HomeMy WebLinkAboutAgreement A-22-338 with Tranquility Public Utility District.pdf Agreement No. 22-338
1 CORONAVIRUS STATE LOCAL FISCAL RECOVERY FUNDS
2 SUBRECIPIENT AGREEMENT
3 THIS AGREEMENT ("Agreement") is made and entered into this 9t" day of August
4 2022 ("Effective Date"), by and between the COUNTY OF FRESNO, a political subdivision of the state of
5 California ("COUNTY'), and Tranquillity Public Utility District, a special district in the County of Fresno
6 formed under Division 7 of the Public Utilities Code, with a mailing address of P.O. Box 622, Tranquillity, CA
7 93668 ("SUBRECIPIENT').
8 WITNESSETH:
9 WHEREAS, on March 11, 2021, the President signed into law the American Rescue Plan Act of
10 2021 ("ARPA") which established the Coronavirus State and Local Fiscal Recovery Funds ("SLFRF")
11 Program; and
12 WHEREAS, the ARPA authorizes the COUNTY to expend SLFRF awarded to the COUNTY for
13 the following eligible purposes, outlined in the Interim Final Rule and Final Rule as follows (each an
14 "Eligible Use," collectively "Eligible Uses"):
15 (1) To respond to the COVID-19 public health emergency or its negative economic impacts;
16 (2) To respond to workers performing essential work during the COVID-19 public health
17 emergency;
18 (3) For the provision of government services to the extent of the reduction in revenue due to
19 the COVID-19 public health;
20 (4) To make necessary investments in water, sewer, or broadband infrastructure; and
21 WHEREAS, the COUNTY intends to allocate a portion of its SLFRF to SUBRECIPIENT for one or
22 more Eligible Uses; and
23 WHEREAS, the SUBRECIPIENT provides sewer conveyance and treatment in the Community of
24 Tranquillity, a Disadvantaged Community of approximately 1,000 residents, located in a census tract with a
25 reported median household income of$35,368; and
26 WHEREAS, the residents and members of Tranquillity, which is the unincorporated community
27 served by the SUBRECIPIENT, were disproportionately impacted by the COVID-19 pandemic; and
28 WHEREAS, the Final Rule has designated necessary investment in sewer infrastructure to be one
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1 that meets the eligibility requirements of the Clean Water State Revolving Fund (CWSRF), as
2 implemented by the Environmental Protection Agency (EPA), including the CWSRF eligible category of
3 centralized wastewater treatment, sewer system projects; and
4 WHEREAS, the Treasury interprets "necessary" investment in infrastructure in the Final Rule to
5 mean: 1) responsive to an identified need to achieve or maintain an adequate minimum level of service,
6 which for some eligible project categories may include a reasonable projection of increased need,
7 whether due to population growth or otherwise and, 2) a cost-effective means for meeting that need,
8 taking into account available alternatives; and
9 WHEREAS, the SUBRECIPIENT represents that it owns and operates a public wastewater
10 system that consists of sewer lines, two lift stations, and a wastewater treatment plant (place
11 identification number: 273195), which is regulated and permitted by Monitoring and Reporting Program
12 Number No. 2014-0153-DWQ-R5361 issued by the California Environmental Protection Agency, Central
13 Valley Regional Water Quality Control Board (CVRWQCB); and
14 WHEREAS, the SUBRECIPIENT represents that its two sewer lift stations (Lincoln Avenue and
15 Silveria Street Lift Stations) are near the end of their useful operational life, in need of repair, and/or
16 complete replacement to ensure that the SUBRECIPIENT continues to provide adequate sewer
17 conveyance and treatment levels to meet the Community of Tranquillity's service demand; and
18 WHEREAS, the SUBRECIPIENT represents in 2022, its Silveria Street Lift Station began
19 experiencing operational issues, and on June 29, 2022, the Silveria Street Lift Station pump became
20 inoperable; after assessing the lift station's pump condition, the SUBRECIPIENT determined that the
21 pump is not repairable and deemed it as a complete loss; and
22 WHEREAS, the provision of SLFRF to SUBRECIPIENT under this Agreement will fund the design,
23 surveying and engineering, environmental review, and the purchase of two new lift station pumps, and wet
24 well coating to rehabilitate the Lincoln Avenue Lift Station and repair the Silveria Street Lift Station, which
25 are critical components of the SUBRECIPIENT's wastewater treatment system, and make necessary
26 investments in sewer infrastructure to comply with the CVRWQCB's mandates for wastewater treatment
27 systems; and
28 WHEREAS, the provision of SLFRF to SUBRECIPIENT under this Agreement is intended to
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1 support a strong and equitable recovery from the COVID-19 pandemic and economic downturn by making
2 necessary investment in a public wastewater treatment system that supports an impacted community,
3 which will protect public health and safety, and will improve the sewer system to meet the community's
4 service demand; and
5 WHEREAS, under Section 602(c)(3) of the ARPA, the COUNTY may transfer SLFRF to special
6 districts (special-purpose unit of local government)for Eligible Uses, for the purpose of meeting ARPA's
7 goals; and
8 WHEREAS, based on SUBRECIPIENT's representations, COUNTY will grant SLFRF to
9 SUBRECIPIENT so that SUBRECIPIENT may fund the design, surveying and engineering, environmental
10 review, and the purchase of two new lift station pumps, and wet well coating to rehabilitate the Lincoln
11 Avenue Lift Station and repair the Silveria Street Lift Station, which are critical components of the
12 SUBRECIPIENT's wastewater treatment system, and are necessary to maintain adequate service levels,
13 and would improve the operation of the wastewater treatment system that serves the Disadvantaged
14 Community of Tranquillity, which SUBRECIPIENT represents is an eligible use under CWSRF
15 ("Program"); and
16 WHEREAS, COUNTY has determined that the Program to be provided by SUBRECIPIENT is an
17 Eligible Use of SLFRF under the ARPA, in reliance on information provided by SUBRECIPIENT; and
18 WHEREAS, the COUNTY and SUBRECIPIENT desire to enter into this Agreement so that the
19 COUNTY may provide SLFRF to the SUBRECIPIENT as reimbursement for appropriate and qualifying
20 expenditures, including an Eligible Use of SLFRF, as permitted under the Interim Final Rule and Final
21 Rule.
22 NOW, THEREFORE, in consideration of the mutual covenants, terms and conditions herein
23 contained, the parties hereto agree as follows:
24 1. GENERAL OBLIGATIONS OF THE SUBRECIPIENT
25 A. SUBRECIPIENT represents that each of the recitals, stated hereinabove and in
26 Exhibit A to this Agreement, concerning SUBRECIPIENT, and made by SUBRECIPIENT, are true and
27 correct, and that COUNTY may rely upon each of those representations in granting the SLFRF to
28 SUBRECIPIENT under this Agreement.
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1 B. SUBRECIPIENT acknowledges that the SLFRF granted under this Agreement are
2 a subaward of SLFRF up to the amount stated herein to carry out the Program.
3 C. SUBRECIPIENT understands and agrees that the SLFRF disbursed under this
4 award may only be spent on documented Eligible Uses in compliance with the ARPA, the United States
5 Department of the Treasury ("TREASURY") regulations implementing Section 602 of the ARPA, and
6 guidance issued by the TREASURY regarding the foregoing.
7 D. SUBRECIPIENT represents that it will use these SLFRF to fund the design,
8 surveying and engineering, environmental review, and the purchase of two new lift station pumps, and wet
9 well coating to rehabilitate the Lincoln Avenue Lift Station and repair the Silveria Street Lift Station, which
10 are necessary investments to the SUBRECIPIENT's public wastewater treatment system to maintain
11 adequate service levels in the Community of Tranquillity.
12 E. During the Term of this Agreement, SUBRECIPIENT shall carry out the Program
13 by furnishing to the COUNTY the services described in Exhibit A, Program Description, which is
14 attached and incorporated by this reference.
15 F. Compliance. SUBRECIPIENT is obligated by this Agreement, and is responsible
16 to ensure that SLFRF granted under this Agreement are spent in compliance with all ordinances of the
17 County of Fresno, and laws of the State of California, and all laws of the federal government. This
18 includes, but is not limited to, compliance with all requirements set forth in the Uniform Administrative
19 Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200, the
20 TREASURY's Compliance and Reporting Guidance: State and Local Fiscal Recovery Funds
21 ("Compliance Guidance"), Department of the Treasury 31 CFR Part 35 Coronavirus State and Local
22 Fiscal Recovery Funds Interim Final Rule ("Interim Final Rule") (for expenditures before April 1, 2022)
23 and Final Rule ("Final Rule") (for expenditures on April 1, 2022, or later), and any subsequent updates,
24 including TREASURY's Frequently Asked Questions. The award terms and conditions required by the
25 TREASURY are set forth in Exhibit F, which is attached and incorporated by this reference, as provided
26 by the TREASURY. Notwithstanding anything provided in Section 8 of this Agreement, or in this
27 Subsection 1(F), SUBRECIPIENT has the sole responsibility for compliance under this Section 1(F).
28 G. Prevailing Wage.
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1 a. For any portion of any of the work, service, and/or function (including, but
2 not limited to, any construction, alteration, installation, demolition, repair, or maintenance work), to be
3 performed, either directly or on behalf of SUBRECIPIENT under any agreements with any contractors
4 and/or suppliers (including their respective sub-contractors at any tier) or otherwise, with respect to the
5 Program that is a "public work" for the purposes of Chapter 1 (commencing with § 1720) of Part 7 of
6 Division 2 of the California Labor Code (collectively, "Chapter 1 of the Labor Code"), (i) SUBRECIPIENT
7 shall comply with, and cause all such contractors and/or suppliers (including their respective sub-
8 contractors at any tier) to comply with, all applicable provisions of Chapter 1 of the Labor Code with
9 respect to the Program, and (ii) prior to causing any work to be performed under any agreements with
10 any contractors and/or suppliers, or otherwise, SUBRECIPIENT shall incorporate all of the provisions of
11 this Section 1(G) into such agreements.
12 b. SUBRECIPIENT shall promptly provide a copy to COUNTY of any
13 correspondence, notices, and/or orders, in any written form, and/or any documents initiating legal action
14 (collectively, "DIR Administrative or Legal Action") by or on behalf of the Director of the Department of
15 Industrial Relations of the State of California, including any representative thereof(collectively, the
16 "DIR") to or against SUBRECIPIENT, and SUBRECIPIENT's written responses, in any written form,
17 thereto, that relate to any work, or any portion thereof, provided however, SUBRECIPIENT's provision of
18 such copy of any DIR Administrative or Legal Action, and/or SUBRECIPIENT's responses thereto, or
19 failure to provide same or to timely provide same, shall not impose any obligation upon COUNTY with
20 respect to SUBRECIPIENT's obligations under this Section 1(G). SUBRECIPIENT acknowledges that
21 the DIR provides the following internet resource:
22 ittps://www.dir.ca.gov/OPRL/DPreWageDetermination.htm
23 C. COUNTY does not make any representation, or provide any guidance, to
24 SUBRECIPIENT as to (i) the nature, type, or scope of the work, or any portion thereof, to be performed
25 by SUBRECIPIENT, either directly or under any agreements with any contractors and/or suppliers
26 (including their respective sub-contractors at any tier), that constitutes a "public work," or (ii) the
27 sufficiency of the DIR's internet resource, above, for purposes of compliance with this Section 1(G). The
28 provisions of this Section 1(G) shall survive the expiration or termination of this Agreement.
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1 H. Timeline. SUBRECIPIENT shall ensure that the Program is diligently undertaken
2 and completed, and all SLFRF granted under this Agreement are fully expended, no later than
3 December 31, 2026. By August 31, 2024, SUBRECIPIENT shall analyze, and shall report to COUNTY
4 in writing, whether it can complete the Program or fully expend the SLFRF granted under this
5 Agreement by December 31, 2026. If SUBRECIPIENT is not capable of completing the Program or fully
6 expending the SLFRF granted under this Agreement on the Program by December 31, 2026,
7 SUBRECIPIENT shall return any previously issued SLFRF, which have not been bindingly obligated to a
8 permissible use, to COUNTY within fifteen calendar days. Additionally, SUBRECIPIENT shall account
9 for all SLFRF which have not been bindingly obligated to a permissible use by December 31, 2024, and
10 shall remit the same unobligated SLFRF to the COUNTY within thirty calendar days.
11 I. No Litigation. SUBRECIPIENT shall not use any SLFRF provided by the
12 COUNTY in litigation, or to pay any enforcement agency, including, but not limited to, any fines or
13 penalties, or similar charges, and shall notify the COUNTY of any legal action which is filed by or against
14 SUBRECIPIENT. To the extent permitted by law, SUBRECIPIENT shall not institute any action or suit at
15 law or in equity against COUNTY, nor institute, prosecute, or any way aid in the institution or
16 prosecution of any claim, demand, action, or cause of action for equitable relief, damage, loss, or injury
17 either to person or property, or both, whether developed or undeveloped, resulting or to result, known or
18 unknown, past, present, or future, arising out of, in any way, the terms of this Agreement.
19 J. SUBRECIPIENT agrees that if SUBRECIPIENT receives SLFRF from any other
20 local or state entity for all or any part of the Program for which SUBRECIPIENT has received SLFRF
21 from COUNTY under this Agreement, the SUBRECIPIENT shall contact COUNTY in writing within five
22 (5) business days. SUBRECIPIENT agrees that it may be required to return all or part of the SLFRF
23 received from the COUNTY if the total amount of SLFRF from all local and state entities exceeds the
24 Program's budget, and if SUBRECIPIENT does not intend to expand the Program.
25 K. None of the personnel employed in the administration of the Program shall be in
26 any way, or to any extent engaged in, the conduct of political activities prohibited by Chapter 15 of Title
27 5, U.S. Code, as applicable.
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1 L. None of the SLFRF to be paid under this Agreement shall be used for any
2 partisan political activity, or to support or defeat legislation pending before Congress.
3 2. PROCUREMENT REQUIREMENTS
4 A. SUBRECIPIENT shall comply with all procurement requirements specified in the
5 Uniform Guidance, including, but not limited to, 2 CFR Part 200 et. seq.
6 B. SUBRECIPIENT shall take all necessary affirmative steps to assure that minority
7 businesses, women's business enterprises, and labor surplus area firms are used when possible, when
8 procuring goods and services under this Agreement, including the affirmative steps described in 2 CFR §
9 200.321.
10 C. As appropriate, and to the extent consistent with law, SUBRECIPIENT shall provide a
11 preference for the purchase, acquisition, or use of goods, products, or materials produced in the United
12 States (including but not limited to iron, aluminum, steel, cement, and other manufactured products).
13 D. SUBRECIPIENT agrees to prioritize in its procurement decisions employers who can
14 demonstrate that their workforce meets high safety and training standards (e.g., professional certification,
15 licensure, and/or robust in-house training), that hire local workers and/or workers from historically
16 underserved communities, and who directly employ their workforce or have policies and practices in place
17 to ensure contractors and subcontractors meet high labor standards, and to prioritize employers (including
18 contractors and subcontractors) without recent violations of federal and state labor and employment laws.
19 E. All contracts made by SUBRECIPIENT in excess of$100,000 with respect to water,
20 sewer, or broadband infrastructure projects that involve employment of mechanics or laborers must include
21 a provision for compliance with certain provisions of the Contract Work Hours and Safety Standards Act, 40
22 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5).
23 3. REPORTING REQUIREMENTS
24 A. Quarterly Program Expenditure Report: SUBRECIPIENT shall submit to the
25 COUNTY's designated contact, as designated by the COUNTY's County Administrative Officer in writing
26 at the execution of this Agreement, Quarterly Program Expenditure Reports through the term of this
27 Agreement as provided by this Section 3(A). The reports shall contain, but are not limited to, the
28 information described in Exhibit C, which is attached and incorporated by this reference, and must
1 include a statement, signed by the SUBRECIPIENT, indicating that all expenditures in the report comply
2 with the Interim Rule and the Final Rule, as applicable, and ARPA guidelines for the SLFRF, as set forth
3 by the TREASURY. Quarterly expenditure reports shall be submitted to COUNTY no later than fifteen
4 (15) days after the end of each quarter listed below for the term of this Agreement, beginning with the
5 first quarter ending after the Effective Date:
6 1) January 1 — March 31, due by April 15
7 2) April 1 — June 30, due by July 15
8 3) July 1 — September 30, due by October 15
9 4) October 1 — December 31, due by January 15
10 B. Annual Performance Report: Within fifteen (15) days after each June 30,
11 SUBRECIPIENT shall submit one "Annual Performance Report" to the COUNTY, covering all
12 performance by the SUBRECIPIENT under this Agreement for the fiscal year ending that June 30. The
13 report shall contain, but not be limited to, the information contained in Exhibit D, which is attached and
14 incorporated by this reference.
15 C. Final Report: A Final Program Report shall be submitted to COUNTY within thirty
16 (30) days upon completion of the Program. A Final Report shall include an accounting of all costs and
17 expenses incurred by SUBRECIPIENT, and any other information as the COUNTY deems necessary to
18 facilitate closeout of the Program, and ensure COUNTY's obligations and requirements under the
19 SLFRF Program are met. The Final Program Report is not complete until COUNTY has delivered to
20 SUBRECIPIENT written acceptance of the Final Program Report.
21 4. NONDISCRIMINATION
22 A. During any period in which SUBRECIPIENT is in receipt of SLFRF from COUNTY,
23 SUBRECIPIENT and its Board, officers, employees, agents, representatives or subcontractors shall not
24 unlawfully discriminate in violation of any Federal, State or local law, rule or regulation against any
25 employee, applicant for employment or person receiving services under this Agreement because of race,
26 religious creed, color, national origin, ancestry, physical or mental disability including perception of
27 disability, medical condition, genetic information, pregnancy related condition, marital status, gender/sex,
28 sexual orientation, gender identity, gender expression, age (over 40), political affiliation or belief, or military
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1 and veteran status. SUBRECIPIENT and its officers, employees, agents, representatives or subcontractors
2 shall comply with all applicable Federal, State and local laws and regulations related to nondiscrimination
3 and equal opportunity, including, without limitation, the COUNTY's nondiscrimination policy; Title VI of the
4 Civil Rights Act of 1964 (42 US.C. sections 2000d et seq.) and TREASURY's implementing regulations at
5 31 C.F.R. Part 22, which prohibit discrimination on the basis of race, color, or national origin under
6 programs or activities receiving federal financial assistance; The Fair Housing Act, Title VI II of the Civil
7 Rights Act of 1968 (42 U.S.C. sections 3601 et seq.), which prohibits discrimination in housing on the basis
8 of race, color, religion, national origin, sex, familial status, or disability; Section 504 of the Rehabilitation Act
9 of 1973, as amended (42 U.S.C. sections 6101 et seq.), and the TREASURY's implementing regulations at
10 31 C.F.R. part 23, which prohibit discrimination on the basis of age in programs or activities receiving
11 federal financial assistance; and Title II of the Americans with Disabilities Act of 1990, as amended (42
12 U.S.C. sections 12101 et seq.), which prohibits discrimination on the basis of disability under programs,
13 activities, and services provided or made available by state and local governments or instrumentalities or
14 agencies thereto; The Fair Employment and Housing Act (Government Code sections 12900 et seq.);
15 California Labor Code sections 1101, and 1102; the Federal Civil Rights Act of 1964 (P.L. 88-352), as
16 amended; and all applicable regulations promulgated in the California Code of Regulations or the Code of
17 Federal Regulations.
18 B. SUBRECIPIENT shall include the non-discrimination and compliance provisions of
19 this Section 4 in all subcontracts to perform work under this Agreement.
20 C. SUBRECIPIENT shall provide a system by which recipients of service shall have the
21 opportunity to express, and have considered, their views, grievances, and complaints regarding
22 SUBRECIPIENT's delivery of services.
23 5. CONFLICTS OF INTEREST; ETHICS
24 A. SUBRECIPIENT understands and agrees that it must maintain a conflict-of-interest
25 policy consistent with 2 CFR § 200.318(c), and that such conflict-of-interest policy is applicable to each
26 activity funded under this award. Subrecipient must disclose in writing to the TREASURY and to COUNTY
27 any potential conflict of interest affecting the awarded SLFRF in accordance with 2 CFR § 200.12. Further,
28 no officer, agent, consultant, or employee of SUBRECIPIENT may seek or accept any gifts, service, favor,
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1 employment, engagement, remuneration, or economic opportunity which would tend to improperly influence
2 a reasonable person in that position to depart from the faithful and impartial discharge of the duties of that
3 position.
4 B. No officer, agent, consultant, or employee of SUBRECIPIENT may use his or her
5 position to secure or grant any unwarranted privilege, preference, exemption, or advantage for himself or
6 herself, any member of his or her household, any business entity in which he or she has a financial interest,
7 or any other person.
8 C. No officer, agent, consultant, or employee of SUBRECIPIENT may participate as an
9 agent of SUBRECIPIENT in the negotiation or execution of any contract between SUBRECIPIENT and any
10 private business in which he or she has a financial interest.
11 D. No officer, agent, consultant, or employee of SUBRECIPIENT may suppress any
12 report or other document because it might tend to affect unfavorably his or her private financial interests.
13 E. No officer, agent, consultant, employee, or elected or appointed official of the
14 COUNTY, or SUBRECIPIENT, shall have any interest, direct or indirect, financial, or otherwise, in any
15 contract, subcontract, or agreement with respect thereto, or the proceeds thereof, either for himself or
16 herself, or for those whom he or she has family or business ties, during his or her tenure, or for one year
17 thereafter, for any of the work to be performed pursuant to the Program.
18 6. REQUIRED LICENSES, CERTIFICATES, AND PERMITS
19 A. Any licenses, certificates or permits required by the federal, state, county, or municipal
20 governments for SUBRECIPIENT to provide the services and operate the Program described in Exhibit A
21 must be procured by SUBRECIPIENT, and be valid at the time SUBRECIPIENT enters into this
22 Agreement.
23 B. SUBRECIPIENT must maintain such licenses, certificates and permits in full force and
24 effect. Licenses, certificates and permits may include, but are not limited to, driver's licenses, professional
25 licenses or certificates, and business licenses. Such licenses, certificates, and permits will be procured and
26 maintained by SUBRECIPIENT at no expense to the COUNTY.
27 C. SUBRECIPIENT must show proof of established "indirect cost rates," as defined by
28 the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (5
10
1 U.S.C. 301; 2 CFR 200)with either the Federal Government, or a final negotiated "indirect cost rate" with
2 COUNTY that complies with the Uniform Guidelines within 3 months of receipt of SLFRF.
3 7. OFFICE SPACE, SUPPLIES, EQUIPMENT, AND OPERATING OVERHEAD
4 SUBRECIPIENT shall provide all office space, supplies, equipment, vehicles, reference materials,
5 and telephone service necessary for SUBRECIPIENT to provide the services and operate the Program
6 identified in Exhibit A to this Agreement. COUNTY is not obligated to reimburse or pay SUBRECIPIENT for
7 any expense or cost incurred by SUBRECIPIENT in procuring or maintaining such items. Responsibility for
8 the costs and expenses incurred by SUBRECIPIENT in providing and maintaining such items is the sole
9 responsibility and obligation of SUBRECIPIENT, and if funded by SLFRF, shall comply with the Uniform
10 Cost Administrative Principles, and Audit Requirements for Federal Awards.
11 8. SUBRECIPIENT'S ACKNOWLEDGEMENT OF COUNTY'S REPORTING TO TREASURY
12 A. SUBRECIPIENT acknowledges that COUNTY is obligated to comply with
13 TREASURY's Compliance and Reporting Guidance, which includes submitting mandatory periodic
14 reports to TREASURY.
15 B. SUBRECIPIENT acknowledges that COUNTY is accountable to the TREASURY
16 for SUBRECIPIENT oversight, including ensuring SUBRECIPIENT's compliance with the SLFRF
17 program, SLFRF Award Terms and Conditions, Treasury's Interim Final Rule or Final Rule, as
18 applicable, and reporting requirements, as applicable.
19 C. Notwithstanding anything to the contrary in this Section 8, (i) SUBRECIPIENT's
20 compliance with ARPA and this Agreement are a pre-condition to COUNTY's obligations under
21 Subsections A and B of this Section 8, (ii) nothing in Subsections A or B of this Section 8 relieve
22 SUBRECIPIENT of its obligations under ARPA and this Agreement, and (iii) Subsections A and B of this
23 Section 8 are for the purpose of informing SUBRECIPIENT that COUNTY has certain obligations to
24 TREASURY, the performance of which depend on SUBRECIPIENT's compliance with ARPA and this
25 Agreement, and in no way create any enforceable obligation by SUBRECIPIENT against COUNTY.
26 9. PENALTIES
27 SUBRECIPIENT acknowledges that under ARPA, failure to comply with the restrictions on use as
28 described herein, may result in the TREASURY's recoupment of SLFRF from the COUNTY, and that in
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1 such an event, COUNTY would recoup the SLFRF from SUBRECIPIENT.
2 SUBRECIPIENT also acknowledges that if SUBRECIPIENT fails to comply with the U.S.
3 Constitution, Federal statutes, regulations or the terms and conditions of this Federal award, the COUNTY
4 may impose additional conditions, as described in 2 CFR § 200.208. If the COUNTY determines that
5 noncompliance cannot be remedied by imposing additional conditions, the COUNTY may take one or more
6 of the following actions, as appropriate in the circumstances:
7 A. Demand repayment of SLFRF issued to SUBRECIPIENT. SUBRECIPIENT shall
8 refund SLFRF upon demand by COUNTY.
9 B. Temporarily withhold cash payments pending correction of the deficiency by
10 SUBRECIPIENT, or more severe enforcement action by the COUNTY;
11 C. Disallow (that is, deny both use of funds and any applicable matching credit for) all
12 or part of the cost of the activity or action not in compliance;
13 D. Wholly or partly suspend or terminate the SLFRF;
14 E. Recommend the TREASURY initiate suspension or debarment proceedings;
15 F. Withhold further SLFRF for the Program; and
16 G. Take other remedies that may be legally available.
17 10. FINANCIAL MANAGEMENT
18 A. All of the SLFRF received by SUBRECIPIENT shall be maintained by
19 SUBRECIPIENT in a separate account (the "SLFRF Account"), which shall be distinct from any and all
20 other accounts or funds of the SUBRECIPIENT, and any interest, income, or increase in such SLFRF as
21 a result of any investment thereof shall be maintained in such SLFRF Account for the sole authorized
22 use under this Agreement, provided that, in the event SUBRECIPIENT has more than one authorized
23 use of such SLFRF under this Agreement, SUBRECIPIENT may have such number of such separate
24 accounts that correspond to each such authorized use provided further that such separate accounts are
25 subject to this Section 10(A), and are segregated and identified by a unique identifier. In no event shall
26 any such SLFRF be placed in any investment that may be withdrawn only upon payment of penalty, fee,
27 or charge.
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1 B. SUBRECIPIENT must provide to COUNTY evidence of SUBRECIPIENT's
2 financial accountability. SUBRECIPIENT shall comply with all applicable Uniform Guidance
3 requirements. SUBRECIPIENT shall consult with COUNTY if SUBRECIPIENT is not certain which
4 Uniform Guidance requirements apply or how they apply.
5 C. Pursuant to 2 CFR 200.303, the SUBRECIPIENT shall develop and implement
6 written internal controls that are effective to ensure that funding decisions under the SLFRF constitute
7 Eligible Uses of SLFRF, and shall document all funding decisions. Upon request by COUNTY, the
8 SUBRECIPIENT shall provide the written internal controls and documentation of funding decisions to
9 the COUNTY.
10 D. SUBRECIPIENT shall submit to the COUNTY a copy of SUBRECIPIENT's most
11 recent single audit under 2 CFR Part 200, or a certification that SUBRECIPIENT expended less than
12 $750,000 of Federal funds during that reporting period. If SUBRECIPIENT submits a letter stating it
13 expended less than $750,000 in Federal funds, SUBRECIPIENT shall provide a recent financial
14 statement certified by an appropriate officer or employee of the SUBRECIPIENT. Financial
15 accountability submissions shall be provided to County of Fresno, County Administrative Office located
16 at 2281 Tulare, Room 304, Fresno, CA 93721, or electronically to e-mail address
17 ",esnocao(a)fresnocountyca.gov.
18 E. SUBRECIPIENT certifies that neither it, nor its principals, are presently debarred,
19 suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this
20 transaction by any federal department or agency. This certification is made pursuant to the regulations
21 implemented by 2 CFR Part 200, Subpart 200.214, Debarment and Suspension, and any relevant
22 program-specific regulations. This provision shall be required of every subcontractor receiving any
23 payment in whole or in part from Federal funds.
24 F. SUBRECIPIENT shall record all costs of the Program by budget line items, which
25 shall be supported by adequate source documentation, including payroll ledgers, time records, invoices,
26 contracts, vouchers, orders, and other accounting documents evidencing in proper detail the nature and
27 propriety of all costs. At any time during normal business hours, SUBRECIPIENT's financial transactions
28 with respect to the Program may be audited by the COUNTY or independent auditors contracted by the
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1 COUNTY, or any combination thereof. The representatives of the auditing agency or agencies shall
2 have access to all books, documents, accounts, records, reports, files, papers, things, property,
3 contractors of program services, and other persons pertaining to such financial transactions and
4 necessary to facilitate the audit.
5 G. Copies, excerpts, or transcripts of all of the books, documents, papers, and
6 records, including invoices, payroll registers, time records, contracts, and accounting documents
7 concerning matters that are reasonably related to the Program shall be provided upon request to the
8 COUNTY.
9 H. Expenditures eligible for reimbursement from the SLFRF are described in Exhibit
10 B, which is attached and incorporated by this reference. SUBRECIPIENT shall not make any changes in
11 the line-item expenditures in Exhibit B without prior written approval of the COUNTY.
12 I. No cash reimbursement for purchases of any kind is allowable.
13 11. TERM
14 The term of this Agreement shall comply with ARPA Guidelines, and shall commence on the
15 Effective Date, until COUNTY has delivered to SUBRECIPIENT written acceptance of the Final Program
16 Report under Section 3(C) of this Agreement, unless sooner terminated as provided herein.
17 Notwithstanding timelines provided in this Agreement, SUBRECIPIENT may only use ARPA SLFRF to
18 cover costs incurred during the time period set forth by the TREASURY. The COUNTY's written
19 acceptance of the Final Program Report under Section 3(C) of this Agreement shall include the COUNTY's
20 written notification to the SUBRECIPIENT, on behalf of COUNTY, that the Agreement term has ended. The
21 County Administrative Officer or his or her designee is authorized to execute this written acceptance of the
22 Final Program Report and notification of term end to SUBRECIPIENT.
23 12. TERMINATION
24 A. Non-Allocation of Funds: The terms of this Agreement, and the services to be
25 provided hereunder, are contingent on the approval of funds by the appropriating government agency.
26 Should sufficient funds not be allocated, the services provided may be modified, or this Agreement
27 terminated by COUNTY, at any time without penalty to COUNTY by giving the SUBRECIPIENT thirty (30)
28 days advance written notice.
14
1 B. Breach of Contract: The COUNTY may immediately suspend or terminate this
2 Agreement in whole or in part, where in the determination of the COUNTY there is:
3 1) An illegal or improper use of funds;
4 2) A failure to comply with any term of this Agreement;
5 3) A substantially incorrect or incomplete report submitted to the COUNTY;
6 4) Improperly performed service.
7 In no event shall any payment by the COUNTY constitute a waiver by the COUNTY of any breach
8 of this Agreement or any default which may then exist on the part of the SUBRECIPIENT. Neither shall
9 such payment impair or prejudice any remedy available to the COUNTY with respect to the breach or
10 default. The COUNTY shall have the right to demand of the SUBRECIPIENT the repayment to the
11 COUNTY of any SLFRF disbursed to the SUBRECIPIENT under this Agreement, which in the judgment of
12 the COUNTY were not expended in accordance with the terms of this Agreement. The SUBRECIPIENT
13 shall promptly refund any such SLFRF upon demand.
14 C. Without Cause: Under circumstances other than those set forth above, this
15 Agreement may be terminated by COUNTY by giving thirty (30) days advance written notice of an intention
16 to terminate to SUBRECIPIENT.
17 13. GRANT FUNDING/COMPENSATION
18 A. The parties understand that funding for this Agreement is SLFRF provided pursuant to
19 ARPA, codified at Title 31 CFR Part 35, and any amendments thereafter. COUNTY agrees to grant
20 SUBRECIPIENT, and SUBRECIPIENT agrees to receive such grants, up to the total SLFRF grant, in an
21 amount not to exceed six hundred sixty-one thousand, five hundred dollars ($661,500).
22 It is expressly agreed and understood that the total amount of SLFRF to be granted by COUNTY to
23 SUBRECIPIENT for the Program shall not exceed six hundred sixty-one thousand, five hundred dollars
24 ($661,500), to fund the fund the design, surveying and engineering, environmental review, and the
25 purchase of two new lift station pumps, and wet well coating to rehabilitate the Lincoln Avenue Lift Station
26 and repair the Silveria Street Lift Station, which are critical components of the SUBRECIPIENT's
27 wastewater treatment system, and are necessary to maintain adequate service levels, and would improve
28 the operation of the wastewater treatment system that serves the Disadvantaged Community of
15
1 Tranquillity, which is an eligible use under the Final Rule. SUBRECIPIENT shall submit written drawdown
2 requests for the payment of eligible necessary expenses in support of the Program. Drawdown requests
3 for the COUNTY to make such payments shall be in accordance with the sample Drawdown Request
4 Form, attached as Exhibit B and incorporated by this reference. Drawdown requests shall include copies
5 of purchase orders, receipts, and reimbursement requests, detailing items purchased, and expenses
6 incurred or anticipated to be incurred in support of the Program for eligible items listed in Table 1-1 of
7 Exhibit B of this Agreement.
8 In the first thirty (30) days following the Effective Date of this Agreement, SUBRECIPIENT may
9 make one (1) drawdown request to a maximum of two hundred ninety-three thousand, five hundred dollars
10 ($293,500), equivalent to forty-five percent (45%) of the Program's total budgeted amount ($661,500)to
11 cover eligible expenditures in support of the Program. The first drawdown request from SUBRECIPIENT to
12 the COUNTY shall also be accompanied by a written certification from the SUBRECIPIENT that the
13 drawdown request for payment is consistent with the amount of work scheduled to be performed with the
14 amount of funding being requested from the COUNTY, and that said drawdown request is in accordance
15 with the Program, Table 1-1 of Exhibit B of this Agreement. After appropriate review and inspection of the
16 first drawdown request, the COUNTY shall make the first payment available to SUBRECIPIENT in a timely
17 manner. After the first drawdown request, SUBRECIPIENT may make additional subsequent drawdown
18 requests to the COUNTY on a 60-day basis for eligible expenditures to be funded with the remaining
19 balance of the Program's budget in accordance with this Agreement.
20 SUBRECIPIENT must work to minimize the time between the request from the COUNTY and the
21 disbursement of funds to meet the Program needs. Upon receipt of purchase or work orders acceptable to
22 the COUNTY, COUNTY shall grant SLFRF to SUBRECIPIENT. SUBRECIPIENT is responsible for
23 monitoring the Program's cash flow needs and submitting drawdown requests to COUNTY in a timely
24 manner to assure adequate coverage of Program needs. It is understood that all expenses incidental to
25 SUBRECIPIENT's performance of services in carrying out its Program under this Agreement shall be
26 borne by SUBRECIPIENT.
27 SUBRECIPIENT shall submit documentation to the County of Fresno, County Administrative Office
28 located at 2281 Tulare, Room 304, Fresno, CA 93721, or electronically, to e-mail address
16
1 fresnocao@fresnocountyca.gov. Payment by COUNTY shall be in arrears for services provided during the
2 preceding period of time, within forty-five (45) days from date of receipt, verification and approval of
3 SUBRECIPIENT's invoice and supporting documentation by COUNTY. If SUBRECIPIENT fails to comply
4 with any provision of this Agreement, COUNTY shall be relieved of its obligations for further compensation.
5 B. To ensure compliance with Federal and State regulations, COUNTY may require
6 additional supporting documentation or clarification of claimed expenses as follows:
7 i. COUNTY staff shall notify SUBRECIPIENT to obtain necessary additional
8 documentation or clarification.
9 ii. SUBRECIPIENT shall respond within five (5) business days with required
10 additional documentation or clarification to avoid disallowances/partial payment of invoice.
11 iii. All invoices containing expenses that need additional documentation or
12 clarification not provided to COUNTY within five (5) business days of request shall have those expenses
13 disallowed, and only the allowed expenses shall be paid.
14 iv. SUBRECIPIENT may resubmit disallowed expenses as a supplemental invoice
15 only, and must be accompanied by required documentation.
16 C. All expenses incidental to SUBRECIPIENT'S performance of services in carrying out
17 its Program under this Agreement shall be borne by SUBRECIPIENT. Except as expressly provided in this
18 Agreement, SUBRECIPIENT shall not be entitled to, nor receive from COUNTY, any additional
19 consideration, compensation, salary, wages, or other type of remuneration for services rendered under
20 this Agreement. COUNTY shall not withhold any Federal or State income taxes or Social Security tax from
21 any payments made by COUNTY to SUBRECIPIENT under the terms and conditions of this Agreement.
22 Payment of all taxes and assessments on such sums is the sole responsibility of SUBRECIPIENT. County
23 has no responsibility or liability for payment of SUBRECIPIENT's taxes or assessments.
24 14. INDEPENDENT CONTRACTOR
25 In performance of the work, duties and obligations assumed by SUBRECIPIENT under this
26 Agreement, it is mutually understood and agreed that SUBRECIPIENT, including any and all of the
27 SUBRECIPIENT'S officers, agents, and employees will at all times be acting and performing as an
28 independent contractor, and shall act in an independent capacity and not as an officer, agent, servant,
17
1 employee,joint venturer, partner, or associate of the COUNTY. Furthermore, COUNTY shall have no right
2 to control or supervise or direct the manner or method by which SUBRECIPIENT shall perform its work and
3 function. However, COUNTY shall retain the right to administer this Agreement so as to verify that
4 SUBRECIPIENT is performing its obligations in accordance with the terms and conditions thereof.
5 SUBRECIPIENT and COUNTY shall comply with all applicable provisions of law and the rules and
6 regulations, if any, of governmental authorities having jurisdiction over all matters subject thereto.
7 Because of its status as an independent contractor, SUBRECIPIENT shall have absolutely no right
8 to employment rights and benefits available to COUNTY employees. SUBRECIPIENT shall be solely liable
9 and responsible for providing to, or on behalf of, its employees all legally-required employee benefits. In
10 addition, SUBRECIPIENT shall be solely responsible and save COUNTY harmless from all matters relating
11 to payment of SUBRECIPIENT'S employees, including compliance with Social Security withholding and all
12 other regulations governing such matters. It is acknowledged that during the term of this Agreement,
13 SUBRECIPIENT may be providing services to others unrelated to the COUNTY or to this Agreement.
14 15. MODIFICATION
15 Any matters of this Agreement may be modified from time to time by the written consent of all the
16 parties without, in any way, affecting the remainder.
17 16. NON-ASSIGNMENT
18 Neither party shall assign, transfer, or sub-contract this Agreement, nor their rights or duties under
19 this Agreement without the prior written consent of the other party.
20 17. HOLD HARMLESS SUBRECIPIENT agrees to indemnify, save, hold harmless, and at
21 COUNTY'S request, defend the COUNTY, its officers, agents, and employees from any and all costs
22 and expenses (including attorney's fees and costs), penalties, fines, damages, liabilities, claims, and
23 losses occurring or resulting to COUNTY in connection with the performance, or failure to perform, by
24 SUBRECIPIENT, its officers, agents, or employees under this Agreement, and from any and all costs
25 and expenses (including attorney's fees and costs), penalties, fines, damages, liabilities, claims, and
26 losses occurring or resulting to any person, firm, or corporation who may be injured or damaged by the
27 performance, or failure to perform, of SUBRECIPIENT, its officers, agents, or employees under this
28 Agreement.
18
1 SUBRECIPIENT shall indemnify COUNTY against any and all actions of recoupment by the
2 TREASURY arising from this Agreement. Such indemnification shall not be limited to the term of this
3 Agreement.
4 SUBRECIPIENT shall indemnify COUNTY against any and all claims or actions by any person or
5 entity arising from any violation or alleged violation of Section 1(G), herein.
6 The provisions of this Section 17 shall survive the expiration or termination of this Agreement.
7 18. INSURANCE
8 Without limiting the COUNTY's right to obtain indemnification from SUBRECIPIENT or any third
9 parties, SUBRECIPIENT, at its sole expense, shall maintain in full force and effect, the following
10 insurance policies or a program of self-insurance, including but not limited to, an insurance pooling
11 arrangement or Joint Powers Agreement (JPA) throughout the term of the Agreement:
12 A. Commercial General Liability
13 Commercial General Liability Insurance with limits of not less than Two Million Dollars
14 ($2,000,000.00) per occurrence and an annual aggregate of Four Million Dollars ($4,000,000.00). This
15 policy shall be issued on a per occurrence basis. COUNTY may require specific coverages including
16 completed operations, products liability, contractual liability, Explosion-Collapse-Underground, fire legal
17 liability or any other liability insurance deemed necessary because of the nature of this contract.
18 B. Automobile Liability
19 Comprehensive Automobile Liability Insurance with limits of not less than One Million Dollars
20 ($1,000,000.00) per accident for bodily injury and for property damages. Coverage should include any auto
21 used in connection with this Agreement.
22 C. Professional Liability
23 If SUBRECIPIENT employs licensed professional staff, (e.g., Ph.D., R.N., L.C.S.W., M.F.C.C.) in
24 providing services, Professional Liability Insurance with limits of not less than One Million Dollars
25 ($1,000,000.00) per occurrence, Three Million Dollars ($3,000,000.00) annual aggregate. SUBRECIPIENT
26 agrees that it shall maintain, at its sole expense, in full force and effect for a period of
27 three (3) years following the termination of this Agreement, one or more policies of professional liability
28 insurance with limits of coverage as specified herein.
19
1 D. Worker's Compensation
2 A policy of Worker's Compensation insurance as may be required by the Labor Code.
3 Additional Requirements Relating to Insurance
4 SUBRECIPIENT shall obtain endorsements to the Commercial General Liability insurance naming
5 the County of Fresno, its officers, agents, and employees, individually and collectively, as additional
6 insured, but only insofar as the operations under this Agreement are concerned. Such coverage for
7 additional insured shall apply as primary insurance and any other insurance, or self-insurance, maintained
8 by COUNTY, its officers, agents and employees shall be excess only and not contributing with insurance
9 provided under SUBRECIPIENT's policies herein. This insurance shall not be cancelled or changed without
10 a minimum of thirty (30) days advance written notice given to the COUNTY.
11 SUBRECIPIENT hereby waives its right to recover from COUNTY, its officers, agents, and
12 employees any amounts paid by the policy of worker's compensation insurance required by this
13 Agreement. SUBRECIPIENT is solely responsible to obtain any endorsement to such policy that may be
14 necessary to accomplish such waiver of subrogation, but SUBRECIPIENT's waiver of subrogation under
15 this paragraph is effective whether or not SUBRECIPIENT obtains such an endorsement.
16 Within thirty (30) days from the date SUBRECIPIENT signs and executes this Agreement,
17 SUBRECIPIENT shall provide certificates of insurance and endorsement as stated above for all of the
18 foregoing policies, as required herein, to the County of Fresno, County Administrative Office, Attention:
19 ARPA—SLFRF Coordinator, 2281 Tulare Street, Room 304, Fresno, CA 93721, stating that such
20 insurance coverages have been obtained and are in full force; that the County of Fresno, its officers, agents
21 and employees will not be responsible for any premiums on the policies; that for such worker's
22 compensation insurance the SUBRECIPIENT has waived its right to recover from the COUNTY, its officers,
23 agents, and employees any amounts paid under the insurance policy and that waiver does not invalidate
24 the insurance policy; that such Commercial General Liability insurance names the County of Fresno, its
25 officers, agents and employees, individually and collectively, as additional insured, but only insofar as the
26 operations under this Agreement are concerned; that such coverage for additional insured shall apply as
27 primary insurance and any other insurance, or self-insurance, maintained by COUNTY, its officers, agents
28 and employees, shall be excess only and not contributing with insurance provided under SUBRECIPIENT's
20
1 policies herein; and that this insurance shall not be cancelled or changed without a minimum of thirty (30)
2 days advance, written notice given to COUNTY.
3 In the event SUBRECIPIENT fails to keep in effect at all times insurance coverage as herein
4 provided, the COUNTY may, in addition to other remedies it may have, suspend or terminate this
5 Agreement upon the occurrence of such event.
6 All policies shall be issued by admitted insurers licensed to do business in the State of California,
7 and such insurance shall be purchased from companies possessing a current A.M. Best, Inc. rating of A
8 FSC VI or better.
9 19. RECORDKEEPING AND CONFIDENTIALITY
10 A. Pursuant to the Compliance Guidance published by TREASURY, the SUBRECIPIENT
11 must maintain records and financial documents for five (5) years after all SLFRF have been expended or
12 returned to TREASURY. SUBRECIPIENT acknowledges that the Compliance Guidance published by
13 TREASURY may change, and understands that any changes must be complied with. SUBRECIPIENT is
14 responsible to comply with any changes made to the Compliance Guidance, and COUNTY has no
15 responsibility to notify the SUBRECIPIENT of any changes to the Compliance Guidance by TREASURY.
16 B. SUBRECIPIENT shall maintain reasonable security measures to protect records
17 containing personal information from unauthorized access, acquisition, destruction, use, modification, or
18 disclosure pursuant to the California Consumer Privacy Act (CCPA) to ensure against a breach of
19 security of personal information of clients, staff, or other individuals. SUBRECIPIENT shall have
20 established written policies and procedures that align with CCPA, and shall follow such procedures.
21 Upon request, SUBRECIPIENT shall make available to COUNTY staff such written policies and
22 procedures, and shall be monitored for compliance.
23 20. AUDITS AND INSPECTIONS:
24 A. SUBRECIPIENT shall, at anytime during business hours, and as often as the
25 COUNTY may deem necessary, make available to the COUNTY for examination all of its records and data
26 with respect to the matters covered by this Agreement. The SUBRECIPIENT shall, upon request by the
27 COUNTY, permit the COUNTY to audit and inspect all of such records and data necessary to ensure
28 SUBRECIPIENT'S compliance with the terms of this Agreement. SUBRECIPIENT shall allow duly
21
1 authorized representatives of the COUNTY or independent auditors contracted by the COUNTY, or any
2 combination thereof, to conduct such reviews, audits, and on-site monitoring of the Program as the
3 reviewing entity deems to be appropriate in order to determine:
4 1) Whether the objectives of the Program are being achieved;
5 2) Where the Program is being operated in an efficient and effective
6 manner;
7 3) Whether management control systems and internal procedures have
8 been established to meet the objectives of the Program;
9 4) Whether the financial operations of the Program are being conducted
10 properly;
11 5) Whether the periodic reports to the COUNTY contain accurate and
12 reliable information;
13 6) Whether all of the activities of the Program are conducted in compliance
14 with the provisions of state and federal laws and regulations and this
15 Agreement; and
16 7) Whether all activities associated with the Program are in compliance with
17 the Interim Final Rule and Final Rule for the SLFRF, the Compliance
18 Guidance, and any subsequent guidance issued by TREASURY.
19 B. SUBRECIPIENT shall maintain all books, documents, and other materials relevant to
20 its performance under this Agreement. These records shall be subject to the inspection, review, and audit
21 by the COUNTY or its designees, and the TREASURY, for five (5) years following termination of this
22 Agreement. If it is determined during the course of the audit that the SUBRECIPIENT was reimbursed for
23 unallowable costs under this Agreement, the ARPA Guidelines, or the Final Rule, SUBRECIPIENT agrees
24 to promptly reimburse the COUNTY for such payments upon request.
25 C. SUBRECIPIENT agrees and acknowledges that if SUBRECIPIENT expends more
26 than $750,000 in Federal awards during a fiscal year, SUBRECIPIENT shall be subject to an audit under
27 the Single Audit Act and its implementing regulation at 2 CFR Part 200, Subpart F, regarding audit
28 requirements.
22
1 21. NOTICES The persons and their addresses having authority to give and receive notices
2 under this Agreement include the following:
3 COUNTY SUBRECIPIENT
COUNTY OF FRESNO Tranquillity Public Utility District
4 ARPA- SLFRF Coordinator P.O. Box 622
2281 Tulare Street, Room 304 Tranquillity, CA 93688
5 Fresno, CA 93721 Attn: Laurie Siliznoff,
6 District Secretary
7 All notices between the COUNTY and SUBRECIPIENT provided for or permitted under this
8 Agreement must be in writing and delivered either by personal service, by first-class United States mail, by
9 an overnight commercial courier service, or by telephonic facsimile transmission. A notice delivered by
10 personal service is effective upon service to the recipient. A notice delivered by first-class United States
11 mail is effective three COUNTY business days after deposit in the United States mail, postage prepaid,
12 addressed to the recipient. A notice delivered by an overnight commercial courier service is effective one
13 COUNTY business day after deposit with the overnight commercial courier service, delivery fees prepaid,
14 with delivery instructions given for next day delivery, addressed to the recipient. A notice delivered by
15 telephonic facsimile is effective when transmission to the recipient is completed (but, if such transmission is
16 completed outside of COUNTY business hours, then such delivery shall be deemed to be effective at the
17 next beginning of a COUNTY business day), provided that the sender maintains a machine record of the
18 completed transmission. For all claims arising out of or related to this Agreement, nothing in this section
19 establishes, waives, or modifies any claims presentation requirements or procedures provided by law,
20 including but not limited to the Government Claims Act(Division 3.6 of Title 1 of the Government Code,
21 beginning with section 810).
22 22. GOVERNING LAW
23 Venue for any action arising out of or related to this Agreement shall only be in Fresno County,
24 California.
25 The rights and obligations of the parties and all interpretation and performance of this Agreement
26 shall be governed in all respects by the laws of the State of California.
27 23. ADVICE OF ATTORNEY
28 Each party warrants and represents that in executing this Agreement, it has received
23
1 independent legal advice from its attorneys, or the opportunity to seek such advice.
2 24. DISCLOSURE OF SELF-DEALING TRANSACTIONS
3 This provision is only applicable if the SUBRECIPIENT is operating as a corporation (a for-profit
4 or non-profit corporation) or if during the term of the agreement, the SUBRECIPIENT changes its status
5 to operate as a corporation.
6 Members of the SUBRECIPIENT's Board of Directors shall disclose any self-dealing transactions
7 that they are a party to while SUBRECIPIENT is providing goods or performing services under this
8 agreement. A self-dealing transaction shall mean a transaction to which the SUBRECIPIENT is a party
9 and in which one or more of its directors has a material financial interest. Members of the Board of
10 Directors shall disclose any self-dealing transactions that they are a party to by completing and signing a
11 Self-Dealing Transaction Disclosure Form, attached hereto as Exhibit E and incorporated herein by
12 reference, and submitting it to the COUNTY prior to commencing with the self-dealing transaction or
13 immediately thereafter.
14 25. ELECTRONIC SIGNATURES
15 The parties agree that this Agreement may be executed by electronic signature as provided in
16 this Section. An "electronic signature" means any symbol or process intended by an individual signing
17 this Agreement to represent their signature, including but not limited to (1) a digital signature; (2) a faxed
18 version of an original handwritten signature; or (3) an electronically scanned and transmitted (for
19 example by PDF document) of a handwritten signature. Each electronic signature affixed or attached to
20 this Agreement (1) is deemed equivalent to a valid original handwritten signature of the person signing
21 this Agreement for all purposes, including but not limited to evidentiary proof in any administrative or
22 judicial proceeding, and (2) has the same force and effect as the valid original handwritten signature of
23 that person. The provisions of this section satisfy the requirements of Civil Code section 1633.5,
24 subdivision (b), in the Uniform Electronic Transaction Act (Civil Code, Division 3, Part 2, Title 2.5,
25 beginning with section 1633.1). Each party using a digital signature represents that it has undertaken
26 and satisfied the requirements of Government Code section 16.5, subdivision (a), paragraphs (1)
27 through (5), and agrees that each other party may rely upon that representation. This Agreement is not
28 conditioned upon the parties conducting the transactions under it by electronic means and either party
24
1 may sign this Agreement with an original handwritten signature.
2 26. ENTIRE AGREEMENT: This Agreement constitutes the entire agreement between the
3 SUBRECIPIENT and COUNTY with respect to the subject matter hereof, and supersedes all previous
4 Agreement negotiations, proposals, commitments, writings, advertisements, publications, and
5 understanding of any nature whatsoever unless expressly included in this Agreement. Notwithstanding this
6 provision, any additional requirements and/or guidelines set forth by the TREASURY regarding the uses
7 and reporting requirements for ARPA SLFRF after the execution of this Agreement shall be understood to
8 be integrated into this Agreement, and binding on the parties.
9
10
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12
13
14
15
16
17
18
19
20
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24
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I IN WITNESS WHEREOF,the parties hereto have executed this Agreement as of the day and year
2 first hereinabove written.
3
4 SUBRECiPIEAtT COC7rfftE51V0
5 _
Michael P hue, Presiden of the Brian Pacheco, Chairman of the Board of
6 District Board of Directors Supervisors of the County of Fresno
7 Tranquillity Public Utility District
Mailing Address:
8 P.O. Box 622
Tranquillity, CA 93688
9
10
11 ATTEST:
Bernice E. Seidel
12 Clerk of the Board of Supervisors
County of Fresno, State of Califomia
13
14
16
16 By:
Deputy
17 FOR ACCOUNTING USE ONLY:
Fund: 0026
18
Subclass: 91021
19
ORG: 1033
20
Account:
21
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26
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26
1 EXHIBIT A
2 Program Description
3 Tranquillity Public Utility District, SUBRECIPIENT owns and operates a public wastewater system
4 that consists of sewer lines, two lift stations, and a wastewater treatment plant (identification number:
5 273195), which is regulated and permitted by Monitoring and Reporting Program Number No. 2014-0153-
6 DWQ-R5361 issued by the California Environmental Protection Agency, Central Valley Regional Water
7 Quality Control Board (CVRWQCB).
8 The SUBRECIPIENT represents that its two sewer lift stations (Lincoln Avenue and Silveria
9 Street Lift Stations) are near the end of their useful operational lives, in need of repair, and/or complete
10 replacement to ensure that the SUBRECIPIENT continues to provide adequate sewer conveyance and
11 treatment levels to meet service demand in the Community of Tranquillity. Construction is scheduled to
12 begin upon approval of this Agreement. The Community of Tranquillity is as a Disadvantaged Community
13 of approximately 1,000 residents, with an average median household income of$35,368 (census tract
14 060190082002).
15 SUBRECIPIENT intends to use SLFRF to fund the design, surveying and engineering,
16 environmental review, and the purchase of two new lift station pumps, and wet well coating to rehabilitate
17 the Lincoln Avenue Lift Station and repair the Silveria Street Lift Station, which are critical components of
18 the SUBRECIPIENT's wastewater treatment system, and make necessary investments in sewer
19 infrastructure to comply with CVRWQCB's wastewater treatment system mandates. SUBRECIPIENT
20 represents that the Program qualifies under the CWSRF eligible category of centralized wastewater
21 treatment, sewer system projects.
22
23
24
25
26
27
28
27
1 EXHIBIT B
2 Subrecipient Expenditure Plan
3 SUBRECIPIENT shall provide to COUNTY drawdown requests for payments for eligible
4 expenses to complete the Program. In the first thirty (30) days following the Effective Date of this
5 Agreement, SUBRECIPIENT may make drawdown requests to a maximum of two hundred ninety-three
6 thousand, five hundred dollars ($293,500), equivalent to forty-five percent (45%) of the Program's total
7 budgeted amount ($661,500), to cover eligible expenditures in support of the Program. Drawdown
8 requests shall be made on a 60-day basis thereafter. The Program is anticipated to be completed in 12
9 to 18 months. SUBRECIPIENT shall use the Drawdown Request Form to submit detailed drawdown
10 requests for eligible expenses and include purchase orders, receipts, and reimbursement requests,
11 detailing items purchased, and expenses incurred or anticipated to be incurred in support of the
12 Program as represented in Table 1-1, below.
13 Table 1-1
14 Expenditure Plan
15 Item Description Cost
16 Sewer Lift Station 1(W.Silvera Street)
Replacing pumps $100,000
17 Installing Emergency Generator $100,000
Installing Ultrasonic Level Sensors $20,000
18 Sewer Lift Station 2(W.Lincoln Avenue)
Wet well Coating $50,000
19 Replacing pumps $100,000
Installing Emergency Generator $100,000
20 Installing Ultrasonic Level Sensors $20,000
21 Subtotal-Construction $490,000
Contingency(10%) $49,000
22 Surveying, Design Engineering and Environmental(15%) $73,500
Construction Administration (10%) $49,000
23 Total Project Cost $661,500
24
25
26
27
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28
1 EXHIBIT B (continued)
2 Drawdown Request Form
3 Date:
4
County of Fresno
5 ARPA- SLFRF Coordinator
2281 Tulare Street, Room 304
6 Fresno, CA 93721
7 Subject: Drawdown Request for
8 Subrecipient Program Subrecipient Name
9 In accordance with the executed Agreement for the above-referenced Program, the
10 [SUBRECIPIENT NAME] is requesting drawdown payment of$ in support of the
11 Program.
12 The [SUBRECIPIENT NAME] certifies that this request for payment is consistent with the
13 amount of work that has been completed to date, detailing items purchased, and expenses
14 incurred or anticipated to be incurred in support of the Program in accordance with the
15 subrecipient expenditure plan (Exhibit B, Table 1-1) documented in the executed Agreement,
16 and as evidenced by the enclosed invoices and supporting documents.
17 Payee Invoice #/ Contract# Amount
18
19
20
21
22 Sincerely,
23
24 [Subrecipient Officer]
25 [Subrecipient Name]
26 Enclosure(s)
27
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1 EXHIBIT C
2 Subrecipient Quarterly Program Expenditure Report (Template)
3 PROGRAM
4 Identifying and demographic Agreement Number:
information (DUNS):
5 Name of Entity: Program Name:
6 Reporting Period Start Date: Reporting Period End Date:
7 Expenditure Category: 5 Infrastructure, Sewer
8 Total Award: $661,500 Remaining Balance:
9
10 EXPENDITURES
11 Category
Expenditures Obligations Period Period
12 . . Obligations
13 5 Infrastructure, Sewer
14 5.1 Clean Water: Centralized
Wastewater Treatment
15
TOTAL
16
17 PROJECT STATUS
18
Describe program achievements and upcoming milestones:
19
20
21 Quarterly Status Report, select one.
22 Not started
completed less than 50 percent
23 completed more than 50 percent
Completed
24
25 AUTHORIZED SIGNATURE
26
27
28 Prepared by: (print name) Date
30
1 EXHIBIT D
2 Annual Performance Report
3 All SUBRECIPIENTs that receive State and Local Fiscal Recovery Funds (SLFRF) awards are
4 required to produce an Annual Report. The Annual Report provides information on the
5 SUBRECIPIENT's Program, and how it plans to ensure program outcomes are achieved in an
6 effective and equitable manner.
7 The initial Annual Report must cover the period from the date of award to the following June 30th and
8 must be submitted to the County within 15 calendar days after the end of the reporting period.
9 Thereafter, the Annual Report will cover a 12-month period and subrecipients will be required to
10 submit the report to the County within 15 calendar days after the end of the 12-month period (by July
11 15th).
12 Annual Period Covered Due Date
13 1 Report Award — June 30 2022 JuIV 15 2022
14 2 JuIV 1 2022 — June 30 2023 JuIV 15 2023
3 JuIV 1 2023 — June 30 2024 JuIV 15 2024
15 4 July 1, 2024 — June 30, 2025 July 15, 2025
16 5 1 July 1, 2025 — June 30, 2026 July 15, 2026
6 July 1, 2026 — December 31, 2026 January 15, 2027
17
18 Instructions:
19 SUBRECIPIENT should consult the SLFRF Guidance on Recipient Compliance and Reporting
20 Responsibilities (Reporting Guidance) located at: https:Hhome.treasury.gov/system/files/136/SLFRF-
21 Compliance-and-Reporting-Guidance.pdf for detailed guidance on the submission of this report.
22
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26
27
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1 EXHIBIT E
2 Self-Dealing Transaction Disclosure Form
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6
7
8
9
10
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12
13
14
15
16
17
18
19
20
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24
25
26
27
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Exhibit E
SELF-DEALING TRANSACTION DISCLOSURE FORM
In order to conduct business with the County of Fresno (hereinafter referred to as "County"),
members of a contractor's board of directors (hereinafter referred to as "County Contractor"), must
disclose any self-dealing transactions that they are a party to while providing goods, performing
services, or both for the County. A self-dealing transaction is defined below:
"A self-dealing transaction means a transaction to which the corporation is a party and in which one
or more of its directors has a material financial interest"
The definition above will be utilized for purposes of completing this disclosure form.
INSTRUCTIONS
(1) Enter board member's name,job title (if applicable), and date this disclosure is being made.
(2) Enter the board member's company/agency name and address.
(3) Describe in detail the nature of the self-dealing transaction that is being disclosed to the
County. At a minimum, include a description of the following:
a. The name of the agency/company with which the corporation has the transaction; and
b. The nature of the material financial interest in the Corporation's transaction that the
board member has.
(4) Describe in detail why the self-dealing transaction is appropriate based on applicable
provisions of the Corporations Code.
(5) Form must be signed by the board member that is involved in the self-dealing transaction
described in Sections (3) and (4).
Exhibit E
(1)Company Board Member Information:
Name: Date:
Job Title:
(2)Company/Agency Name and Address:
(3) Disclosure(Please describe the nature of the self-dealing transaction you are a party to):
(4) Explain why this self-dealing transaction is consistent with the requirements of Corporations Code 5233(a):
(5)Authorized Signature
Signature: Date:
1 EXHIBIT F
2 U.S. DEPARTMENT OF THE TREASURY CORONAVIRUS LOCAL FISCAL RECOVERY FUND
3 AWARD TERMS AND CONDITIONS
4 1. Use of Funds.
5 a) Subrecipient understands and agrees that the funds disbursed under this award may only be used
6 in compliance with section 603(c) of the Social Security Act (the Act), Treasury's regulations
7 implementing that section, and guidance issued by Treasury regarding the foregoing.
8 b) Subrecipient will determine prior to engaging in any project using this assistance that it has the
9 institutional, managerial, and financial capability to ensure proper planning, management, and
10 completion of such project.
11
12 2. Period of Performance. The period of performance for this award begins on the date hereof and
13 ends on December 31, 2026. As set forth in Treasury's implementing regulations, Subrecipient may use
14 award funds to cover eligible costs incurred during the period that begins on March 3, 2021 and ends on
15 December 31, 2024.
16
17 3. Reporting. Subrecipient agrees to comply with any reporting obligations established by Treasury as
18 they relate to this award.
19
20 4. Maintenance of and Access to Records.
21 a) Subrecipient shall maintain records and financial documents sufficient to evidence compliance with
22 section 603(c) of the Act, Treasury's regulations implementing that section, and guidance issued by
23 Treasury regarding the foregoing.
24 b) The Treasury Office of Inspector General and the Government Accountability Office, or their
25 authorized representatives, shall have the right of access to records (electronic and otherwise) of
26 Subrecipient in order to conduct audits or other investigations.
27 c) Records shall be maintained by Subrecipient for a period of five (5) years after all funds have been
28 expended or returned to Treasury, whichever is later.
35
1
2 5. Pre-award Costs. Pre-award costs, as defined in 2 C.F.R. § 200.458, may not be paid with funding
3 from this award.
4
5 6. Administrative Costs. Subrecipient may use funds provided under this award to cover both direct
6 and indirect costs as specified in the Scope of Work.
7
8 7. Cost Sharing. Cost sharing or matching funds are not required to be provided by Subrecipient.
9
10 8. Conflicts of Interest. Subrecipient understands and agrees it must maintain a conflict-of-interest
11 policy consistent with 2 C.F.R. § 200.318(c), and that such conflict-of-interest policy is applicable to each
12 activity funded under this award. Subrecipient and subrecipients must disclose in writing to Treasury or the
13 pass-through entity, as appropriate, any potential conflict of interest affecting the awarded funds in
14 accordance with 2 C.F.R. § 200.112.
15
16 9. Compliance with Applicable Law and Regulations.
17 a) Subrecipient agrees to comply with the requirements of section 602 of the Act, regulations adopted
18 by Treasury pursuant to section 602(f) of the Act, and guidance issued by Treasury regarding the
19 foregoing. Subrecipient also agrees to comply with all other applicable federal statutes, regulations,
20 and executive orders, and Subrecipient shall provide for such compliance by other parties in any
21 agreements it enters into with other parties relating to this award.
22 b) Federal regulations applicable to this award include, without limitation, the following:
23 i. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
24 Awards, 2 C.F.R. Part 200, other than such provisions as Treasury may determine are
25 inapplicable to this Award and subject to such exceptions as may be otherwise provided by
26 Treasury. Subpart F -Audit Requirements of the Uniform Guidance, implementing the
27 Single Audit Act, shall apply to this award.
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1 ii. Universal Identifier and System for Award Management (SAM), 2 C.F.R. Part 25, pursuant
2 to which the award term set forth in Appendix A to 2 C.F.R. Part 25 is hereby incorporated
3 by reference.
4 iii. Reporting Subaward and Executive Compensation Information , 2 C.F.R. Part 170, pursuant
5 to which the award term set forth in Appendix A to 2 C.F.R. Part 170 is hereby incorporated
6 by reference.
7 iv. OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
8 (Nonprocurement), 2 C.F.R. Part 180, including the requirement to include a term or
9 condition in all lower tier covered transactions (contracts and subcontracts described in 2
10 C.F.R. Part 180, subpart B)that the award is subject to 2 C.F.R. Part 180 and Treasury's
11 implementing regulation at 31 C.F.R. Part 19.
12 V. Subrecipient Integrity and Performance Matters, pursuant to which the award term set forth
13 in 2 C.F.R. Part 200, Appendix XII to Part 200 is hereby incorporated by reference.
14 vi. Governmentwide Requirements for Drug-Free Workplace, 31 C.F.R. Part 20.
15 vii. New Restrictions on Lobbying, 31 C.F.R. Part 21.
16 viii. Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42
17 ix. U.S.C. §§4601-4655) and implementing regulations.
18 X. Generally applicable federal environmental laws and regulations.
19 c) Statutes and regulations prohibiting discrimination applicable to this award include, without
20 limitation, the following:
21 i. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) and Treasury's
22 ii. implementing regulations at 31 C.F.R. Part 22, which prohibit discrimination on the basis of
23 race, color, or national origin under programs or activities receiving federal financial
24 assistance;
25 iii. The Fair Housing Act, Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.),
26 which prohibits discrimination in housing on the basis of race, color,
27 iv. religion, national origin, sex, familial status, or disability;
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1 V. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which
2 prohibits discrimination on the basis of disability under any program or activity receiving
3 federal financial assistance;
4 vi. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), and
5 Treasury's implementing regulations at 31 C.F.R. Part 23, which prohibit discrimination on
6 the basis of age in programs or activities receiving federal financial assistance; and
7 vii. Title II of the Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et
8 seq.), which prohibits discrimination on the basis of disability under programs, activities, and
9 services provided or made available by state and local governments or instrumentalities or
10 agencies thereto.
11
12 10. Remedial Actions. In the event of Subrecipient's noncompliance with section 602 or 603 of the Act,
13 other applicable laws, Treasury's implementing regulations, guidance, or any reporting or other program
14 requirements, Treasury may impose additional conditions on the receipt of a subsequent tranche of future
15 award funds, if any, or take other available remedies as set forth in 2 C.F.R. § 200.339. In the case of a
16 violation of section 602 (c) (1) or 603 (c) (1) of the Act regarding the use of funds, previous payments shall
17 be subject to recoupment as provided in section 602(e) of the Act and any additional payments may be
18 subject to withholding as provided in sections 602(b)(6)(A)(ii)(III) of the Act, as applicable.
19
20 11. Hatch Act. Subrecipient agrees to comply, as applicable, with requirements of the Hatch Act (5
21 U.S.C. §§ 1501-1508 and 7324-7328), which limit certain political activities of State or local government
22 employees whose principal employment is in connection with an activity financed in whole or in part by this
23 federal assistance.
24
25 12. False Statements. Subrecipient understands that making false statements or claims in connection
26 with this award is a violation of federal law and may result in criminal, civil, or administrative sanctions,
27 including fines, imprisonment , civil damages and penalties, debarment from participating in federal awards
28 or contracts, and/or any other remedy available by law.
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1
2 13. Publications. Any publications produced with funds from this award must display the following
3 language: "This project [is being] [was] supported, in whole or in part, by federal award number SLFRP
4 3678 awarded to County of Fresno by the U.S. Department of the Treasury."
5
6 14. Debts Owed the Federal Government.
7 a) Any funds paid to Subrecipient(1) in excess of the amount to which Subrecipient is finally
8 determined to be authorized to retain under the terms of this award; (2) that are determined by the
9 Treasury Office of Inspector General to have been misused; or(3)that are determined by Treasury
10 to be subject to a repayment obligation pursuant to sections 602(e) and 603(b)(2)(D) of the Act and
11 have not been repaid by Subrecipient shall constitute a debt to the federal government.
12 b) Any debts determined to be owed the federal government must be paid promptly by Subrecipient. A
13 debt is delinquent if it has not been paid by the date specified in Treasury's initial written demand for
14 payment, unless other satisfactory arrangements have been made or if the Subrecipient knowingly
15 or improperly retains funds that are a debt as defined in paragraph 14(a). Treasury will take any
16 actions available to it to collect such a debt.
17
18 15. Disclaimer.
19 a) The United States expressly disclaims any and all responsibility or liability to Subrecipient or third
20 persons for the actions of Subrecipient or third persons resulting in death, bodily injury, property
21 damages, or any other losses resulting in any way from the performance of this award or any
22 contract, or subcontract under this award.
23 b) The acceptance of this award by Subrecipient does not in any way establish an agency relationship
24 between the United States and Subrecipient.
25
26 16. Protections for Whistleblowers.
27 a) In accordance with 41 U.S.C. §4712, Subrecipient may not discharge, demote, or otherwise
28 discriminate against an employee in reprisal for disclosing to any of the list of persons or entities
39
1 provided below, information that the employee reasonably believes is evidence of gross
2 mismanagement of a federal contract or grant, a gross waste of federal funds, an abuse of authority
3 relating to a federal contract or grant, a substantial and specific danger to public health or safety, or
4 a violation of law, rule, or regulation related to a federal contract (including the competition for or
5 negotiation of a contract) or grant.
6 b) The list of persons and entities referenced in the paragraph above includes the following:
7 i. A member of Congress or a representative of a committee of Congress;
8 ii. An Inspector General;
9 iii. The Government Accountability Office;
10 iv. A Treasury employee responsible for contract or grant oversight or management;
11 V. An authorized official of the Department of Justice or other law enforcement agency;
12 vi. A court or grand jury; or
13 vii. A management official or other employee of Subrecipient, contractor, or subcontractor who
14 has the responsibility to investigate, discover, or address misconduct.
15 c) Subrecipient shall inform its employees in writing of the rights and remedies provided under this
16 section, in the predominant native language of the workforce.
17
18 17. Increasing Seat Belt Use in the United States. Pursuant to Executive Order 13043, 62 FR 19217
19 (Apr. 18, 1997), Subrecipient should encourage its contractors to adopt and enforce on-the-job seat belt
20 policies and programs for their employees when operating company-owned, rented or personally owned
21 vehicles.
22
23 18. Reducing Text Messaging While Driving. Pursuant to Executive Order 13513, 74 FR 51225 (Oct. 6,
24 2009), Subrecipient should encourage its employees, subrecipients, and contractors to adopt and enforce
25 policies that ban text messaging while driving, and Subrecipient should establish workplace safety policies
26 to decrease accidents caused by distracted drivers.
27 ASSURANCES OF COMPLIANCE WITH CIVIL RIGHTS REQUIREMENTS
28 ASSURANCES OF COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
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1
2 As a condition of receipt of federal financial assistance from the Department of the Treasury, the
3 Subrecipient provides the assurances stated herein. The federal financial assistance may include federal
4 grants, loans, and contracts to provide assistance to the Subrecipient's beneficiaries, the use or rent of
5 Federal land or property at below market value, Federal training, a loan of Federal personnel, subsidies,
6 and other arrangements with the intention of providing assistance. Federal financial assistance does not
7 encompass contracts of guarantee or insurance, regulated programs, licenses, procurement contracts by
8 the Federal government at market value, or programs that provide direct benefits.
9 The assurances apply to all federal financial assistance from, or funds made available through the
10 Department of the Treasury, including any assistance that the Subrecipient may request in the future.
11 The Civil Rights Restoration Act of 1987 provides that the provisions of the assurances apply to all of
12 the operations of the Subrecipient's program(s) and activity(ies), so long as any portion of the
13 Subrecipient's program(s) or activity(ies) is federally assisted in the manner prescribed above.
14
15 1. Subrecipient ensures its current and future compliance with Title VI of the Civil Rights Act of 1964,
16 as amended, which prohibits exclusion from participation, denial of the benefits of, or subjection to
17 discrimination under programs and activities receiving federal financial assistance, of any person in
18 the United States on the ground of race, color, or national origin (42 U.S.C. § 2000d et seq.), as
19 implemented by the Department of the Treasury Title VI regulations at 31 CFR Part 22 and other
20 pertinent executive orders such as Executive Order 13166, directives, circulars, policies,
21 memoranda, and/or guidance documents.
22 2. Subrecipient acknowledges that Executive Order 13166, "Improving Access to Services for Persons
23 with Limited English Proficiency," seeks to improve access to federally assisted programs and
24 activities for individuals who, because of national origin, have Limited English proficiency(LEP).
25 Subrecipient understands that denying a person access to its programs, services, and activities
26 because of LEP is a form of national origin discrimination prohibited under Title VI of the Civil Rights
27 Act of 1964 and the Department of the Treasury's implementing regulations. Accordingly,
28 Subrecipient shall initiate reasonable steps, or comply with the Department of the Treasury's
41
1 directives, to ensure that LEP persons have meaningful access to its programs, services, and
2 activities. Subrecipient understands and agrees that meaningful access may entail providing
3 language assistance services, including oral interpretation and written translation where necessary,
4 to ensure effective communication in the Subrecipient's programs, services, and activities.
5 3. Subrecipient agrees to consider the need for language services for LEP persons when Subrecipient
6 develops applicable budgets and conducts programs, services, and activities. As a resource, the
7 Department of the Treasury has published its LEP guidance at 70 FR 6067. For more information
8 on taking reasonable steps to provide meaningful access for LEP persons, please visit
9 http://www.lep.gov.
10 4. Subrecipient acknowledges and agrees that compliance with the assurances constitutes a condition
11 of continued receipt of federal financial assistance and is binding upon Subrecipient and
12 Subrecipient's successors, transferees, and assignees for the period in which such assistance is
13 provided.
14 5. Subrecipient acknowledges and agrees that it must require any sub-grantees, contractors,
15 subcontractors, successors, transferees, and assignees to comply with assurances 1-4 above, and
16 agrees to incorporate the following language in every contract or agreement subject to Title VI and
17 its regulations between the Subrecipient and the Subrecipient's sub-grantees, contractors,
18 subcontractors, successors, transferees, and assignees:
19 The sub-grantee, contractor, subcontractor, successor, transferee, and assignee shall
20 comply with Title VI of the Civil Rights Act of 1964, which prohibits subrecipients of federal
21 financial assistance from excluding from a program or activity, denying benefits of, or
22 otherwise discriminating against a person on the basis of race, color, or national origin (42
23 U.S.C. §2000d et seq.), as implemented by the Department of the Treasury's Title VI
24 regulations, 31 CFR Part 22, which are herein incorporated by reference and made a part of
25 this contract(or agreement). Title Vl also includes protection to persons with "Limited
26 English Proficiency"in any program or activity receiving federal financial assistance, 42
27 U.S.C. §2000d et seq., as implemented by the Department of the Treasury's Title VI
28
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1 regulations, 31 CFR Part 22, and herein incorporated by reference and made a part of this
2 contract or agreement.
3 6. Subrecipient understands and agrees that if any real property or structure is provided or improved
4 with the aid of federal financial assistance by the Department of the Treasury, this assurance
5 obligates the Subrecipient, or in the case of a subsequent transfer, the transferee, for the period
6 during which the real property or structure is used for a purpose for which the federal financial
7 assistance is extended or for another purpose involving the provision of similar services or benefits.
8 If any personal property is provided, this assurance obligates the Subrecipient for the period during
9 which it retains ownership or possession of the property.
10 7. Subrecipient shall cooperate in any enforcement or compliance review activities by the Department
11 of the Treasury of the aforementioned obligations. Enforcement may include investigation,
12 arbitration, mediation, litigation, and monitoring of any settlement agreements that may result from
13 these actions. The Subrecipient shall comply with information requests, on-site compliance reviews
14 and reporting requirements.
15 8. Subrecipient shall maintain a complaint log and inform the Department of the Treasury of any
16 complaints of discrimination on the grounds of race, color, or national origin, and limited English
17 proficiency covered by Title VI of the Civil Rights Act of 1964 and implementing regulations and
18 provide, upon request, a list of all such reviews or proceedings based on the complaint, pending or
19 completed, including outcome. Subrecipient also must inform the Department of the Treasury if
20 Subrecipient has received no complaints under Title VI.
21 9. Subrecipient must provide documentation of an administrative agency's or court's findings of non-
22 compliance of Title VI and efforts to address the non-compliance, including any voluntary
23 compliance or other agreements between the Subrecipient and the administrative agency that
24 made the finding. If the Subrecipient settles a case or matter alleging such discrimination, the
25 Subrecipient must provide documentation of the settlement. If Subrecipient has not been the subject
26 of any court or administrative agency finding of discrimination, please so state.
27 10. If the Subrecipient makes sub-awards to other agencies or other entities, the Subrecipient is
28 responsible for ensuring that sub-recipients also comply with Title VI and other applicable
43
1 authorities covered in this document. State agencies that make sub-awards must have in place
2 standard grant assurances and review procedures to demonstrate that they are effectively
3 monitoring the civil rights compliance of subrecipients.
4 The United States of America has the right to seek judicial enforcement of the terms of this assurances
5 document, and nothing in this document alters or limits the federal enforcement measures that the United
6 States may take in order to address violations of this document or applicable federal law.
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