contextualization of uncertainties, and a description of the probabilities associated with both optimistic and pessimistic projections, if applicable.

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39.2.4. Document the use of independent validation of scientific methods.

39.2.5. Document any independent review of the recipient’s scientific facilities and testing activities, as occurs with accreditation by a nationally or internationally recognized sanctioning body.

39.2.6. Make scientific information available online in open formats in a timely manner, including access to data and non-proprietary models.

39.3 Scientific Misconduct

39.3.1. Prohibit intimidation or coercion of scientists to alter scientific data, findings, or professional opinions or non-scientific influence of scientific advisory boards. In addition, recipient employees, contractors, and program participants, including scientists, managers, and other leadership, shall not knowingly misrepresent, exaggerate, or downplay areas of scientific uncertainty.

39.3.2. Prohibit retaliation or other punitive actions toward recipient employees who uncover or report allegations of scientific and research misconduct, or who express a differing scientific opinion. Employees who have allegedly engaged in scientific or research misconduct shall be afforded the due process protections provided by law, regulation, and applicable collective bargaining agreements, prior to any action. Recipients shall ensure that all employees and contractors of the recipient shall be familiar with these protections and avoid the appearance of retaliatory actions.

39.3.3. Require all recipient employees, contractors, and program participants to act honestly and refrain from acts of research misconduct, including publication or reporting, as described in EPA’s Policy and Procedures for Addressing Research Misconduct, Section 9.C. Research misconduct does not include honest error or differences of opinion. While EPA retains the ultimate oversight authority for EPA-supported research, grant recipients conducting research bear primary responsibility for prevention and detection of research misconduct and for the inquiry, investigation, and adjudication of research misconduct alleged to have occurred in association with their own institution.

39.3.4. Take the actions required on the part of the recipient described in EPA’s Policy and Procedures for Addressing Research Misconduct, Sections 6 through 9, when research misconduct is suspected or found.

39.4 Additional Resources
For more information about the Scientific Integrity Policy, an introductory video can be accessed at: https://youtu.be/FQJCy8BXXq8. A training video is available at:
https://youtu.be/Zc0T7fooot8.

40. Post-Award Disclosure of Current and Pending Support on Research Grants The recipient is required to notify EPA if there has been a change in support for the principal investigator and/or major co-investigators listed on EPA Key Contacts Form, EPA Form 5700-54, since submission of its application or the last reporting period in the performance report. If there has been a change, the recipient must report the change within 30 calendar days to the EPA Project Officer. The information should also be included in the next due performance report. EPA may consult with the Principal Investigator and the Authorized Representative, to determine the impact Agenda Item #7.4:

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of the new information on the EPA-funded research grant and, where necessary, take appropriate action.

If the recipient discovers that an investigator on an active EPA research grant failed to disclose current and pending support information or provided inaccurate information as part of the proposal submission process, it must provide the revised current and pending support information to the EPA Project Officer within 30 calendar days of the identification of the undisclosed or inaccurate current and pending support information.

Public Policy Requirements

41. Civil Rights Obligations
This term and condition incorporates by reference the signed assurance provided by the recipient’s authorized representative on: 1) EPA Form 4700-4, “Preaward Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance”; and 2) Certifications and Representations in Sam.gov or Standard Form 424D, as applicable.

These assurances and this term and condition obligate the recipient to comply fully with applicable civil rights statutes and implementing federal and EPA regulations. (a) Statutory Requirements
i. In carrying out this agreement, the recipient must comply with:
1) Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on race, color, and national origin, including limited English proficiency (LEP), by entities receiving Federal financial assistance.
2) Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against persons with disabilities by entities receiving Federal financial assistance; and 3) The Age Discrimination Act of 1975, which prohibits age discrimination by entities receiving Federal financial assistance.
ii. If the recipient is an education program or activity (e.g., school, college, or university) or if the recipient is conducting an education program or activity under this agreement, it must also comply with:
1) Title IX of the Education Amendments of 1972, which prohibits discrimination on the basis of sex in education programs and activities operated by entities receiving Federal financial assistance. For further information about your compliance obligations regarding Title IX, see 40 CFR Part 5 and https://www.justice.gov/crt/title-ix iii. If this agreement is funded with financial assistance under the Clean Water Act (CWA), the recipient must also comply with:
1) Section 13 of the Federal Water Pollution Control Act Amendments of 1972, which prohibits discrimination on the basis of sex in CWA-funded programs or activities. (b) Regulatory Requirements
i. The recipient agrees to comply with all applicable EPA civil rights regulations, including:

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1) For Title IX obligations, 40 C.F.R. Part 5; and
2) For Title VI, Section 504, Age Discrimination Act, and Section 13 obligations, 40 CFR Part7.
3) For statutory and national policy requirements, including those prohibiting discrimination and those described in Executive Order 13798 promoting free speech and religious freedom, 2 CFR 200.300.
4) As noted on the EPA Form 4700-4 signed by the recipient’s authorized representative, these regulations establish specific requirements including maintaining compliance information, establishing grievance procedures, designating a Civil Rights Coordinator, and providing notices of non-discrimination.
(c) TITLE VI – LEP, Public Participation and Affirmative Compliance Obligation i. As a recipient of EPA financial assistance, you are required by Title VI of the Civil Rights Act to provide meaningful access to LEP individuals. In implementing that requirement, the recipient agrees to use as a guide the Office of Civil Rights (OCR) document entitled "Guidance to Environmental Protection Agency Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons." The guidance can be found at:
https://www.federalregister.gov/documents/2004/06/25/04-14464/guidance-toenvironmental-protection-agency-financial-assistance-recipients-regarding-title-vi. ii. If the recipient is administering permitting programs under this agreement, the recipient agrees to use as a guide OCR’s Title VI Public Involvement Guidance for EPA Assistance Recipients Administering Environmental Permitting Programs. The Guidance can be found at:
https://www.govinfo.gov/content/pkg/FR-2006-03-21/pdf/06-2691.pdf. iii. In accepting this assistance agreement, the recipient acknowledges it has an affirmative obligation to implement effective Title VI compliance programs and ensure that its actions do not involve discriminatory treatment and do not have discriminatory effects even when facially neutral. The recipient must be prepared to demonstrate to EPA that such compliance programs exist and are being implemented or to otherwise demonstrate how it is meeting its Title VI obligations.

42. Drug-Free Workplace
The recipient organization of this EPA assistance agreement must make an ongoing, good faith effort to maintain a drug-free workplace pursuant to the specific requirements set forth in Title 2 CFR Part 1536 Subpart B. Additionally, in accordance with these regulations, the recipient organization must identify all known workplaces under its federal awards and keep this information on file during the performance of the award.

Those recipients who are individuals must comply with the drug-free provisions set forth in Title 2 CFR Part 1536 Subpart C.

The consequences for violating this condition are detailed under Title 2 CFR Part 1536 Subpart E.

Recipients can access the Code of Federal Regulations (CFR) Title 2 Part 1536 at www.ecfr.gov/.

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43. Hotel-Motel Fire Safety
Pursuant to USC 2225a, the recipient agrees to ensure that all space for conferences, meetings, conventions, or training seminars funded in whole or in part with federal funds complies with the protection and control guidelines of the Hotel and Motel Fire Safety Act (PL 101-391, as amended).

Recipients may search the Hotel-Motel National Master List at https://apps.usfa.fema.gov/hotel/ to see if a property is in compliance, or to find other information about the Act.

44. Lobbying Restrictions
a) This assistance agreement is subject to lobbying restrictions as described below. Applicable to all assistance agreements:
i. The chief executive officer of this recipient agency shall ensure that no grant funds awarded under this assistance agreement are used to engage in lobbying of the Federal Government or in litigation against the U.S. unless authorized under existing law. The recipient shall abide by the Cost Principles available at 2 CFR Part 200 which generally prohibits the use of federal grant funds for litigation against the U.S. or for lobbying or other political activities.
ii. The recipient agrees to comply with Title 40 CFR Part 34, New Restrictions on Lobbying.

The recipient shall include the language of this provision in award documents for all subawards exceeding $100,000 and require that subrecipients submit certification and disclosure forms accordingly.
iii. In accordance with the Byrd Anti-Lobbying Amendment, any recipient who makes a prohibited expenditure under Title 40 CFR Part 34 or fails to file the required certification or lobbying forms shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure.
iv. Contracts awarded by a recipient shall contain, when applicable, the anti-lobbying provision as stipulated in the Appendix II to Part 200—Contract Provisions for NonFederal Entity Contracts Under Federal Awards. v. By accepting this award, the recipient affirms that it is not a nonprofit organization described in Section 501(c)(4) of the Internal Revenue Code of 1986 as required by Section 18 of the Lobbying Disclosure Act; or that it is a nonprofit organization described in Section 501(c)(4) of the Code but does not and will not engage in lobbying activities as defined in Section 3 of the Lobbying Disclosure Act. Nonprofit organizations exempt from taxation under section 501(c)(4) of the Internal Revenue Code that engage in lobbying activities are ineligible for EPA subawards.
b) Applicable to assistance agreements when the amount of the award is over $100,000:
i. By accepting this award, the recipient certifies, to the best of its knowledge and belief that:
1) No Federal appropriated funds have been or will be paid, by or on behalf of the recipient, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, Agenda Item #7.4:

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the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, or any employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the recipient shall complete and submit the linked Standard Form -- LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
3) The recipient shall require that the language of this certification be included in the award documents for all subawards exceeding $100,000 at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. ii. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each failure.

45. Recycled Paper
When directed to provide paper documents, the recipient agrees to use recycled paper and doublesided printing for all reports which are prepared as a part of this agreement and delivered to EPA.

This requirement does not apply to reports prepared on forms supplied by EPA.

46. Resource Conservation and Recovery Act
Consistent with goals of section 6002 of RCRA (42 U.S.C. 6962), State and local institutions of higher education, hospitals and non-profit organization recipients agree to give preference in procurement programs to the purchase of specific products containing recycled materials, as identified in 40 CFR Part 247.

Consistent with section 6002 of RCRA (42 U.S.C. 6962) and 2 CFR 200.323, State agencies or agencies of a political subdivision of a State and its contractors are required to purchase certain items made from recycled materials, as identified in 40 CFR Part 247, when the purchase price exceeds $10,000 during the course of a fiscal year or where the quantity of such items acquired in the course of the preceding fiscal year was $10,000 or more. Pursuant to 40 CFR 247.2 (d), the recipient may decide not to procure such items if they are not reasonably available in a reasonable period of time; fail to meet reasonable performance standards; or are only available at an unreasonable price.

47. Trafficking in Persons
a) Provisions applicable to a recipient that is a private entity. i. The recipient, the recipient’s employees, subrecipients under this award, and subrecipients’ employees may not –
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1) Engage in severe forms of trafficking in persons during the period of time that the award is in effect;
2) Procure a commercial sex act during the period of time that the award is an effect; or
3) Use forced labor in performance of the award or subawards under the award. ii. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if the recipient or a subrecipient that is a private entity – 1) Is determined to have violated a prohibition in paragraph a of this award term; or 2) Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a of this award term through conduct that is either –
a. Associated with performance under this award; or
b. Imputed to the recipient or subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR Part 180, ‘‘OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Non- procurement),’’ as implemented by our Agency at 2 CFR Part 1532.
b) Provision applicable to a recipient other than a private entity. EPA may unilaterally terminate this award, without penalty, if a subrecipient that is a private entity – i. Is determined to have violated an applicable prohibition in paragraph a. of this award term; or
ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a of this award term through conduct that is either
1) Associated with performance under this award; or
2) Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR Part 180, ‘‘OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” as implemented by EPA at 2 CFR Part 1532. c) Provisions applicable to any recipient
i. The recipient must inform the EPA immediately of any information received from any source alleging a violation of a prohibition in paragraph a of this award term. ii. Our right to terminate unilaterally that is described in paragraph a and b:
1) Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and
2) Is in addition to all other remedies for noncompliance that are available to us under this award.
iii. The recipient must include the requirements of paragraph a of this award term in any subaward made to a private entity.
d) Definitions. For purposes of this award term:
i. “Employee” means either:

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1) An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or 2) Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements. ii. “Forced Labor” means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.
iii. “Private Entity”
1) Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25. 2) Includes:
a. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b).
b. A for-profit organization
iv. “Severe forms of trafficking in persons,” ‘‘commercial sex act,’’ and ‘‘coercion’’ have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

48. Build America, Buy America – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials (effective October 23, 2023, and forward) Buy America Preference. Recipients of an award of Federal financial assistance from a program for infrastructure are hereby notified that none of the funds provided under this award may be used for an infrastructure project unless:
(1) All iron and steel used in the project are produced in the United States—this means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States;
(2) All manufactured products used in the project are produced in the United States— this means the manufactured product was manufactured in the United States; and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard that meets or exceeds this standard has been established under applicable law or regulation for determining the minimum amount of domestic content of the manufactured product; and
(3) All construction materials are manufactured in the United States—this means that all manufacturing processes for the construction material occurred in the United States. The construction material standards are listed below.

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Incorporation into an infrastructure project. The Buy America Preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a Buy America Preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project, but are not an integral part of the structure or permanently affixed to the infrastructure project.

Categorization of articles, materials, and supplies. An article, material, or supply should only be classified into one of the following categories: (i) Iron or steel products; (ii) Manufactured products; (iii) Construction materials; or (iv) Section 70917(c) materials. An article, material, or supply should not be considered to fall into multiple categories. In some cases, an article, material, or supply may not fall under any of the categories listed in this paragraph. The classification of an article, material, or supply as falling into one of the categories listed in this paragraph must be made based on its status at the time it is brought to the work site for incorporation into an infrastructure project. In general, the work site is the location of the infrastructure project at which the iron, steel, manufactured products, and construction materials will be incorporated.

Application of the Buy America Preference by category. An article, material, or supply incorporated into an infrastructure project must meet the Buy America Preference for only the single category in which it is classified.

Determining the cost of components for manufactured products. In determining whether the cost of components for manufactured products is greater than 55 percent of the total cost of all components, use the following instructions:
(a) For components purchased by the manufacturer, the acquisition cost, including transportation costs to the place of incorporation into the manufactured product (whether or not such costs are paid to a domestic firm), and any applicable duty (whether or not a duty-free entry certificate is issued); or
(b) For components manufactured by the manufacturer, all costs associated with the manufacture of the component, including transportation costs as described in paragraph (a), plus allocable overhead costs, but excluding profit. Cost of components does not include any costs associated with the manufacture of the manufactured product.

Construction material standards. The Buy America Preference applies to the following construction materials incorporated into infrastructure projects. Each construction material is followed by a standard for the material to be considered “produced in the United States.” Except as specifically provided, only a single standard should be applied to a single construction material.

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(1) Non-ferrous metals. All manufacturing processes, from initial smelting or melting through final shaping, coating, and assembly, occurred in the United States. (2) Plastic and polymer-based products. All manufacturing processes, from initial combination of constituent plastic or polymer-based inputs, or, where applicable, constituent composite materials, until the item is in its final form, occurred in the United States. (3) Glass. All manufacturing processes, from initial batching and melting of raw materials through annealing, cooling, and cutting, occurred in the United States. (4) Fiber optic cable (including drop cable). All manufacturing processes, from the initial ribboning (if applicable), through buffering, fiber stranding and jacketing, occurred in the United States. All manufacturing processes also include the standards for glass and optical fiber, but not for nonferrous metals, plastic and polymer-based products, or any others. (5) Optical fiber. All manufacturing processes, from the initial preform fabrication stage through the completion of the draw, occurred in the United States. (6) Lumber. All manufacturing processes, from initial debarking through treatment and planing, occurred in the United States.
(7) Drywall. All manufacturing processes, from initial blending of mined or synthetic gypsum plaster and additives through cutting and drying of sandwiched panels, occurred in the United States.
(8) Engineered wood. All manufacturing processes from the initial combination of constituent materials until the wood product is in its final form, occurred in the United States.

Waivers. When supported by rationale provided in IIJA §70914, the recipient may submit a waiver request in writing to EPA. Recipients should request guidance on the submission instructions of an EPA waiver request from the EPA Project Officer for this agreement. A list of approved EPA waivers (general applicability and project specific) is available on the EPA Build America, Buy America website.

EPA may waive the application of the Buy America Preference when it has determined that one of the following exceptions applies:
(1) applying the Buy America Preference would be inconsistent with the public interest; (2) the types of iron, steel, manufactured products, or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality; or (3) the inclusion of iron, steel, manufactured products, or construction materials produced in the United States will increase the cost of the overall project by more than 25 percent.

For questions regarding the Build America, Buy America Act requirements for this assistance agreement or to determine if there is an approved waiver in place, please contact the EPA Project Officer for this agreement.

Definitions. For legal definitions and sourcing requirements, the recipient must consult the EPA Build America, Buy America website, 2 CFR Part 184, and the Office of Management and Budget’s (OMB) Agenda Item #7.4:

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Memorandum M-24-02 Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure.

49. Required Certifications and Consequences of Fraud
Per 2 CFR 200.415(a) Required Certifications, to assure that expenditures are proper and in accordance with the terms and conditions of the Federal award and approved project budgets, the financial reports or vouchers requesting payment under the agreement will include a certification that must be signed by an official who is authorized to legally bind the recipient which reads as follows:
“By signing this report, I certify to the best of my knowledge and belief that the report is true, complete, and accurate, and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812).”

50. Reporting Waste, Fraud and Abuse
Consistent 2 CFR 200.113, the recipient and any subrecipients must report, in a timely manner, any violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting this award to the EPA Project Officer and the EPA Office of Inspector General (OIG) Hotline. The methods to contact the OIG hotline are (1) online submission via the EPA OIG Hotline Complaint Form; (2) email to [email protected]; (3) phone 1-888-546-8740; or (4) mail directed to Environmental Protection Agency, Office of Inspector General, 1200 Pennsylvania Avenue, N.W. (2410T), Washington, DC 20460.

To support awareness of the OIG hotline, recipients and/or subrecipients receiving an EPA award or subaward of $1,000,000 or more must display EPA OIG Hotline posters in facilities where the work is performed under the grant. EPA OIG Hotline posters may be downloaded or printed or may be obtained by contacting the OIG at 1- 888-546-8740. Recipients and subrecipients need not comply with this requirement if they have established a mechanism, such as a hotline, by which employees may report suspected instances of improper conduct and have provided instructions that encourage employees to make such reports.

51. Whistleblower Protections
This award is subject is to whistleblower protections, including the protections established at 41 U.S.C. 4712 providing that an employee of the recipient or a subrecipient may not be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing to a covered person or body information that the employee reasonably believes is evidence of gross mismanagement of a Federal grant or subaward, a gross waste of Federal funds, an abuse of authority relating to a Federal grant or subaward, a substantial and specific danger to public health or safety, or a violation Agenda Item #7.4:

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of law, rule, or regulation related to a Federal grant or subaward. These covered persons or bodies include:
a. A member of Congress or representative of a committee of Congress. b. An Inspector General.
c. The Government Accountability Office.
d. A Federal employee responsible for contract or grant oversight or management at the relevant agency.
e. An authorized official of the Department of Justice or other law enforcement agency. f. A court of grand jury.
g. A management official or other employee of the contractor, subcontractor, or grantee who has the responsibility to investigate, discover, or address misconduct.

Consistent with 41 U.S.C. 4712(d), the recipient and subrecipients shall inform their employees in writing, in the predominant language of the workforce or organization, of employee whistleblower rights and protections under 41 U.S.C. 4712. Additional information about whistleblower protections, including protections for such employees may be found at the EPA Office of Inspector General’s Whistleblower Protection page.

52. Access to Records
In accordance with 2 CFR 200.337, EPA and the EPA Office of Inspector General (OIG) have the right to access any documents, papers, or other records, including electronic records, of the recipient and subrecipient which are pertinent to this award in order to make audits, examinations, excerpts, and transcripts. This right of access also includes timely and reasonable access to the recipient and subrecipient’s personnel for the purpose of interview and discussion related to such documents.

This right of access shall continue as long as the records are retained.

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City of Sonoma
Agenda Item Summary
Meeting: City Council - 14 Oct 2024
Department
Public Works
Staff Contact
Ashley Cotter, PW Admin & Project Manager
Agenda Item Title
Adopt a Resolution to Authorize the City Manager to Execute Maintenance Service Agreements with Bartlett Tree Experts and A Plus Tree, LLC, both in an Amount Not to Exceed $75,000 Annually to Provide On-Call Tree Maintenance Services
Summary
The Public Works Department has a need for contractors to provide tree removal, planting and maintenance work and to respond to tree-related emergencies. Instead of soliciting for this support each time such services are required, the Public Works Department recommends entering into master “on-call” agreements so that qualified firms will already be under contract and ready to quickly assist the City when the need for tree maintenance services arises.

A Request for Proposals (RFP) for tree maintenance and certified arborist services was issued by the Public Works Department on August 12, 2024. Four proposals were received on September 9, 2024. Staff reviewed all four proposals, evaluating their qualifications, local presence and working relationships, availability to respond on an emergency basis, personnel competence, thoroughness of the proposals, and previous relevant experience completing projects of similar size and scope. Staff unanimously selected Bartlett Tree Experts and A Plus Tree, LLC.

The proposed Maintenance Service Agreements with Bartlett Tree Experts and A Plus Tree, LLC (attached) would be for three-year terms. During this time, tree maintenance services will be provided on an as-needed basis per the City’s requested need, with cost based on Bartlett Tree Experts and A Plus Tree, LLC's hourly rate schedules. The total amount for all work shall not exceed $75,000 annually, with work approved only to projects/activities that have been approved in the adopted budget. Execution of the proposed Maintenance Agreements does not guarantee that any task orders will be initiated during the course of the agreement. Approval of the proposed agreements with Bartlett Tree Experts and A Plus Tree LLC does not preclude the City from entering into additional agreements with other tree maintenance firms should the need arise.

Recommended Council Action
Adopt a Resolution to authorize the City Manager to execute Maintenance Services Agreements with Bartlett Tree Experts and A Plus Tree, LLC both in an amount not to exceed $75,000 annually to provide as-needed tree maintenance services.

Alternative Actions
Council discretion.

Financial Impact
Task orders issued under this agreement will be funded from projects and activities that have been approved in the adopted annual budget.

Agenda Item #7.5:

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Sonoma City CouncilOctober 14, 2024

Sonoma City Council
October 14, 2024