HomeMy WebLinkAboutBrownfields Assessment UpdateCommunity Development Department
Planning Division Building Safety Division Environment"" Soils Division
P.O. Box 6005 117 NW Lafayette Avenue Bend, Oregon 97708-6005
(541)388-6575 FAX (541)385-1764
http://www.co.deschutes.or.us/cdd/
MEMORANDUM
DATE: November 6, 2013
TO: Deschutes County Board of Commissioners
FROM: Peter Gutowsky, Principal Planner
RE: Brownfield Community-wide Assessment Grant I Draft Personal Services
Contract
The U.S Environmental Protection Agency (U.S. EPA) selected Deschutes County for two
brownfields assessment grants totaling $400,000.00. On August 23, the Community
Development Department (COD) released a Request for Proposals (RFP), seeking a qualified
consultant firm to assist in implementation. COD received thirteen proposals. A six person
review committee consisting of Deschutes County, City of Bend, City of Redmond, and Oregon
State University Cascades narrowed the consulting firms to four finalists. COD coordinated with
the Oregon Department of Environmental Quality and U.S. EPA Region 10 to expand the review
committee to include private sector experience and develop criteria for rating the four consulting
teams during a formal interview process. A civil engineer and a representative from Sunriver
Owners Association officially joined the review committee. On October 11 , the review committee
interviewed the four finalists and recommended APEX Companies, LLC (APEX).
COD staff, with Legal Council'S review, has drafted a Personal Services Contract with APEX.
APEX will collaborate with COD to build a systematic inventory of hazardous and petroleum
brownfield sites, conduct Phase I and Phase II environmental site assessments, perform
remediation and redevelopment planning, and conduct community outreach activities in rural
Deschutes County and the cities of Bend and Redmond. Consulting services are a requirement
of the U.S. EPA Cooperative Agreement (Document 2013-485). The consulting budget is
covered by the Community-wide Assessment Brownfield Grant. The total to be paid Apex under
this contract is $368,000 over a 35 month period, ending September 30,2016.
COD staff will formally request the Board of County Commissioners approve the Personal Services
Contract at their regular meeting on November 25.
Attachment:
Personal Services Contract
Qutdity Services Performed with Pritle
PROPOSAL
U.S. EPA BROWNFIELD COMMUNITY-WIDE
ASSESSMENT (CWA) GRANTS
Prepared for:
Deschutes County Community Development Department
117 NW Lafayette Avenue
P.O. Box 6005
Bend, OR 97708-6005
Submitted September 20,2013
by:
APEX
3015 SW First Avenue
Portland, Oregon 97201
Page 1 of 22 - Personal Services Contract No. 2013-607
DESCHUTES COUNTY SERVICES CONTRACT
CONTRACT NO. 2013-607
This Contract is between DESCHUTES COUNTY, a political subdivision of the State of Oregon (County), and Apex
Companies, LLC (Contractor), a Delaware limited liability company. The parties agree as follows:
Effective Date and Termination Date. The effective date of this Contract shall be November 25, 2013 or the date, on
which each party has signed this Contract, whichever is later. Unless extended or terminated earlier in accordance with its
terms, this Contract shall terminate when County accepts Contractor's completed performance or on September 30, 2016,
whichever date occurs last. Contract termination shall not extinguish or prejudice County’s right to enforce this Contract with
respect to any default by Contractor that has not been cured.
Statement of Work. Contractor shall perform the work described in Exhibit 1.
Payment for Work. County agrees to pay Contractor in accordance with Exhibit 1.
Contract Documents. This Contract includes Page 1-9 and Exhibits 1, 2, 3, 4, 5, 6, 7 and 8.
CONTRACTOR DATA AND SIGNATURE
Contractor Address: Apex, Companies, LLC 3015 SW First Avenue Portland, OR 97201
Federal Tax ID# or Social Security #: 52-1562320
Is Contractor a nonresident alien? Yes No
Business Designation (check one):
Corporation-for profit
Sole Proprietorship
Corporation-non-profit
Partnership
Other, describe
A Federal tax ID number or Social Security number is required to be p rovided by the Contractor and shall be used for the
administration of state, federal and local tax laws. Payment information shall be reported to the Internal Revenue Service
under the name and Federal tax ID number or, if none, the Social Security number provided above.
I have read this Contract including the attached Exhibits. I understand this Contract and agree to be bound by its
terms. NOTE: Contractor shall also sign Exhibits 3 and 4 and, if applicable, Exhibit 6.
__________________________________________ Principal Geologist
Signature Title
Chris Breemer _________________________________
Name (please print) Date
DESCHUTES COUNTY SIGNATURE
Contracts with a maximum consideration of not greater than $25,000 are not valid and not binding on the County until
signed by the appropriate Deschutes County Department Head. Additionally, Contracts with a maximum consideration
greater than $25,000 but less than $150,000 are not valid and not binding on the County until signed by the County
Administrator or the Board of County Commissioners.
Dated this ______ of __________________, 20__
DESCHUTES COUNTY DIRECTOR OF _____________
__________________________________
Dated this ______ of __________________, 20__
________________________________________
ALAN UNGER, Chair, County Commissioner
________________________________________
TAMMY BANEY, Vice Chair, County Commissioner
________________________________________
For Recording Stamp Only
REVIEWED
______________
LEGAL COUNSEL
Page 2 of 22 - Personal Services Contract No. 2013-607
ANTHONY DEBONE, County Commissioner
Page 3 of 22 - Personal Services Contract No. 2013-607
STANDARD TERMS AND CONDITIONS
1. Time is of the Essence. Contractor agrees that time is of the essence in the performance of this Contract.
2. Compensation. Payment for all work performed under this Contract shall be made in the amounts and
manner set forth in Exhibit 1.
a. Payments shall be made to Contractor following County’s review and approval of billings and
deliverables submitted by Contractor.
b. All Contractor billings are subject to the maximum compensation amount of this contract.
c. Contractor shall not submit billings for, and County shall not pay, any amount in excess of the maximum
compensation amount of this Contract, including any reimbursable expenses, (See Exhibit 5).
1) If the maximum compensation amount is increased by amendment to this Contra ct, the amendment
shall be signed by both parties and fully executed before Contractor performs work subject to the
amendment.
2) No payment shall be made for any services performed before the beginning date or after the
expiration date of this contract.
d. This Contract shall not be amended after the expiration date.
e. Unless otherwise specifically provided in Exhibit 5, Contractor shall submit monthly invoices for work
performed. The invoices shall describe all work performed with particularity and by whom it was
performed and shall itemize and explain all expenses for which reimbursement is claimed.
f. The invoices also shall include the total amount invoiced to date by Contractor prior to the current
invoice.
g. Prior to approval or payment of any billing, County may require and Contractor shall provide any
information which County deems necessary to verify work has been properly performed in accordance
with the Contract.
3. Delegation, Subcontracts and Assignment. Contractor shall not delegate or subcontract any of the work
required by this Contract or assign or transfer any of its interest in this Contract, without the prior written
consent of County.
a. Any delegation, subcontract, assignment, or transfer without prior written consent of County shall
constitute a material breach of this contract.
b. Any such assignment or transfer, if approved, is subject to such conditions and provisions as the County
may deem necessary.
c. No approval by the County of any assignment or transfer of interest shall be deemed to create any
obligation of the County to increase rates of payment or maximum Contract consideration.
d. Prior written approval shall not be required for the purchase by the Contractor of articles, supplies and
services which are incidental to the provision of services under this Contract that are necessary for the
performance of the work.
e. Any subcontracts that the County may authorize shall contain all requirements of this contract, and
unless otherwise specified by the County the Contractor shall be responsible for the performance of the
subcontractor.
4. No Third Party Beneficiaries.
a. County and Contractor are the only parties to this Contract and are the only parties entitled to enforce its
terms.
b. Nothing in this Contract gives or provides any benefit or right, whether directly, indirectly, or otherwise, to
third persons unless such third persons are individually identified by name in this Contract and expressly
described as intended beneficiaries of this Contract.
5. Successors in Interest. The provisions of this Contract shall be binding upon and inure to the benefit of the
parties and their successors and approved assigns, if any.
6. Early Termination. This Contract may be terminated as follows:
a. Mutual Consent. County and Contractor, by mutual written agreement, may terminate this Contract at
any time.
b. Party’s Convenience. County or Contractor may terminate this Contract for any reason upon 30 calendar
days written notice to the other party.
Page 4 of 22 - Personal Services Contract No. 2013-607
c. For Cause. County may also terminate this Contract effective upon delivery of written notice to the
Contractor, or at such later date as may be established by the County, under any of the following
conditions:
1) If funding from state or other sources is not obtained and continued at levels sufficient to allow for
the purchase of the indicated quantity of services as required in this Contract.
2) This Contract may be modified to accommodate the change in available funds.
3) If state laws, regulations or guidelines are modified, changed or interpreted in such a way that the
services are no longer allowable or appropriate for purchase under this Contract or are no longer
eligible for the funding proposed for payments authorized by this Contract.
4) In the event sufficient funds shall not be appropriated for the payment of consideration required to be
paid under this Contract, and if County has no funds legally available for consideration from other
sources.
5) If any license or certificate required by law or regulation to be held by the Contractor to provide the
services required by this Contract is for any reason denied, revoked, suspended, not renewed or
changed in such a way that the Contractor no longer meets requirements for such license or
certificate.
d. Contractor Default or Breach. The County, by written notice to the Contractor, may immediately
terminate the whole or any part of this Contract under any of the following conditions:
1) If the Contractor fails to provide services called for by this Contract within the time specified or any
extension thereof.
2) If the Contractor fails to perform any of the other requirements of this Contract or so fails to pursue
the work so as to endanger performance of this Contract in accordance with its terms, and after
receipt of written notice from the County specifying such failure, the Contractor fails to correct such
failure within 10 calendar days or such other period as the County may authorize.
3) Contractor institutes or has instituted against it insolvency, receivership or bankruptcy proceedings,
makes an assignment for the benefit of creditors, or ceases doing business on a regular basis.
e. County Default or Breach.
1) Contractor may terminate this Contract in the event of a breach of this Contract by the County. Prior
to such termination, the Contractor shall give to the County written notic e of the breach and intent to
terminate.
2) If the County has not entirely cured the breach within 10 calendar days of the date of the notice, then
the Contractor may terminate this Contract at any time thereafter by giving notice of termination.
7. Payment on Early Termination. Upon termination pursuant to paragraph 6, payment shall be made as
follows:
a. If terminated under subparagraphs 6 a. through c. of this Contract, the County shall pay Contractor for
work performed prior to the termination date if such work was performed in accordance with the
Contract. Provided however, County shall not pay Contractor for any obligations or liabilities incurred by
Contractor after Contractor receives written notice of termination.
b. If this Contract is terminated under subparagraph 6 d. of this Contract, County obligations shall be
limited to payment for services provided in accordance with this Contract prior to the date of termination,
less any damages suffered by the County.
c. If terminated under subparagraph 6 e of this Contract by the Contractor due to a breach by the County,
then the County shall pay the Contractor for work performed prior to the termination date if such work
was performed in accordance with the Contract:
1) with respect to services compensable on an hourly basis, for unpaid invoices, hours worked within
any limits set forth in this Contract but not yet billed, authorized expenses incurred if payable
according to this Contract and interest within the limits set forth under ORS 293.462, and
2) with respect to deliverable-based Work, the sum designated for completing the deliverable multiplied
by the percentage of Work completed and accepted by County, less previous amounts paid and any
claim(s) that County has against Contractor.
3) Subject to the limitations under paragraph 8 of this Contract.
8. Remedies. In the event of breach of this Contract the parties shall have the following remedies:
a. Termination under subparagraphs 6 a. through c. of this Contract shall be without prejudice to any
obligations or liabilities of either party already reasonably incurred prior to such termination.
1) Contractor may not incur obligations or liabilities after Contractor receives written notice of
termination.
Page 5 of 22 - Personal Services Contract No. 2013-607
2) Additionally, neither party shall be liable for any indirect, incidental, consequential or special
damages under this Contract or for any damages of any sort arising solely from the termination of
this Contract in accordance with its terms.
b. If terminated under subparagraph 6 d. of this Contract by the County due to a breach by the Contractor,
County may pursue any remedies available at law or in equity.
1) Such remedies may include, but are not limited to, termination of this contract, return of all or a
portion of this Contract amount, payment of interest earned on this Contract amount, and declaration
of ineligibility for the receipt of future contract awards.
2) Additionally, County may complete the work either by itself, by agreement with another Contractor, or
by a combination thereof. If the cost of completing the work exceeds the remaining unpaid balance
of the total compensation provided under this Contract, then the Contractor shall be liable to the
County for the amount of the reasonable excess.
c. If amounts previously paid to Contractor exceed the amount due to Contractor under this Contract,
Contractor shall repay any excess to County upon demand.
d. Neither County nor Contractor shall be held responsible for delay or default caused by fire, civil unrest,
labor unrest, riot, acts of God, or war where such cause was beyond reasonable control of County or
Contractor, respectively; however, Contractor shall make all reasonable efforts to remove or eliminate
such a cause of delay or default and shall, upon the cessation of the cause, diligently pu rsue
performance of its obligations under this Contract. For any delay in performance as a result of the events
described in this subparagraph, Contractor shall be entitled to additional reasonable time for
performance that shall be set forth in an amendment to this Contract.
e. The passage of this Contract expiration date shall not extinguish or prejudice the County’s or
Contractor’s right to enforce this Contract with respect to any default or defect in performance that has
not been cured.
f. County’s remedies are cumulative to the extent the remedies are not inconsistent, and County may
pursue any remedy or remedies singly, collectively, successively or in any order whatsoever.
9. Contractor’s Tender upon Termination. Upon receiving a notice of termination of this Contract, Contractor
shall immediately cease all activities under this Contract unless County expressly directs otherwise in such
notice of termination.
a. Upon termination of this Contract, Contractor shall deliver to County all documents, information, works-
in-progress and other property that are or would be deliverables had this Contract been completed.
b. Upon County’s request, Contractor shall surrender to anyone County designates, all documents,
research, objects or other tangible things needed to complete the work.
10. Work Standard.
a. Contractor shall be solely responsible for and shall have control over the means, methods, techniques,
sequences and procedures of performing the work, subject to the plans and specifications under this
Contract and shall be solely responsible for the errors and omissions of its employees, subcontractors
and agents.
b. For goods and services to be provided under this contract, Contractor agrees to:
1) perform the work in a good, workmanlike, and timely manner using the schedule, materials, plans
and specifications approved by County;
2) comply with all applicable legal requirements;
3) comply with all programs, directives, and instructions of County relating to safety, storage of
equipment or materials;
4) take all precautions necessary to protect the safety of all persons at or near County or Contractor’s
facilities, including employees of Contractor, County and any other contractors or subcontractors and
to protect the work and all other property against damage.
11. Drugs and Alcohol. Contractor shall adhere to and enforce a zero tolerance policy for the use of alcohol
and the unlawful selling, possession or use of controlled substances while performing work under this
Contract.
12. Insurance. Contractor shall provide insurance in accordance with Exhibit 2 attached hereto and incorporated
by reference herein.
13. Expense Reimbursement. If the consideration under this Contract provides for the reimbursement of
Contractor for expenses, in addition to Exhibit 5, Exhibit 1 shall state that Contractor is or is not entitled to
Page 6 of 22 - Personal Services Contract No. 2013-607
reimbursement for such expenses.
a. County shall only reimburse Contractor for expenses reasonably and necessarily incurred in the
performance of this contract.
b. Expenses reimbursed shall be at the actual cost incurred; including any taxes paid, and shall not include
any mark-up unless the mark-up on expenses is specifically agreed to in this Contract.
c. The cost of any subcontracted work approved in this Contract shall not be marked up.
d. Contractor shall not bill County for any time expended to complete the documents necessary for
reimbursement of expenses or for payment under this contract.
e. The limitations applicable to reimbursable expenses are set forth in Exhibit “5,” attached hereto and by
reference incorporated herein.
14. Criminal Background Investigations. Contractor understands that Contractor and Contractor’s employees
and agents are subject to periodic criminal background investigations by County and, if such investigations
disclose criminal activity not disclosed by Contractor, such non-disclosure shall constitute a material breach
of this Contract and County may terminate this Contract effective upon delivery of written notice to the
Contractor, or at such later date as may be established by the County.
15. Confidentiality. Contractor shall maintain confidentiality of information obtained pursuant to this Contract as
follows:
a. Contractor shall not use, release or disclose any information concerning any employee, client, applicant
or person doing business with the County for any purpose not directly connected with the administration
of County's or the Contractor's responsibilities under this Contract except upon written consent of the
County, and if applicable, the employee, client, applicant or person.
b. The Contractor shall ensure that its agents, employees, officers and subcontractors with access to
County and Contractor records understand and comply with this confidentiality provision.
c. Contractor shall treat all information as to personal facts and circumstances obtained on Medicaid
eligible individuals as privileged communication, shall hold such information confidential, and shall not
disclose such information without the written consent of the individual, his or her attorney, the
responsible parent of a minor child, or the child’s guardian, except as required by other terms of this
Contract.
d. Nothing prohibits the disclosure of information in summaries, statistical information, or other form that
does not identify particular individuals.
e. Personally identifiable health information about applicants and Medicaid recipients will be subject to the
transaction, security and privacy provisions of the Health Insurance Portability and Accountability Act
(“HIPAA”).
f. Contractor shall cooperate with County in the adoption of policies and procedures for maintaining the
privacy and security of records and for conducting transactions pursuant to HIPAA requirements.
g. This Contract may be amended in writing in the future to incorporate additional requirements related to
compliance with HIPAA.
h. If Contractor receives or transmits protected health information, Contractor shall enter into a Business
Associate Agreement with County, which, if attached hereto, shall become a part of this Contract.
16. Reports. Contractor shall provide County with periodic reports at the frequency and with the information
prescribed by County. Further, at any time, County has the right to demand adequate assurances that the
services provided by Contractor shall be in accordance with the Contract. Such assurances provided by
Contractor shall be supported by documentation in Contractor’s possession from third parties.
17. Access to Records. Contractor shall maintain fiscal records and all other records pertinent to this Contract.
a. All fiscal records shall be maintained pursuant to generally accepted accounting standards, and other
records shall be maintained to the extent necessary to clearly reflect actions taken.
1) All records shall be retained and kept accessible for at least three years following the final payment
made under this Contract or all pending matters are closed, whichever is later.
2) If an audit, litigation or other action involving this Contract is started before the end of the three year
period, the records shall be retained until all issues arising out of the action are resolved or until the
end of the three year period, whichever is later.
b. County and its authorized representatives shall have the right to direct access to all of Contractor’s
books, documents, papers and records related to this Contract for the purpose of conducting audits and
examinations and making copies, excerpts and transcripts.
Page 7 of 22 - Personal Services Contract No. 2013-607
1) These records also include licensed software and any records in electronic form, including but not
limited to computer hard drives, tape backups and other such storage devices. County shall
reimburse Contractor for Contractor’s cost of preparing copies.
2) At Contractor’s expense, the County, the Secretary of State’s Office of the State of Oregon, the
Federal Government, and their duly authorized representatives, shall have license to enter upon
Contractor’s premises to access and inspect the books, documents, papers, computer software,
electronic files and any other records of the Contractor which are directly pertinent to this Contract.
3) If Contractor's dwelling is Contractor's place of business, Contractor may, at Contractor's expense,
make the above records available at a location acceptable to the County.
18. Ownership of Work. All work of Contractor that results from this Contract (the “Work Product”) is the
exclusive property of County.
a. County and Contractor intend that such Work Product be deemed “work made for hire” of which County
shall be deemed author.
b. If, for any reason, the Work Product is not deemed “work made for hire,” Contractor hereby irrevocably
assigns to County all of its right, title, and interest in and to any and all of the Work Product, whether
arising from copyright, patent, trademark, trade secret, or any other state or federal intellectual property
law or doctrine.
c. Contractor shall execute such further documents and instruments as County may reasonably request in
order to fully vest such rights in County.
d. Contractor forever waives any and all rights relating to Work Product, including without limitation, any
and all rights arising under 17 USC § 106A or any other rights of identification of authorship or rights of
approval, restriction or limitation on use or subsequent modifications.
e. County shall have no rights in any pre-existing work product of Contractor provided to County by
Contractor in the performance of this Contract except an irrevocable, non-exclusive, perpetual, royalty-
free license to copy, use and re-use any such work product for County use only.
f. If this Contract is terminated prior to completion, and County is not in default, County, in addition to any
other rights provided by this Contract, may require Contractor to transfer and deliver all partially
completed work products, reports or documentation that Contractor has specifically developed or
specifically acquired for the performance of this Contract.
g. In the event that Work Product is deemed Contractor’s Intellectual Property and not “work made for hire,”
Contractor hereby grants to County an irrevocable, non-exclusive, perpetual, royalty-free license to use,
reproduce, prepare derivative works based upon, distribute copies of, perform and display the Contractor
Intellectual Property, and to authorize others to do the same on County’s behalf.
h. In the event that Work Product is Third Party Intellectual Property, Contractor shall secure on the County’s
behalf and in the name of the County, an irrevocable, non-exclusive, perpetual, royalty-free license to use,
reproduce, prepare derivative works based upon, distribute copies of, perform and display the Third Party
Intellectual Property, and to authorize others to do the same on County’s behalf.
19. County Code Provisions. Except as otherwise specifically provided, the provisions of Deschutes County
Code, Section 2.37.150 are incorporated herein by reference. Such code section may be found at the
following URL address: http://www.deschutes.org/County-Code.aspx?F=chapter+2.37.pdf.
20. Partnership. County is not, by virtue of this contract, a partner or joint venturer with Contractor in connection
with activities carried out under this contract, and shall have no obligation with respect to Contractor’s debts
or any other liabilities of each and every nature.
21. Indemnity and Hold Harmless.
a. To the fullest extent authorized by law Contractor shall defend, save, hold harmless and indemnify the
County and its officers, employees and agents from and against all claims, suits, actions, losses,
damages, liabilities costs and expenses of any nature resulting from or arising out of, or relating to the
activities of Contractor or its officers, employees, contractors, or agents under this Contract, including
without limitation any claims that the work, the work product or any other tangible or intangible items
delivered to County by Contractor that may be the subject of protection under any state or federal
intellectual property law or doctrine, or the County’s use thereof, infringes any patent, copyright, trade
secret, trademark, trade dress, mask work utility design or other proprietary right of any third party.
b. Contractor shall have control of the defense and settlement of any claim that is subject to subparagraph
a of this paragraph; however neither contractor nor any attorney engaged by Contractor shall defend the
claim in the name of Deschutes County or any department or agency thereof, nor purport to act as legal
Page 8 of 22 - Personal Services Contract No. 2013-607
representative of the County or any of its departments or agencies without first receiving from the
County’s legal counsel, in a form and manner determined appropriate by the County’s legal counsel,
authority to act as legal counsel for the County, nor shall Contractor settle any claim on behalf of the
Count without the approval of the County’s legal counsel.
c. To the extent permitted by Article XI, Section 10, of the Oregon Constitution and the Oregon Tort Claims
Act, ORS 30.260 through 30.300, County shall defend, save, hold harmless and indemnify Contractor
and its officers, employees and agents from and against all claims, suits, actions, l osses, damages,
liabilities costs and expenses of any nature resulting from or arising out of, or relating to t he activities of
County or its officers, employees, contractors, or agents under this Contract.
22. Waiver.
a. County’s delay in exercising, or failure to exercise any right, power, or privilege under this Contract shall
not operate as a waiver thereof, nor shall any single or partial exercise or any right, power, or privilege
under this Contract preclude any other or further exercise thereof or the exercise of any other such right,
power, or privilege.
b. The remedies provided herein are cumulative and not exclusive of any remedies provided by law.
23. Governing Law. This Contract shall be governed by and construed in accordance with the laws of the State
of Oregon without regard to principles of conflicts of law.
a. Any claim, action, suit or proceeding (collectively, “Claim”) between County and Contractor that arises
from or relates to this Contract shall be brought and conducted solely and exclusively within the Circuit
Court of Deschutes County for the State of Oregon; provided, however, if a Claim shall be brought in
federal forum, then it shall be brought and conducted solely and exclusively within the United States
District Court for the District of Oregon.
b. CONTRACTOR, BY EXECUTION OF THIS CONTRACT, HEREBY CONSENTS TO THE IN
PERSONAM JURISDICTION OF SAID COURTS. The parties agree that the UN Convention on
International Sales of Goods shall not apply.
24. Severability. If any term or provision of this Contract is declared by a court of competent jurisdiction to be
illegal or in conflict with any law, the validity of the remaining terms and provisions shall not be affected, and
the rights and obligations of the parties shall be construed and enforced as if this Contract did not contain
the particular term or provision held invalid.
25. Counterparts. This Contract may be executed in several counterparts, all of which when taken together
shall constitute one agreement binding on all parties, notwithstanding that all parties are not signatories to
the same counterpart. Each copy of this Contract so executed shall constitute on original.
26. Notice. Except as otherwise expressly provided in this Contract, any communications between the parties
hereto or notices to be given hereunder shall be given in writing, to Contractor or County at the address or
number set forth below or to such other addresses or numbers as either party may hereafter indicate in
writing. Delivery may be by personal delivery, facsimile, or mailing the same, postage prepaid.
a. Any communication or notice by personal delivery shall be deemed delivered when actually given to the
designated person or representative.
b. Any communication or notice sent by facsimile shall be deemed delivered when the transmitting machine
generates receipt of the transmission. To be effective against County, such facsimile transmission shall
be confirmed by telephone notice to the County Administrator.
c. Any communication or notice mailed shall be deemed delivered five (5) days after mailing. Any notice
under this Contract shall be mailed by first class postage or delivered as follows:
To Contractor: To County:
Chris Breemer Peter Gutowsky, Principal Planner
Apex Companies, LLC Deschutes County CDD
3015 SW First Street 117 NW Lafayette Avenue
Portland, OR 97201 Bend, Oregon 97701
Fax No. 203-943-6357 Fax No. 541-385-1764
27. Merger Clause. This Contract and the attached exhibits constitute the entire agreement between the
parties.
Page 9 of 22 - Personal Services Contract No. 2013-607
a. All understandings and agreements between the parties and representations by either party concerning
this Contract are contained in this Contract.
b. No waiver, consent, modification or change in the terms of this Contract shall bind either party unless in
writing signed by both parties.
c. Any written waiver, consent, modification or change shall be effective only in the specific instance and for
the specific purpose given.
28. Identity Theft Protection. Contractor and subcontractors shall comply with the Oregon Consumer Identity
Theft Protection Act (ORS 646A.600 et seq.).
29. Survival. All rights and obligations shall cease upon termination or expiration of this Contract, except for the
rights and obligations set forth in Sections 4, 5, 8, 9, 15, 17, 18, 20-27, 28 and 30.
30. Representations and Warranties.
a. Contractor’s Representations and Warranties. Contractor represents and warrants to County that:
1) Contractor has the power and authority to enter into and perform this Contract;
2) this Contract, when executed and delivered, shall be a valid and binding obligation of Contractor
enforceable in accordance with its terms;
3) Contractor has the skill and knowledge possessed by well-informed members of its industry, trade or
profession and Contractor will apply that skill and knowledge with care and diligence to perform the
Work in a professional manner and in accordance with standards prevalent in Contractor’s industry,
trade or profession;
4) Contractor shall, at all times during the term of this Contract, be qualified, professionally competent,
and duly licensed to perform the Work;
5) Contractor prepared its proposal related to this Contract, if any, independently from all other proposers,
and without collusion, fraud, or other dishonesty; and
6) Contractor’s making and performance of this Contract do not and will not violate any provision of any
applicable law, rule or regulation or order of any court, regulatory commission, board or other
administrative agency.
b. Warranties Cumulative. The warranties set forth in this paragraph are in addition to, and not in lieu of, any
other warranties provided
Page 10 of 22 - Personal Services Contract No. 2013-607
EXHIBIT 1
DESCHUTES COUNTY SERVICES CONTRACT
Contract No. 2013-607
STATEMENT OF WORK, COMPENSATION
PAYMENT TERMS and SCHEDULE
1. Contractor shall perform the following work:
a. Contractor shall assist County in achieving the goals of the United States Environmental Protection
Agency (U.S. EPA) Cooperative Agreement in Exhibit 7 and provide the services proposed in Exhibit 8,
in particular, pages 3 through 8 and Attachment B, both exhibits being attached and incorporated by
reference.
b. “Community-wide” means that territory within unincorporated Deschutes County and the cities of Bend,
and Redmond (collectively “Cities”).
c. Contractor’s assistance required in Subsection 1.a. shall include the project tasks described in Exhibit 7
in the approved Brownfields Assessment Cooperative Agreement Work Plan (BWP) for Deschutes
County EPA Brownfields Community-Wide Assessment (CWA) Grants for Hazardous and Petroleum
Substances, including, but not limited to, the schedule and budget on pages 15 through 17 of the BWP:
1) Assist County with grant management and all U.S. EPA reporting requirements in the BWP, by:
a) providing data for quarterly and annual financial reports;
b) preparing draft progress reports;
c) performing Environmental Site Assessments (“ESAs”);
d) providing Cleanup and Redevelopment Exchange System reporting;
e) providing data for MBE/WBE utilization reports; and
f) providing a draft final close-out report.
2) Provide County with all reports and data for review and comment by County prior to the County
submitting the reports to U.S. EPA.
3) Prepare, maintain and submit to County schedules and budgets for Consultant’s activities as
described Exhibit 7, Sections 3 and 4 of Detailed Work Plan.
4) Provide to County regulatory and financial information as requested by County.
5) Implement a comprehensive community outreach and public participation program.
a) The range of community outreach and public participation tasks that may be performed by the
Contractor are described on Page 3 of Exhibit 8; and
b) The specific community outreach and public participation tasks will be determined by the
County, within the limitations of the Community Outreach and Public Involvement budget, as
described in Exhibit 7.
6) Attend meetings of the County, Cities and advisory committee(s) as requested by County.
7) Prepare presentations to provide information to County and Cities regarding project progress as
requested.
8) Develop a community-wide brownfield site inventory and participate in prioritization of the inventoried
brownfields sites for ESAs and/or cleanup/redevelopment planning.
9) Prepare and submit to County a written Quality Assurance Project Plan (QAPP) and prepare and
submit to County Site-specific Sampling and Analysis Plans (SSSAPs) and Health and Safety Plans
(HASPs) in compliance with U.S. EPA regulations for sites where Phase II ESAs are planned.
10) Conduct and oversee ESA activities, or field investigations, including sample collection and lab
analysis, for inventoried brownfield sites and prepare and submit to County all technical reports
required by the U.S. EPA and/or Oregon Department of Environmental Quality (DEQ).
11) Conduct Phase I and II ESAs for selected sites and deliver to County completed Phase I and Phase
II ESA reports, analysis of brownfield cleanup alternatives (ABCAs), brownfield cleanup action plans
(CAPs) in accordance with Exhibit 7.
12) Develop and provide to County preliminary budget, financing options, and implem entation plans for
cleanup/reuse of identified brownfields.
13) Conduct area-wide planning activities related to a brownfields-impacted area or corridor within the
County and Cities.
d. The following Contractor personnel and subcontractors shall perform the following tasks.
1) Chris Breemer, Principal Geologist with APEX will serve as the primary consultant to the County,
have overall responsibility with the Apex team, maintain continuous communication with the
consultant team, assist with project management and reporting, and lead the brownfields inventory,
prioritization, assessment and cleanup tasks.
Page 11 of 22 - Personal Services Contract No. 2013-607
a) Brownfields inventory prioritization will be based on weighted criteria that will be established by
Contractor in coordination with the County, stakeholders, and the public; and
b) Where analysis of market potential is necessary, Chris Breemer will lead and coordinate market
potential analysis with assistance from MacKenzie, ABN of Group MacKenzie Engineering Inc.
and CIII Associates LLC.
2) Contractor will contract with Clark Henry, Principal Planner with CIII Associates, a North Carolina
corporation, with a Oregon Business License, to lead the brownfield area-wide planning (AWP) effort
by coordinating with Deschutes County and the Cities to identify up to two brownfield planning areas
and to organize and facilitate visioning workshops to develop conceptual renderings and
revitalization goals.
a) The goals and visions resulting from the workshops described in Subsection 1.f.2), will be
evaluated by Contractor for feasibility through market assessments, infrastructure, planning and
policy evaluation and engaging the local development community; and
b) Upon completion of the evaluation per Subsection 1.f.2)a), Contractor will create and submit to
County its evaluation and a plan that defines specific actions that should be taken to stimulate
redevelopment in the target brownfield planning areas, entities normally responsible for those
actions , a conceptual timeline for completion of those actions, and potential resources that may
be available to complete those actions.
3) Contractor will contract with Dick Spies and Gabriela Frask with MacKenzie Inc. to create planning
design, and renderings related to the area-wide planning tasks described Section 2.4.2 of the BWP
and to manage the GIS database that will be established and used for the brownfield inventory,
prioritization, and area-wide planning.
4) Contractor will contract with Mary Orton, of The Mary Orton Company LLC, an Arizona limited liability
company, to be the Public Participation Coordinator.
a) Mary Orton will facilitate public outreach meetings during the planning, inventory, prioritization
and cleanup planning phases of the project; and
b) The specific scope of services that Mary Orton will provide will be determined in coordination
with the County and with consideration of public participation requirements.
e. During the site inventory, prioritization and assessment phase, the Contractor shall:
1) Complete a community-wide inventory of brownfields sites; incorporate portions of the inventory and
assessment task into the existing GIS database of the County and the Cities;
2) Prioritize brownfield sites for conducting ESAs.
3) Complete Site Eligibility Determinations (for brownfield eligibility) for approximately 20 prioritized
sites.
4) Complete Phase I ESAs up to five (5) high priority hazardous substance brownfield sites and up to
five (5) high priority petroleum substance brownfield sites.
5) Complete a comprehensive Quality Assurance Project Plan (QAPP).
6) Complete Site-Specific Sampling and Analysis Plans (SSSAPs) and Health and Safety Plans
(HASPs) for sites prioritized for Phase II ESAs.
7) Perform Phase II ESA and/or supplemental assessment activities on select parcels for which Phase
I ESAs are completed, and for which the need for further assessment is identified and desired.
a) Contractor shall conduct Phase II ESAs on up to three (3) high priority hazardous substance
brownfields sites and up to three (3) high priority petroleum products brownfields sites; and,
b) Contractor shall complete supplemental site investigation activities on up to two sites, including
one (1) hazardous substances brownfield site and one (1) petroleum products brownfields sites.
f. During the cleanup and redevelopment planning phase, the Contractor shall:
1) Conduct cleanup and redevelopment planning as required by County for brownfield sites where
redevelopment is imminent and such activities will assist the developer.
a) Contractor shall conduct the cleanup and redevelopment planning for up to two (2) hazardous
substances brownfield sites and up to two (2) petroleum substance brownfield sites; and
b) Contractor’s clean up and redevelopment planning tasks include identifying soil and groundwater
contamination; creating conceptual site models; identifying site-specific remedial action
objectives; identifying state and federal cleanup regulatory requirements and preparing an
ABCA, CAPS, assessments of brownfields redevelopment alternatives, and an evaluation of
institutional and engineering controls.
2) Perform brownfields AWP for up to two brownfields impacted areas in the County.
a) Contractor’s AWP include performing a variety of activities focused on identifying potential future
uses for the brownfields-impacted area and developing strategies to facilitate the reuse of
Page 12 of 22 - Personal Services Contract No. 2013-607
existing infrastructure as well as identifying potential infrastructure investments needed to
accommodate alternative future uses; and
b) Tasks anticipated to be completed as part of AWP include:
i. Evaluating existing environmental conditions, local market potential, and needed
infrastructure improvements;
ii. Developing strategies for brownfields site cleanup and reuse; and
iii. Identifying sources or leveraging opportunities to help implement revitalization including
specific strategies for public/private investments and infrastructure improvements.
g. Contractor will communicate with County project manager, Peter Gutowsky, in-person, by telephone and
e-mail as necessary for the successful completion of the project.
h. Contractor shall assist the County in developing a detailed project budget for each major task and
subtask in the BWP, to include estimates of a time-phased project schedule, listing major tasks, target
dates, and delivery of work products.
i. Contractor shall refine work plans as necessary in coordination with County and U.S. EPA Region 10
staff.
j. Contractor shall not extend Contractor’s performance of any work , deliverable or budget beyond the
dates and amounts listed in this contract and the BWP unless such delay or budget modification is
agreed to in writing by County.
k. Contractor shall adhere to and include in all contracts with subcontractors that any subcontractors shall
adhere to the following conditions in Exhibit 7. Contractor will provide to County and not U.S. EPA any
information or report County is required by these conditions to be submitted to U.S. EPA:
1) ADMINISTRATIVE CONDITIONS: 5 (STATE AGENCIES AND POLITICAL SUBDIVISIONS,
STATE TRIBAL AND LOCAL GOVERNMENT RECIPIENTS); 6, 7, 12, 13, 18;
2) PROGRAMMATIC CONDITIONS: I.A.1.b., c., 1.B.
l. Contractor shall provide the Endangered Species Act and National Historic Preservation Act information
required by Section 2.3.5 of the BWP.
2. County Services. County shall provide Contractor, at county's expense, with material and services
described as follows and in accordance with the BWP:
a. County shall conduct community outreach and public involvement activities, including the following:
convening a Brownfield Advisory Committee, coordinating and conducting meetings with stakeholders
and the general public; seeking, discussing and implementing meaningful public input into the grant
processes; preparing and publishing public notices; preparing meeting materials and presentations;
preparing and distributing brochures and other public information materials; and developing a Brownfield
project webpage;
b. County shall manage the CWA grants and submit to the U.S. EPA all required reports; and
c. County shall serve as the liaison to the public at large through community outreach meetings, the DEQ,
and the U.S. EPA.
3. Consideration.
a. County shall pay Contractor on a fee-for-service basis in accordance with the budget described in Exhibit
7, BWP pages 16 through 17, including any budget narrative in the preceding pages and the rates
described in Exhibit 8, Attachment B-Fee Schedule.
b. Contractor shall be entitled to reimbursement for expenses as set forth in Exhibit 5.
YES NO [Check one]
4. The maximum compensation.
a. The maximum compensation under this contract, including allowable expenses, is $368,000.00.
b. Contractor shall not submit invoices for, and County shall not pay for any amount in excess of the
maximum compensation amount set forth above.
1) If this maximum compensation am ount is increased by amendment of this contract, the amendment
shall be fully effective before contractor performs work subject to the amendment.
2) Contractor shall notify County in writing of the impending expiration of this Contract thirty (30)
calendar days prior to the expiration date.
5. Schedule of Performance or Delivery.
a. County’s obligation to pay depends upon Contractor’s delivery or performance in accordance with the
schedule described in Exhibit 7, BWP pages 15 through 16 and in the narrative for each task.
b. County will only pay for completed work that conforms to the requirements above and as follows:
Page 13 of 22 - Personal Services Contract No. 2013-607
1) Task 1 – Project Management and Reporting, $10,000.00.
2) Task 2 – Community Outreach and Public Involvement, $10,000.00.
3) Task 3 – Site Inventory, Prioritization and Assessment, $218,000.00.
4) Task 4 – Cleanup Planning, $130,000.00.
c. If any deliverable is completed for less than the amounts shown, the difference may be applied to other
Tasks, if approved by the County and U.S. EPA.
Page 14 of 22 - Personal Services Contract No. 2013-607
EXHIBIT 2
DESCHUTES COUNTY SERVICES CONTRACT
Contract No. 2013-607
INSURANCE REQUIREMENTS
Contractor shall at all times maintain in force at Contractor’s expense, each insurance noted below.
Insurance coverage must apply on a primary or non-contributory basis. All insurance policies, except
Professional Liability, shall be written on an occurrence basis and be in effect for the term of this contract.
Policies written on a “claims made” basis must be approved and authorized by Deschutes County.
Contractor Name: Apex Companies, LLC
Workers Compensation insurance in compliance with ORS 656.017, requiring Contractor and all subcontractors
to provide workers’ compensation coverage for all subject workers, or provide certification of exempt status.
Worker’s Compensation Insurance to cover claims made under Worker’s Compensation, disability benefit or any
other employee benefit laws, including statutory limits in any state of operation with Coverage B Employer’s
Liability coverage all at the statutory limits. . In the absence of statutory limits the limits of said Employers liability
coverage shall be not less than $1,000,000 each accident, disease and each employee. This insurance must be
endorsed with a waiver of subrogation endorsement, waiving the insured’s right of subrogation against County.
Professional Liability insurance with an occurrence combined single limit of not less than:
Per Occurrence limit Annual Aggregate limit
$1,000,000 $2,000,000
$2,000,000 $3,000,000
$3,000,000 $5,000,000
Professional Liability insurance covers damages caused by error, omission, or negligent acts related to
professional services provided under this Contract. The policy must provide extended reporting period coverage,
sometimes referred to as “tail coverage” for claims made within two years after the contract work is completed.
Required by County Not required by County (one box must be checked)
Page 15 of 22 - Personal Services Contract No. 2013-607
Commercial General Liability insurance with a combined single limit of not less than:
Per Single Claimant and Incident All Claimants Arising from Single Incident
$1,000,000 $2,000,000
$2,000,000 $3,000,000
$3,000,000 $5,000,000
Commercial General Liability insurance includes coverage for personal injury, bodily injury, advertising injury,
property damage, premises, operations, products, completed operations and contractual liability. The insurance
coverages provided for herein must be endorsed as primary and non-contributory to any insurance of County, its
officers, employees or agents. Each such policy obtained by Contractor shall provide that the insurer shall defend
any suit against the named insured and the additional insureds, their officers, agents, or employees, even if such
suit is frivolous or fraudulent. Such insurance shall provide County with the right, but not the obligation, to engage
its own attorney for the purpose of defending any legal action against County, its officers, agents, or employees,
and that Contractor shall indemnify County for costs and expenses, including reasonable attorneys’ fees, incurred
or arising out of the defense of such action.
The policy shall be endorsed to name Deschutes County, its officers, agents, employees and volunteers as
an additional insured. The additional insured endorsement shall not include declarations that reduce any per
occurrence or aggregate insurance limit. The contractor shall provide additional coverage based on any
outstanding claim(s) made against policy limits to ensure that minimum insurance limits required by the County
are maintained. Construction contracts may include aggregate limits that apply on a “per location” or “per project”
basis. The additional insurance protection shall extend equal protection to County as to Contractor or
subcontractors and shall not be limited to vicarious liability only or any similar limitation. To the extent any aspect
of this Paragraph shall be deemed unenforceable, then the additional insurance protection to County shall be
narrowed to the maximum amount of protection allowed by law.
Required by County Not required by County (One box must be checked)
Automobile Liability insurance with a combined single limit of not less than:
Per Occurrence
$500,000
$1,000,000
$2,000,000
Automobile Liability insurance includes coverage for bodily injury and property damage resulting from
operation of a motor vehicle. Commercial Automobile Liability Insurance shall provide coverage for any
motor vehicle (symbol 1 on some insurance certificates) driven by or on behalf of Contractor during the
course of providing services under this contract. Commercial Automobile Liability is required for contractors
that own business vehicles registered to the business. Examples include: plumbers, electricians or
construction contractors. An Example of an acceptable personal automobile policy is a contractor who is a
sole proprietor that does not own vehicles registered to the business.
Required by County Not required by County (one box must be checked)
Additional Requirements. Contractor shall pay all deductibles and self-insured retentions. A cross-liability clause
or separation of insured's condition must be included in all commercial general liability policies required by this
Contract. Contractor’s coverage will be primary in the event of loss.
Page 16 of 22 - Personal Services Contract No. 2013-607
Certificate of Insurance Required. Contractor shall furnish a current Certificate of Insurance to the County with
the signed Contract. Contractor shall notify the County in writing at least 30 days in advance of any cancellation,
termination, material change, or reduction of limits of the insurance coverage. The Certificate shall also state the
deductible or, if applicable, the self-insured retention level. Contractor shall be responsible for any deductible or
self-insured retention. If requested, complete copies of insurance policies shall be provided to the County.
Risk Management review Date
____________________________________ ___________________
Page 17 of 22 - Personal Services Contract No. 2013-607
EXHIBIT 3
DESCHUTES COUNTY SERVICES CONTRACT
Contract No. 2013-607
CERTIFICATION STATEMENT FOR CORPORATION
OR INDEPENDENT CONTRACTOR
NOTE: Contractor Shall Complete A or B in addition to C below:
A. CONTRACTOR IS A CORPORATION, LIMITED LIABILITY COMPANY OR A PARTNERSHIP.
I certify under penalty of perjury that Contractor is a [check one]:
Corporation Limited Liability Company Partnership authorized to do business in the State of Oregon.
_______________________________________ ____________________ ____________
Signature Title Date
B. CONTRACTOR IS A SOLE PROPRIETOR WORKING AS AN INDEPENDENT CONTRACTOR.
Contractor certifies under penalty of perjury that the following statements are true:
1. If Contractor performed labor or services as an independent Contractor last year, Contractor filed federal and
state income tax returns last year in the name of the business (or filed a Schedule C in the name of the
business as part of a personal income tax return), and
2. Contractor represents to the public that the labor or services Contractor provides are provided by an
independently established business registered with the State of Oregon, and
3. All of the statements checked below are true.
NOTE: Check all that apply. You shall check at least three (3) - to establish that you are an
Independent Contractor.
____ A. The labor or services I perform are primarily carried out at a location that is separate from my
residence or primarily carried out in a specific portion of my residence that is set aside as the
location of the business.
____ B. I bear the risk of loss related to the business or provision of services as shown by factors such
as: (a) fixed-price agreements; (b) correcting defective work ; (c) warranties over the services or
(d) indemnification agreements, liability insurance, performance bonds or professional liability
insurance.
____ C. I have made significant investment in the business through means such as: (a) purchasing
necessary tools or equipment; (b) paying for the premises or facilities where services are
provided; or (c) paying for licenses, certificates or specialized training.
____ D. I have the authority to hire other persons to provide or to assist in providing the services and if
necessary to fire such persons.
____ E. Each year I perform labor or services for at least two different persons or entities or I routinely
engage in business advertising, solicitation or other marketing efforts reasonably calculated to
obtain new contracts to provide similar services.
____________________________________ _____________________________
Contractor Signature Date
Page 18 of 22 - Personal Services Contract No. 2013-607
C. Representation and Warranties.
Contractor certifies under penalty of perjury that the following statements are true to the best of
Contractor’s knowledge:
1. Contractor has the power and authority to enter into and perform this contract;
2. This contract, when executed and delivered, shall be a valid and binding obligation of Contractor enforceable
in accordance with its terms;
3. The services under this Contract shall be performed in a good and workmanlike manner and in accordance
with the highest professional standards; and
4. Contractor shall, at all times during the term of this contract, be qualified, professionally competent, and duly
licensed to perform the services.
5. To the best of Contractor's knowledge, Contractor is not in violation of any tax laws described in ORS
305.380(4),
6. Contractor understands that Contractor is responsible for any federal or state taxes applicable to any
consideration and payments paid to Contractor under this contract; and
7. Contractor has not discriminated against minority, women or small business enterpris es in obtaining any
required subcontracts.
_______________________________________ _____________________
Contractor Signature Date
Page 19 of 22 - Personal Services Contract No. 2013-607
EXHIBIT 4
DESCHUTES COUNTY SERVICES CONTRACT
Contract No. 2013-607
Workers’ Compensation Exemption Certificate
(To be used only when Contractor claims to be exempt from Workers’ Compensation coverage requirements)
Contractor is exempt from the requirement to obtain workers’ compensation insurance under ORS Chapter 656 f or the following reason
(check the appropriate box):
SOLE PROPRIETOR
Contractor is a sole proprietor, and
Contractor has no employees, and
Contractor shall not hire employees to perform this contract.
CORPORATION - FOR PROFIT
Contractor’s business is incorporated, and
All employees of the corporation are officers and directors and have a substantial ownership interest* in the
corporation, and
The officers and directors shall perform all work. Contractor shall not hire other employees to perform thi s
contract.
CORPORATION - NONPROFIT
Contractor’s business is incorporated as a nonprofit corporation, and
Contractor has no employees; all work is performed by volunteers, and
Contractor shall not hire employees to perform this contract.
PARTNERSHIP
Contractor is a partnership, and
Contractor has no employees, and
All work shall be performed by the partners; Contractor shall not hire employees to perform this contract, and
Contractor is not engaged in work performed in direct connection with the construction, alteration, repair,
improvement, moving or demolition of an improvement to real property or appurtenances thereto.
LIMITED LIABILITY COMPANY
Contractor is a limited liability company, and
Contractor has no employees, and
All work shall be performed by the members; Contractor shall not hire employees to perform this contract, and
If Contractor has more than one member, Contractor is not engaged in work performed in direct connection with
the construction, alteration, repair, improvement, moving or demolition of an improvement to real property or
appurtenances thereto.
*NOTE: Under OAR 436-050-050 a shareholder has a “substantial ownership” interest if the shareholder owns 10% of the corporation or,
if less than 10% is owned, the shareholder has ownership that is at least equal to or greater than the average percentage of ownership of
all shareholders.
**NOTE: Under certain circumstances partnerships and limited liability companies can claim an exemption even when performing
construction work. The requirements for this exemption are complicated. Consult with County Counsel before an exemption request is
accepted from a contractor who shall perform construction work.
Chris Breemer ______________________________________________
Contractor Printed Name Contractor Signature
Principal Geologist __________________________________________
Contractor Title Date
Page 20 of 22 - Personal Services Contract No. 2013-607
EXHIBIT 5
DESCHUTES COUNTY SERVICES CONTRACT
Contract No. 2013-607
Expense Reimbursement
1. Travel and Other Expenses. (When travel and other expenses are reimbursed.)
a. It is the policy of the County that all travel shall be allowed only when the travel is essential to the normal
discharge of the County responsibilities.
1) All travel shall be conducted in the most efficient and cost effective manner resulting in the best
value to the County.
2) Travel expenses shall be reimbursed for official County business only.
3) County shall not reimburse Contractor for any item that is not otherwise available for reimbursement
to an employee of Deschutes County per Deschutes County Finance Policy F-1,
“REIMBURSEMENT FOR MISCELLANEOUS EXPENSES AND EXPENSES INCURRED WHILE
TRAVELING ON COUNTY BUSINESS," dated 11/8/06.
4) County may approve a form other than the County Employee Reimbursement Form for Contractor to
submit an itemized description of travel expenses for payment.
5) Personal expenses shall not be authorized at any time.
6) All expenses are included in the total maximum contract amount.
b. Travel expenses shall be reimbursed only in accordance with rates approved by the County and only
when the reimbursement of expenses is specifically provided for in Exhibit 1, paragraph 3 of this
contract.
c. The current approved rates for reimbursement of travel expenses are set for th in the above described
policy.
d. County shall not reimburse for any expenses related to alcohol consumption or entertainment.
e. Except where noted, detailed receipts for all expenses shall be provided.
f. Charge slips for gross amounts are not acceptable.
g. County shall not reimburse Contractor for any item that is not otherwise available for reimbursement to
an employee of Deschutes County.
2. Approved reimbursements:
a. Mileage. Contractor shall be entitled to mileage for travel in a private automobile while Contractor is
acting within the course and scope of Contractor’s duties under this Contract and driving over the most
direct and usually traveled route to and from Bend, Oregon.
1) Reimbursement for mileage shall be equal to but not exceed those set by the United States General
Services Administration (“GSA”) and are subject to change accordingly.
2) To qualify for mileage reimbursement, Contractor shall hold a valid, current driver’s license for the
class of vehicle to be driven and carry personal automobile liability insurance in amounts not less
than those required by this contract.
3) No mileage reimbursement shall be paid for the use of motorcycles or mopeds.
b. Meals.
1) Any reimbursement for meals shall be for actual cost of meals incurred by Contractor while acting
within the course and scope of Contractor’s duties under this contract.
2) For purposes of calculating individual meals where the Contractor is entitled only to a partial day
reimbursement, the following maximum allocation of the meal expenses applies:
a) Breakfast, $10;
b) Lunch, $12;
c) Dinner, $22.
3) Except in the event of necessary overnight travel as provided below, partial day meal expenses shall
be reimbursed as follows and only while Contractor is acting within the course and scope of
Contractor’s duties under this contract:
a) Breakfast expenses are reimbursable if Contractor is required to travel more than two (2) hours:
before the start Contractor’s regular workday (i.e. 8:00 a.m.).
b) Lunch expenses are reimbursable only if Contractor is required to travel overnight and begins
the journey before 11:00 am or ends the journey after 11:00 a.m.
c) Dinner expenses are reimbursable only if Contractor is required to travel more than two (2)
hours after Contractor’s regular workday (i.e. 5:00 p.m.).
Page 21 of 22 - Personal Services Contract No. 2013-607
4) Breakfast and dinner expenses are reimbursable during Contractor’s necessary overnight travel
while acting within the course and scope of Contractor’s duties under this contract and shall not
exceed those set by the GSA. and are subject to change accordingly.
c. Lodging.
1) County shall reimburse Contractor for Contractor’s actual cost of lodging necessary to provide
service to the County and shall not exceed the maximum lodge set by the GSA for Bend, Oregon.
2) Reimbursement rates for lodging are not considered “per diem” and receipts are required for
reimbursement.
d County shall not reimburse Contractor in excess of the lowest fair for any airline ticket or vehicle rental
charges.
3. Exceptions. Contractor shall obtain separate written approval of the County Administrator for any
exceptions to the expense items listed above prior to incurring any expense for which reimbursement shall
be sought.
Page 22 of 22 - Personal Services Contract No. 2013-607
Exhibit 6
DESCHUTES COUNTY SERVICES CONTRACT
Contract 2013-607
Compliance with provisions, requirements of funding source and
Federal and State laws, statutes, rules, regulations, executive orders and policies.
Conflicts of Interest
Contractor certifies under penalty of perjury that the following statements are true to the best of
Contractor’s knowledge:
1. If Contractor is currently performing work for the County, State of Oregon or federal government, Contractor ,
by signature to this Contract, declares and certifies that Contractor’s Work to be performed under this
Contract creates no potential or actual conflict of interest as defined by ORS 244 and no rules or regulations
of Contractor’s employee agency (County State or Federal) would prohibit Contractor’s Work under this
Contract. Contractor is not an “officer,” “employee,” or “agent” of the County, as those terms are used in
ORS 30.265.
2. No federally appropriated funds have been paid or shall be paid, by or on behalf of Contractor, 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, the entering into of
any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any
federal contract, grant, loan, or cooperative agreement.
a. If any funds other than federally appropriated funds have been paid or shall be paid 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 this
federal contract, grant, loan, or cooperative agreement, Contractor agrees to complete and submit
Standard Form-LLL "Disclosure Form to Report Lobbying," in accordance with its instructions.
1) Standard Form-LLL and instructions are located in 45 CFR Part 93 Appendix B.
2) If instructions require filing the form with the applicable federal entity, Contractor shall then as a
material condition of this Contract also file a copy of the Standard Form-LLL with the Department.
3) This filing shall occur at the same time as the filing in accordance with the instructions.
b. Contractor understands this certification is a material representation of fact upon which the County and
the Department has relied in entering into this Contract. Contractor further understands that submission
of this certification is a prerequisite, imposed by 31 USC 1352 for entering into this Contract.
c. 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 such failure.
d. Contractor shall include the language of this certification in the award documents for all sub-awards at all
tiers (including subcontracts, sub-grants, and contracts under grants, loans and cooperative
agreements) and that all sub-recipients shall certify and disclose accordingly.
e. Contractor is solely responsible for all liability arising from a failure by Contractor to comply with t he
terms of this certification.
f. Contractor promises to indemnify County for any damages suffered by County as a result of Contractor's
failure to comply with the terms of this certification.
3. Contractor understands that, if this Contract involves federally appropriated funds, this certification is a
material representation of facts upon which reliance was placed when this Contract was made or entered
into, submission of this certification is a prerequisite for make or entering into this Contract imposed by
Section 1352, Title 311, U.S. Code and that 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.
_______________________________________ _____________________
Contractor Signature Date
BF - 00J80001 - 0 Page 1
GRANT NUMBER (FAIN):00J80001
MODIFICATION NUMBER:0 DATE OF AWARD
PROGRAM CODE:BF 08/05/2013U.S. ENVIRONMENTAL
PROTECTION AGENCY TYPE OF ACTION
New
MAILING DATE
08/12/2013
Cooperative Agreement PAYMENT METHOD:
ACH#
X0172
RECIPIENT TYPE:
County
Send Payment Request to:
Las Vegas Finance Center
FAX # 702-798-2423
RECIPIENT: PAYEE:
Deschutes County
PO Box 6005
Bend, OR 97708-6005
EIN: 93-6002292
Deschutes County
PO Box 6005
Bend, OR 97708-6005
PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST
Peter Gutowsky
PO Box 6005
Bend, OR 97708-6005
E-Mail: Peter.Gutowsky@deschutes.org
Phone: 541-385-1709
Susan Morales
1200 Sixth Avenue, Suite 900, ECL-112
Seattle, WA 98101
E-Mail: Morales.Susan@epamail.epa.gov
Phone: 206-553-7299
Joanne Brendle
1200 Sixth Avenue, Suite 900, OMP-145
Seattle, WA 98101
E-Mail: Brendle.Joanne@epa.gov
Phone: 206-553-6385
PROJECT TITLE AND DESCRIPTION
Deschutes County Brownfields
This award provides funding to Deschutes County to conduct community-wide assessments at potential brownfield sites where there is suspected hazardous or
petroleum contamination. The County in partnership with the cities of Bend and Redmond will be developing an organizational infrastructure to permanently
enhance the ability to engage in identifying, prioritizing, assessing and developing cleanup plans for select sites (hazardous and petroleum) in their
communities. The County will be focused on engaging the community in this process and work to move properties into reuse while addressing contamination
concerns that may be impacting human health and the environment.
BUDGET PERIOD PROJECT PERIOD TOTAL BUDGET PERIOD COST TOTAL PROJECT PERIOD COST
10/01/2013 - 09/30/2016 10/01/2013 - 09/30/2016 $400,000.00 $400,000.00
NOTICE OF AWARD
Based on your Application dated 07/03/2013 including all modifications and amendments, the United States acting by and through the US Environmental
Protection Agency (EPA) hereby awards $400,000. EPA agrees to cost-share 100.00% of all approved budget period costs incurred, up to and not exceeding
total federal funding of $400,000. 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 statutory provisions. The
applicable regulatory provisions are 40 CFR Chapter 1, Subchapter B, and all terms and conditions of this agreement and any attachments.
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS ORGANIZATION / ADDRESS
EPA Region 10
Mail Code: OMP-145
1200 Sixth Avenue, Suite 900
Seattle, WA 98101
U.S. EPA, Region 10
Office of Environmental Cleanup
1200 Sixth Avenue, Suite 900
Seattle, WA 98101
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
Digital signature applied by EPA Award Official Armina K. Nolan - Manager - Grants and Interagency Agreements Unit DATE
08/05/2013
EPA Funding Information BF - 00J80001 - 0 Page 2
FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL
EPA Amount This Action $ $ 400,000 $ 400,000
EPA In-Kind Amount $ $ $ 0
Unexpended Prior Year Balance $ $ $ 0
Other Federal Funds $ $ $ 0
Recipient Contribution $ $ $ 0
State Contribution $ $ $ 0
Local Contribution $ $ $ 0
Other Contribution $ $ $ 0
Allowable Project Cost $ 0 $ 400,000 $ 400,000
Assistance Program (CFDA) Statutory AuthorityStatutory AuthorityStatutory AuthorityStatutory Authority Regulatory AuthorityRegulatory AuthorityRegulatory AuthorityRegulatory Authority
66.818 - Brownfields Assessment and Cleanup
Cooperative Agreements
CERCLA: Sec. 104(k)(2) 40 CFR PART 31
Fiscal
Site Name Req No FY Approp.
Code
Budget
Organization
PRC Object
Class
Site/Project Cost
Organization
Obligation /
Deobligation
-
-
1310NEG008
1310NEG008
13
13
E4
E4
10N3AG7
10N3AG7
301D79
301D79XBP
4114
4114
G000NY00
G000OR00
-
-
200,000
200,000
400,000
(PageBreak)
BF - 00J80001 - 0 Page 3
Budget Summary Page
Table A - Object Class Category
(Non-construction)
Total Approved Allowable
Budget Period Cost
1. Personnel $13,760
2. Fringe Benefits $5,366
3. Travel $4,100
4. Equipment $0
5. Supplies $8,774
6. Contractual $368,000
7. Construction $0
8. Other $0
9. Total Direct Charges $400,000
10. Indirect Costs: % Base $0
11. Total (Share: Recipient 0.00 % Federal 100.00 %.)$400,000
12. Total Approved Assistance Amount $400,000
13. Program Income $0
14. Total EPA Amount Awarded This Action $400,000
15. Total EPA Amount Awarded To Date $400,000
(PageBreak)
BF - 00J80001 - 0 Page 4
Administrative Conditions
1. Payment Methods
a. The Debt Collection Improvement Act of 1996 requires that Federal payments be made by electronic
funds transfer. In order to comply with the Act, a recipient must receive payments via one of two
electronic methods available to them:
Automated Standard Application for Payments (ASAP)
The ASAP system is the preferred method of payment for EPA grantees. ASAP enrollment is highly
encouraged for organizations that have multiple grants/cooperative agreements and for those with a
frequent need to request funds. If your organization uses multiple bank accounts for EPA
grants/cooperative agreements, you must enroll in ASAP. If you are interested in receiving funds
electronically via ASAP, please complete the ASAP Initiate Enrollment form located at
http://www.epa.gov/ocfo/finservices/forms.htm and email it to LVFC-grants@epa.gov or fax it to LVFC at
702-798-2423
Under this payment mechanism, the Recipient initiates, via ASAP, an electronic payment request which is
approved or rejected based on the amount of available funds authorized by EPA in the Recipient’s
account. Approved funds are credited to the recipient organization at the financial institution identified on
the recipient’s ASAP enrollment application. Additional information concerning ASAP and enrollment can
be obtained by contacting the EPA Las Vegas Finance Center, at (702) 798-2485, or by visiting
www.fms .treas.gov/asap.
Electronic Funds Transfer (EFT)
Under this payment mechanism, the EPA Las Vegas Finance Center will obtain your organization's
banking information from your System for Award Management (SAM) registration. Upon completion of
required Regional training, a Las Vegas Finance Center Representative will send you an email message
with your EFT Control Number and payment information. Additional information concerning EFT can be
obtained by contacting the EPA Las Vegas Finance Center at (702) 798-2485, or by visiting
http://www.epa.gov/ocfo/finservices/payinfo.htm
NOTE: If your banking information is not correct or changes at any time prior to the end of your
agreement, please update your SAM registration and notify the EPA Las Vegas Finance Center as soon
as possible so the new banking information can be retrieved. This is vital to ensure proper and timely
deposit of funds.
b. In accepting this assistance agreement, the recipient agrees to draw cash only as needed for its
disbursement. Failure on the part of the recipient to comply with this condition may cause the undisbursed
portions of the assistance agreement to be revoked and financing method changed to a reimbursable
basis.
2. Federal Financial Report (FFR)
Recipients shall submit final Federal Financial Reports (FFR), Standard Form 425 (SF-425), to EPA no
later than 90 calendar days after the end of the project period. The form is available on the internet at
http://www.epa.gov/ocfo/finservices/forms.htm. All FFRs must be submitted to the Las Vegas Finance
Center: US EPA, LVFC, 4220 S. Maryland Pkwy Bldg C, Rm 503, Las Vegas, NV 89119, or by FAX to:
702-798-2423.
The LVFC 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.
EPA may take enforcement actions in accordance with 40 CFR 30.62 and 40 CFR 31.43 if the recipient
does not comply with this term and condition.
3. Audit Requirements
In accordance with OMB Circular A-133, which implements the Single Audit Act, the recipient hereby
agrees to obtain a single audit from an independent auditor, if it expends $500,000 or more in total
Federal funds in any fiscal year. Within nine months after the end of a recipient’s fiscal year or 30 days
after receiving the report from the auditor, the recipient shall submit the SF-SAC and a Single Audit Report
Package. The recipient MUST submit the SF-SAC and a Single Audit Report Package, using the
Federal Audit Clearinghouse’s Internet Data Entry System. Complete information on how to accomplish
the single audit submissions, you will need to visit the Federal Audit Clearinghouse Web site:
http://harvester.census.gov/fac/.
4. Hotel-Motel Fire Safety Act
Pursuant to 40 CFR 30.18, if applicable, and 15 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
http://www.usfa.dhs.gov/applications/hotel to see if a property is in compliance (FEMA ID is currently not
required), or to find other information about the Act.
5. Recycled Paper
INSTITUTIONS OF HIGHER EDUCATION HOSPITALS AND NON-PROFIT ORGANIZATIONS:
In accordance with 40 CFR 30.16, the recipient agrees to use recycled paper and double sided 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, or to Standard Forms, which are printed on
recycled paper and are available through the General Services Administration.
STATE AGENCIES AND POLITICAL SUBDIVISIONS:
In accordance with Section 6002 of the Resource Conservation and Recovery Act (RCRA) (42 U.S.C.
6962) any State agency or agency of a political subdivision of a State which is using appropriated Federal
funds shall comply with the requirements set forth. Regulations issued under RCRA Section 6002 apply to
any acquisition of an item where the purchase price exceeds $10,000 or where the quantity of such items
acquired in the course of the preceding fiscal year was $10,000 or more. RCRA Section 6002 requires
that preference be given in procurement programs to the purchase of specific products containing
recycled materials identified in guidelines developed by EPA. These guidelines are listed in 40 CFR 247.
STATE AND LOCAL INSTITUTIONS OF HIGHER EDUCATION AND NON-PROFIT
ORGANIZATIONS:
In accordance with 40 CFR 30.16, State and local institutions of higher education, hospitals, and non-profit
organizations that receive direct Federal funds shall give preference in their procurement programs
funded with Federal funds to the purchase of recycled products pursuant to EPA's guidelines.
STATE TRIBAL AND LOCAL GOVERNMENT RECIPIENTS:
In accordance with the polices set forth in EPA Order 1000.25 and Executive Order 13423, Strengthening
Federal Environmental, Energy and Transportation Management (January 24, 2007), the recipient agrees
to use recycled paper and double sided 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, or to Standard Forms, which are printed on recycled paper and are available through the General
Services Administration.
6. Lobbying
ALL RECIPIENTS:
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.
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.
PART 30 RECIPIENTS:
All contracts awarded by a recipient shall contain, when applicable, the anti-lobbying provision as
stipulated in the Appendix at Title 40 CFR Part 30.
Pursuant to Section 18 of the Lobbying Disclosure Act, the recipient affirms that it is not a nonprofit
organization described in Section 501(c)(4) of the Internal Revenue Code of 1986; 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.
7. Lobbying and Litigation
ALL RECIPIENTS:
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 United States unless authorized under existing law. The recipient shall abide by its respective OMB
Circular (A-21, A-87, or A-122), which prohibits the use of Federal grant funds for litigation against the
United States or for lobbying or other political activities.
8. Suspension and Debarment
Recipient shall fully comply with Subpart C of 2 CFR Part 180 and 2 CFR Part 1532, entitled
“Responsibilities of Participants Regarding Transactions (Doing Business with Other Persons).” Recipient
is responsible for ensuring that any lower tier covered transaction as described in Subpart B of 2 CFR Part
180 and 2 CFR Part 1532, entitled “Covered Transactions,” includes a term or condition requiring
compliance with Subpart C. Recipient is responsible for further requiring the inclusion of a similar term or
condition in any subsequent lower tier covered transactions. Recipient acknowledges that failing to
disclose the information as required at 2 CFR 180.335 may result in the delay or negation of this
assistance agreement, or pursuance of legal remedies, including suspension and debarment.
Recipient may access the Excluded Parties List System at www.epls.gov. This term and condition
supersedes EPA Form 5700-49, “Certification Regarding Debarment, Suspension, and Other
Responsibility Matters.”
9. Drug-Free Workplace Certification for all EPA Recipients
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
http://ecfr.gpoaccess.gov.
10. 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.
11. Reimbursement Limitation
If the recipient expends more than the amount of federal funding in its EPA approved budget in
anticipation of receiving additional funds from EPA, it does so at its own risk. EPA is not legally obligated
to reimburse the recipient for costs incurred in excess of the EPA approved budget.
12. Trafficking in Persons
a. Provisions applicable to a recipient that is a private entity.
1. You as the recipient, your employees, subrecipients under this award, and subrecipients’
employees may not—
i. Engage in severe forms of trafficking in persons during the period of time that the award
is in effect;
ii. Procure a commercial sex act during the period of time that the award is in effect; or
iii. Use forced labor in the performance of the award or subawards under the award.
2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if
you or a subrecipient that is a private entity —
i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or
ii. Has an employee who is determined by the agency official authorized to terminate the
award to have violated a prohibition in paragraph a.1 of this award term through conduct
that is either—
A. Associated with performance under this award; or
B. Imputed to you or 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 our Agency at 2 CFR 1532.
b. Provision applicable to a recipient other than a private entity. We as the Federal awarding agency may
unilaterally terminate this award, without penalty, if a subrecipient that is a private entity—
1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or
2. Has an employee who is determined by the agency official authorized to terminate the award to
have violated an applicable prohibition in paragraph a.1 of this award term through conduct that is
either—
i. Associated with performance under this award; or
ii. 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 our agency at 2 CFR 1532
c. Provisions applicable to any recipient.
1. You must inform us immediately of any information you receive from any source alleging a
violation of a prohibition in paragraph a.1 of this award term.
2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:
i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as
amended (22 U.S.C. 7104(g)), and
ii. Is in addition to all other remedies for noncompliance that are available to us under this
award.
3. You must include the requirements of paragraph a.1 of this award term in any subaward you
make to a private entity.
d. Definitions. For purposes of this award term:
1. ‘‘Employee’’ means either:
i. An individual employed by you or a subrecipient who is engaged in the performance of
the project or program under this award; or
ii. 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.
13. Trafficking Victim Protection Act of 2000 (TVPA) as Amended.
To implement requirements of Section 106 of the Trafficking Victims Protection Act of 2000, as amended,
the following provisions apply to this award:
a. We, as the Federal awarding agency may unilaterally terminate this award, without penalty, if a
subrecipient that is a private entity: (1) is determined to have violated an applicable prohibition in the
Prohibition Statement below; or (2) has an employee who is determined by the agency official authorized
to terminate the award to have violated an applicable prohibition in the Prohibition Statement below
through conduct that is either: (a) associated with performance under this award; or (b) 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 our agency at 2 CFR part 1532.
You must inform us immediately of any information you receive from any source alleging a violation of a
prohibition in the Prohibition Statement below.
b. Our right to terminate unilaterally that is described in paragraph a of this award term: (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.
c. You must include the requirements of the Prohibition Statement below in any subaward you make to a
private entity.
Prohibition Statement - You as the recipient, your employees, subrecipients under this award, and
subrecipients’ employees may not engage in severe forms of trafficking in persons during the period of
time that the award is in effect; procure a commercial sex act during the period of time that the award is in
effect; or use forced labor in the performance of the award or subawards under the award.
14. DUNS and CCR Requirements
A. Requirement for Central Contractor Registration (CCR)/System for Award Management (SAM).
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain
the currency of your information in the SAM until you submit the final financial report required under this
award or receive the final payment, whichever is later. This requires that you review and update the
information at least annually after the initial registration, and more frequently if required by changes in your
information or another award term.
B. Requirement for Data Universal Numbering System (DUNS) numbers. If you are authorized to make
subawards under this award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term)
may receive a subaward from you unless the entity has provided its DUNS number to you.
2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.
C. Definitions. For purposes of this award term:
1. Central Contractor Registration (CCR)/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 System for
Award Management (SAM) Internet site http://www.sam.gov.
2. Data Universal Numbering System (DUNS) number means the nine-digit number established and
assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS
number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet
(currently at http://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25,
subpart C:
a. A Governmental organization, which is a State, local government, or Indian tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal
entity.
4. Subaward:
a. 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.
b. The term does not include your procurement of property and services needed to carry out the
project or program (for further explanation, see Sec. --.210 of the attachment to OMB Circular
A-133, “Audits of States, Local Governments, and Non-Profit Organizations”).
c. A subaward may be provided through any legal agreement, including an agreement that you
consider a contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
15. Subaward Reporting and Executive Compensation
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must
report each action that obligates $25,000 or more in Federal funds that does not include Recovery
funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub.
L. 111-5) for a subaward to an entity (see definitions in paragraph e of this award term).
2. Where and when to report .
i. You must report each obligating action described in paragraph a.1. of this award term to
www.fsrs.gov.
ii. 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 November 7, 2010, the
obligation must be reported by no later than December 31, 2010.)
3. What to report . You must report the information about each obligating action that the submission
instructions posted at www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of your five most
highly compensated executives for the preceding completed fiscal year, if –
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received—
(A) 80 percent or more of your 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
(B) $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
iii. 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.)
2. Where and when to report . You must report executive total compensation described in paragraph
b.1. of this award term:
i. As part of your registration Central Contractor Registration/System for Award Management profile
available at www.sam.gov.
ii. By the end of the month following the month in which this award is made, and annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives .
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award
term, for each first-tier subrecipient under this award, you 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 –
i. in the subrecipient's preceding fiscal year, the subrecipient received—
(A) 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
(B) $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
ii. 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.)
2. Where and when to report . You must report subrecipient executive total compensation described in
paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make 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), you must report any required compensation information of the subrecipient by
November 30 of that year.
d. Exemptions.
If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt
from the requirements to report:
i. subawards, and
ii. the total compensation of the five most highly compensated executives of any subrecipient.
e. Definitions. For purposes of this award term:
1. 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;
iv. A domestic or foreign for-profit organization;
v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal
entity.
2. Executive means officers, managing partners, or any other employees in management positions.
3. Subaward:
i. 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.
ii. The term does not include your procurement of property and services needed to carry out the
project or program (for further explanation, see Sec. --.210 of the attachment to OMB Circular
A-133, “Audits of States, Local Governments, and Non-Profit Organizations”).
iii. A subaward may be provided through any legal agreement, including an agreement that you or a
subrecipient considers a contract.
4. Subrecipient means an entity that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the subaward.
5. 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)):
i. Salary and bonus.
ii. 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.
iii. 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.
iv. Change in pension value. This is the change in present value of defined benefit and actuarial
pension plans.
v. Above-market earnings on deferred compensation which is not tax-qualified .
vi. 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. CIVIL RIGHTS OBLIGATIONS
GENERAL
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) Standard Form 424B 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 EPA regulations.
STATUTORY REQUIREMENTS
In carrying out this agreement, the recipient must comply with:
•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.
•Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against persons with
disabilities by entities receiving Federal financial assistance; and
•The Age Discrimination Act of 1975, which prohibits age discrimination by entities receiving
Federal financial assistance.
If the recipient is conducting an education program under this agreement, it must also comply with:
•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.
If this agreement is funded with financial assistance under the Clean Water Act (CWA), the recipient must
also comply with:
•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.
REGULATORY REQUIREMENTS
The recipient agrees to comply with all applicable EPA civil rights regulations, including:
•For Title IX obligations, 40 C.F.R. Part 5; and
•For Title VI, Section 504, Age Discrimination Act, and Section 13 obligations, 40 C.F.R. Part 7.
•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.
TITLE VI – LEP, Public Participation and Affirmative Compliance Obligation
•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
http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=2004_register&docid=fr25jn04-79.pd
•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
http://edocket.access.gpo.gov/2006/pdf/06-2691.pdf.
•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.
17. Disadvantaged Business Enterprise Requirements (Effective May 27, 2008)
GENERAL COMPLIANCE, 40 CFR, Part 33
The recipient agrees to comply with the requirements of EPA's Program for Utilization of Small, Minority
and Women's Business Enterprises in procurement under assistance agreements, contained in 40 CFR,
Part 33.
FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D
A recipient must negotiate with the appropriate EPA award official, or his/her designee, fair share
objectives for MBE and WBE (MBE/WBE) participation in procurement under the financial assistance
agreements.
Accepting the Fair Share Objectives/Goals of Another Recipient
The dollar amount of this assistance agreement is over $250,000; or the total dollar amount of all of the
recipient’s non-TAG assistance agreements from EPA in the current fiscal year is over $250,000. The
recipient accepts the applicable MBE/WBE fair share objectives/goals negotiated with EPA by the Oregon
Department of Environmental Quality as follows:
MBE: SUPPLIES 0.31%; SERVICES 1.69%; EQUIPMENT 1.71%
WBE: SUPPLIES 0.63%; SERVICES 4.48%; EQUIPMENT 2.56%
By signing this financial assistance agreement, the recipient is accepting the fair share objectives/goals
stated above and attests to the fact that it is purchasing the same or similar construction, supplies,
services and equipment, in the same or similar relevant geographic buying market as Oregon
Department of Environmental Quality.
Negotiating Fair Share Objectives/Goals, 40 CFR, Section 33.404
The recipient has the option to negotiate its own MBE/WBE fair share objectives/goals. If the recipient
wishes to negotiate its own MBE/WBE fair share objectives/goals, the recipient agrees to submit proposed
MBE/WBE objectives/goals based on an availability analysis, or disparity study, of qualified MBEs and
WBEs in their relevant geographic buying market for construction, services, supplies and equipment.
The submission of proposed fair share goals with the supporting analysis or disparity study means that the
recipient is not accepting the fair share objectives/goals of another recipient. The recipient agrees to
submit proposed fair share objectives/goals, together with the supporting availability analysis or disparity
study, to the Regional MBE/WBE Coordinator within 120 days of its acceptance of the financial assistance
award. EPA will respond to the proposed fair share objective/goals within 30 days of receiving the
submission. If proposed fair share objective/goals are not received within the 120 day time frame, the
recipient may not expend its EPA funds for procurements until the proposed fair share objective/goals are
submitted.
SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C
Pursuant to 40 CFR, Section 33.301, the recipient agrees to make the following good faith efforts
whenever procuring construction, equipment, services and supplies under an EPA financial assistance
agreement, and to ensure that sub-recipients, loan recipients, and prime contractors also comply. Records
documenting compliance with the six good faith efforts shall be retained:
(a) Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable through
outreach and recruitment activities. For Indian Tribal, State and Local and Government recipients, this will
include placing DBEs on solicitation lists and soliciting them whenever they are potential sources.
(b) Make information on forthcoming opportunities available to DBEs and arrange time frames for
contracts and establish delivery schedules, where the requirements permit, in a way that encourages and
facilitates participation by DBEs in the competitive process. This includes, whenever possible, posting
solicitations for bids or proposals for a minimum of 30 calendar days before the bid or proposal closing
date.
(c) Consider in the contracting process whether firms competing for large contracts could subcontract with
DBEs. For Indian Tribal, State and local Government recipients, this will include dividing total
requirements when economically feasible into smaller tasks or quantities to permit maximum participation
by DBEs in the competitive process.
(d) Encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to
handle individually.
(e) Use the services and assistance of the SBA and the Minority Business Development Agency of the
Department of Commerce.
(f) If the prime contractor awards subcontracts, require the prime contractor to take the steps in
paragraphs (a) through (e) of this section.
MBE/WBE REPORTING, 40 CFR, Part 33, Sections 33.502 and 33.503
The recipient agrees to complete and submit EPA Form 5700-52A, "MBE/WBE Utilization Under Federal
Grants, Cooperative Agreements and Interagency Agreements" beginning with the Federal fiscal year
reporting period the recipient receives the award, and continuing until the project is completed. Only
procurements with certified MBE/WBEs are counted toward a recipient’s MBE/WBE
accomplishments. The reports must be submitted semiannually for the periods ending March 31st and
September 30th for:
Recipients of financial assistance agreements that capitalize revolving loan programs (CWSRF,
DWSRF, Brownfields); and
All other recipients not identified as annual reporters (40 CFR Part 30 and 40 CFR Part 35, Subpart A
and Subpart B recipients are annual reporters).
The reports are due within 30 days of the end of the semiannual reporting periods (April 30th and
October 30th). Reports should be sent to the EPA Region 10, Grants Administration Unit, 1200
Sixth Avenue, Suite 900, Mailcode: OMP-145, Seattle, WA 98101. For further information, please
contact Greg Luchey at (206) 553-2967, email: Luchey.Greg@epa.gov. Final MBE/WBE reports must
be submitted within 90 days after the project period of the grant ends. Your grant cannot be
officially closed without all MBE/WBE reports.
EPA Form 5700-52A may be obtained from the EPA Office of Small Business Program’s Home Page on
the Internet at www.epa.gov/osbp.
CONTRACT ADMINISTRATION PROVISIONS, 40 CFR, Section 33.302
The recipient agrees to comply with the contract administration provisions of 40 CFR, Section 33.302.
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.
18. Payment to Consultants
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
Level IV of the Executive Schedule (formerly GS-18), 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.
As of January 1, 2013, the limit is $596.00 per day $74.50 per hour. 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).
Subagreements with firms for services which are awarded using the procurement requirements in 40 CFR
Parts 30 or 31, as applicable, 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 40 CFR 30.27(b) or 40 CFR
31.36(j), as applicable, for additional information.
NOTE: For future years' limits, the recipient may find the annual salary for Level IV of the Executive
Schedule on the following Internet site: http://www.opm.gov/oca. Select "Salary and Wages", and select
"Executive Schedule". The annual salary is divided by 2087 hours to determine the maximum hourly rate,
which is then multiplied by 8 to determine the maximum daily rate.
Programmatic Conditions
Region 10 - FY13 Assessment Terms and Conditions
Please note that these Terms and Conditions (T&Cs) apply to Brownfields Assessment Grants awarded
under CERCLA § 104(k).
I. GENERAL FEDERAL REQUIREMENTS
NOTE: For the purposes of these Terms and Conditions the term “assessment” includes, eligible
activities under the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA) § 104(k)(2)(A)(i) such as activities involving the inventory, characterization, assessment,
and planning relating to brownfield sites as described in the EPA approved work plan.
A. Federal Policy and Guidance
1. a. Cooperative Agreement Recipients: By awarding this cooperative agreement, EPA has
approved the proposal for the Cooperative Agreement Recipient (CAR) submitted in the Fiscal
Year 2013 competition for Brownfields assessment cooperative agreements. The CAR may not
expend (“draw down”) funds to carry out this agreement until EPA’s award official approves the
work plan.
b. In implementing this agreement, the CAR shall ensure that work done with cooperative
agreement funds complies with the requirements of the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA) § 104(k). The CAR shall also ensure that
assessment activities supported with cooperative agreement funding comply with all applicable
Federal and State laws and regulations.
c. The recipient must comply with Federal cross-cutting requirements. These requirements
include but are not limited to, MBE/WBE requirements found at 40 CFR Part 33; OSHA Worker
Health & Safety Standard 29 CFR 1910.120; the Uniform Relocation Act; National Historic
Preservation Act; Endangered Species Act; and Permits required by Section 404 of the Clean
Water Act; Executive Order 11246, Equal Employment Opportunity, and implementing regulations
at 41 CFR 60-4; Contract Work Hours and Safety Standards Act, as amended (40 USC §
327-333) the Anti Kickback Act (40 USC § 276c) and Section 504 of the Rehabilitation Act of 1973
as implemented by Executive Orders 11914 and 11250.
d. The CAR must comply with Davis-Bacon Act prevailing wage requirements and associated
U.S. Department of Labor (DOL) regulations for all construction, alteration and repair contracts
and subcontracts awarded with funds provided under this agreement. Activities conducted under
assessment grants generally do not involve construction, alteration and repair within the meaning
of the Davis-Bacon Act. The recipient must contact EPA's Project Officer if there are unique
circumstances (e.g. removal of an underground storage tank or another structure and restoration
of the site) which indicate that the Davis-Bacon Act applies to an activity the CAR intends to carry
out with funds provided under this agreement. The Agency will provide guidance on Davis-Bacon
Act compliance if necessary.
B. Eligible Brownfields Site Determinations
1.a. The CAR must provide information to EPA about site-specific work prior to incurring any costs
under this cooperative agreement for sites that have not already been pre-approved in the
CAR’s work plan by the EPA. The information that must be provided includes whether or not the site
meets the definition of a brownfield site as defined in § 101(39) of CERCLA, whether the CAR is the
potentially responsible party under CERCLA 107 and/or has defenses to liability.
b. If the site is excluded from the general definition of a brownfield, but is eligible for a
property-specific funding determination, then the CAR may request a property-specific
funding determination. In their request, the CAR must provide information sufficient for
EPA to make a property-specific funding determination on how financial assistance will
protect human health and the environment, and either promote economic development
or enable the creation of, preservation of, or addition to parks, greenways, undeveloped
property, other recreational property, or other property used for nonprofit purposes. The
CAR must not incur costs for assessing sites requiring a property-specific funding
determination by EPA until the EPA Project Officer has advised the CAR that the
Agency has determined that the property is eligible.
2.a. For any petroleum contaminated brownfield site that is not included in the CAR’s EPA approved
work plan, the CAR shall provide sufficient documentation to the EPA prior to incurring
costs under this cooperative agreement which includes (see the latest version of EPA’s Proposal
Guidelines for Brownfields Assessment Grants dated September 2011 for discussion of this element)
documenting that:
(1) a State has determined that the petroleum site is of relatively low risk, as
compared to other petroleum-only sites in the State,
(2) the State determines there is “no viable responsible party” for the site;
(3) the State determines that the person assessing or investigating the site is a
person who is not potentially liable for cleaning up the site; and
(4) the site is not subject to any order issued under section 9003(h) of the Solid Waste
Disposal Act.
This documentation must be prepared by the CAR or the State following contact and discussion
with the appropriate petroleum program official.
b. Documentation must include (1) the identity of the State program official
contacted, (2) the State official’s telephone number, (3) the date of the contact,
and (4) a summary of the discussion relating to the state’s determination that
the site is of relatively low risk, that there is no viable responsible party and that
the person assessing or investigating the site is not potentially liable for cleaning
up the site. Other documentation provided by a State to the recipient relevant to
any of the determinations by the State must also be provided to the EPA Project
Officer.
c. If the State chooses not to make the determinations described in 2.a. above, the
CAR must contact the EPA Project Officer and provide the information
necessary for EPA to make the requisite determinations.
d. EPA will make all determinations on the eligibility of petroleum-contaminated brownfields
sites located on tribal lands (i.e., reservation lands or lands otherwise in Indian country, as
defined at 18 U.S.C. 1151). Before incurring costs for these sites, the CAR must contact
the EPA Project Officer and provide the information necessary for EPA to make the
determinations described in 2.a. above.
II. GENERAL COOPERATIVE AGREEMENT
ADMINISTRATIVE REQUIREMENTS
A. Term of the Agreement
1.The term of this agreement is three years from the date of award, unless otherwise extended by
EPA at the CAR’s request.
2. If after 18 months from the date of award, EPA determines that the CAR has not made sufficient
progress in implementing its cooperative agreement, the recipient must implement a corrective
action plan approved by the EPA PO or EPA may terminate this agreement for material
non-compliance with its terms. For purposes of assessment grants, the recipient demonstrates
“sufficient progress” when 35% of funds have been drawn down and obligated to eligible activities;
for assessment coalition grants “sufficient progress” is demonstrated when a solicitation for
services has been released, sites are prioritized or an inventory has been initiated if necessary,
community involvement activities have been initiated and a Memorandum of Agreement (for
Assessment Coalitions) is in place.
3. Assessment funding for an eligible brownfield site may not exceed $200,000 unless a waiver has
been granted by EPA. Following the granting of a waiver, funding is not to exceed $350,000 at
the site.
B. Substantial Involvement
1.The EPA may be substantially involved in overseeing and monitoring this cooperative agreement.
a. Substantial involvement by EPA generally includes administrative activities such
as monitoring, reviewing project phases, and approving substantive terms
included in professional services contracts.
b. Substantial EPA involvement also includes brownfields property-specific funding
determinations described in I.B. under Eligible Brownfields Site Determinations
above. If the CAR awards a subgrant for site assessment, the CAR must obtain
technical assistance from EPA on which sites qualify as a brownfield site and
determine whether the statutory prohibition found in section 104(k)(4)(B)(i)(IV)
of CERCLA applies. This prohibition precludes the subgrantee from using EPA
funds to assess a site for which the subgrantee is potentially liable under § 107
of CERCLA. (See Section II.C.3 for more information on subgrants.)
c. Substantial EPA involvement may include reviewing financial and environmental
status reports; and monitoring all reporting, record-keeping, and other program
requirements.
d. EPA may waive any of the provisions in term and condition II.B.1., with the
exception of property-specific funding determinations. EPA will provide waivers
in writing.
2.Effect of EPA’s substantial involvement includes:
a. EPA’s review of any project phase, document, or cost incurred under this
cooperative agreement, will not have any effect upon CERCLA § 128 Eligible
Response Site determinations or rights, authorities, and actions under CERCLA
or any Federal statute.
b. The CAR remains responsible for ensuring that all assessments are protective
of human health and the environment and comply with all applicable Federal
and State laws.
c. The CAR and its subgrantees remain responsible for incurring costs that are
allowable under the applicable OMB Circulars.
C. Cooperative Agreement Recipient Roles and Responsibilities
1.The CAR must acquire the services of a qualified environmental professional(s) to coordinate,
direct, and oversee the brownfields assessment activities at a particular site, if they
do not have such a professional on staff.
2.The CAR is responsible for ensuring that contractors and subgrant recipients comply with the
terms of their agreements with the CAR, and that agreements between the CAR and subgrant
recipients and contractors comply with the terms and conditions of this agreement.
3.Subgrants are defined at 40 CFR 31.36. The CAR may not subgrant to for-profit organizations.
The CAR must obtain commercial services and products necessary to carry out this
agreement under competitive procurement procedures as described in 40 CFR 31.36.
In addition, EPA policy encourages awarding subgrants competitively and the CAR must consider
awarding subgrants through competition.
4.The CAR is responsible for assuring that EPA’s Brownfields Assessment Grant funding received
under this grant, or in combination with any other previously awarded Brownfields Assessment grant
does not exceed the $200,000 assessment grant funding limitation for an individual brownfield site.
Waiver of this funding limit for a brownfields site must be approved by EPA prior to the expenditure of
funding exceeding $200,000. In no case may EPA funding exceed $350,000 on a site
receiving a waiver.
5. CARs expending funding from a community-wide assessment grant on a particular site must
include such funding amount in any total funding expended on the site.
D. Quarterly Progress Reports
1. The CAR must submit progress reports on a quarterly basis to the EPA Project Officer. Quarterly
progress reports must include:
a. Summary of approved activities performed during the reporting quarter, summary of the
performance outputs/outcomes achieved during the reporting quarter, a description of
problems encountered during the reporting quarter that may affect the project schedule
and a discussion of meeting the performance outputs/outcomes.
b. An update on project schedules and milestones.
c. A list of the properties where assessment activities were performed and/or completed
during the reporting quarter.
d. A budget recap summary table with the following information: current approved project
budget; costs incurred during the reporting quarter; costs incurred to date (cumulative
expenditures); and total remaining funds.
e. Recipient quarterly reports must clearly identify which activities performed during the
reporting period were undertaken with EPA funds, and must relate EPA-funded activities
to the objectives and milestones agreed upon in the work plan including a list of sites
where assessment activities were completed . To the extent consistent with the EPA
approved work plan for this agreement, activities undertaken with EPA funds to be
included in quarterly performance and financial reporting may include:
i. Action Start Date (interim measure to show grant progress)
ii. Acres per property
iii. Assessments completed
iv. Whether cleanup is required
v. Types of contaminants found
vi. Acres of greenspace planned/created
vii. Engineering/institutional controls required, what type and whether they are in
place
viii. Cleanup plans developed
ix. Redevelopment underway
x. Funds leveraged
xi. Jobs leveraged
xii. Health monitoring studies, insurance, institutional controls funded
xiii.Lessons learned during planning and implementation; summary of project
xiv.Photos of events and sites worked on, including before and after.
f. Documentation of the best efforts to identify and use clean diesel technologies, clean
fuels, and/or other diesel emissions reductions practices.
g. When considering approaches to the assessment and cleanup of properties EPA’s
recommendation of best practices should be implemented whenever possible.
i. Use energy efficient equipment to minimize energy consumption and use cleaner fuels
to power machinery and auxiliary equipment.
ii. Minimize the generation of greenhouse gases by minimizing the generation and
transport of airborne contaminants and dust.
iii. Minimize water use and impacts to water resources and employ best management
practices for storm water.
2. The CAR must maintain records that will enable it to report to EPA on the amount of funds
expended on specific properties under this cooperative agreement.
3. In accordance with 40 CFR 31.40(d), the CAR agrees to inform EPA as soon as problems,
delays, or adverse conditions become known which will materially impair the ability to meet the
outputs/outcomes specified in the approved work plan.
E. Property Profile Submission
1. The CAR must report on interim progress (i.e., assessment started) and any final
accomplishments (i.e., assessment completed, cleanup required, contaminants, Institution
Controls, Engineering Controls) by completing and submitting relevant portions of the Property
Profile Form using the Brownfields Program on-line reporting system, known as Assessment,
Cleanup and Redevelopment Exchange System (ACRES). The CAR must enter the data in
ACRES as soon as the interim action or final accomplishment has occurred, or within 30 days
after the end of each reporting quarter. EPA will provide the CAR with training prior to obtaining
access to ACRES. The training is required to obtain access to ACRES. The CAR must utilize
the ACRES system unless approval is obtained from the regional Project Officer to utilize the
Property Profile Form.
F. Final Report
1. The CAR must submit a final report at the end of the period of performance in order to finalize
the closeout of the grant. This final report must capture the site names, what work was done at
each site and how much was spent at each site. It should also provide information that
documents the outreach efforts done by the CAR and other activities that help explain where the
funding was utilized. The final report is due within 90 days of the end of the project period. Refer
to section II.D. quarterly reporting for additional types of information to include.
III. FINANCIAL ADMINISTRATION REQUIREMENTS
A. Eligible Uses of the Funds for the Cooperative Agreement Recipient
1.To the extent allowable under the work plan, cooperative agreement funds may be used for
eligible programmatic expenses to inventory, characterize, assess, and conduct
planning and outreach. Eligible programmatic expenses include activities described in
Section IV of these Terms and Conditions. In addition, such eligible programmatic expenses may include:
a. Determining whether assessment activities at a particular site are authorized by CERCLA
§ 104(k);
b. Ensuring that an assessment complies with applicable requirements under Federal and
State laws, as required by CERCLA § 104(k);
c. Using a portion of the grant to purchase environmental insurance for the characterization
or assessment of the site. Funds may not be used to purchase insurance
intended to provide coverage for any of the Ineligible Uses under Section III.B.
d. Any other eligible programmatic costs including direct costs incurred by the recipient in
reporting to EPA; procuring and managing contracts; awarding and managing subgrants
to the extent allowable under III. B. 2.; and carrying out community involvement pertaining
to the assessment activities.
B. Ineligible Uses of the Funds for the Cooperative Agreement Recipient
1.Cooperative agreement funds shall not be used by the CAR for any of the following activities:
a. Cleanup activities;
b. Development activities that are not brownfields assessment activities (e.g., construction of a
new facility);
c. Job training unrelated to performing a specific assessment at a site covered by the grant;
d. To pay for a penalty or fine;
e. To pay a federal cost share requirement (for example, a cost-share required by another Federal
grant) unless there is specific statutory authority;
f. To pay for a response cost at a brownfields site for which the recipient of the grant or subgrant is
potentially liable under CERCLA § 107;
g. To pay a cost of compliance with any federal law, excluding the cost of compliance with laws
applicable to the assessment; and
h. Unallowable costs (e.g., lobbying and fund raising) under applicable OMB Circulars.
2.Under CERCLA § 104(k)(4)(B), administrative costs are prohibited costs under this agreement.
Prohibited administrative costs include all indirect costs under applicable OMB Circulars.
a. Ineligible administrative costs include costs incurred in the form of salaries,
benefits, contractual costs, supplies, and data processing charges, incurred to
comply with most provisions of the Uniform Administrative Requirements for
Grants contained in 40 CFR Part 31. Direct costs for grant administration, with
the exception of costs specifically identified as eligible programmatic costs, are
ineligible even if the grant recipient is required to carry out the activity under the
grant agreement.
b. Ineligible grant administration costs include direct costs for:
(1) Preparation of applications for brownfields grants;
(2) Record retention required under 40 CFR 31.42;
(3) Record-keeping associated with supplies and equipment purchases required under
40 CFR 31.32 and 31.33;
(4) Preparing revisions and changes in the budgets, scopes of work, program plans and
other activities required under 40 CFR 31.30;
(5) Maintaining and operating financial management systems required under 40 CFR 31;
(6) Preparing payment requests and handling payments under 40 CFR 31.21;
(7) Non-federal audits required under 40 CFR 31.26 and OMB Circular A-133; and
(8) Close out under 40 CFR 31.50.
3.Cooperative agreement funds may not be used for any of the following properties:
a. Facilities listed, or proposed for listing, on the National Priorities List (NPL);
b. Facilities subject to unilateral administrative orders, court orders, administrative
orders on consent or judicial consent decree issued to or entered by parties
under CERCLA;
c. Facilities that are subject to the jurisdiction, custody or control of the United
States government except for land held in trust by the United States
government for an Indian tribe; or
d. A site excluded from the definition of a brownfields site for which EPA has not
made a property-specific funding determination.
C. Interest -Bearing Accounts and Program Income
1.In accordance with 40 CFR 31.25(g)(2), the CAR is authorized to add program income to the
funds awarded by the EPA and use the program income under the same terms and conditions of this
agreement. Program income for the assessment CAR shall be defined as the gross income
received by the recipient, directly generated by the cooperative agreement award or earned during the
period of the award. Program income includes, but is not limited to, fees charged for conducting
assessment, site characterizations, clean up planning or other activities when the costs for the
activity is charged to this agreement.
2.The CAR must deposit advances of grant funds and program income (i.e. fees) in an interest
bearing account.
a. For interest earned on advances, CARs are subject to the provisions of 40 CFR
§31.21(i) to remitting interest on advances to EPA on a quarterly basis.
b. Interest earned on program income is considered additional program income.
c. The CAR must disburse program income (including interest earned on program
income) before requesting additional payments from EPA as required by 40 CFR
31.21(f).
IV. ASSESSMENT ENVIRONMENTAL REQUIREMENTS
A. Authorized Assessment Activities
1. Prior to conducting or engaging in any on-site activity with the potential to impact historic properties
(such as invasive sampling), the CAR shall consult with EPA regarding potential applicability of the
National Historic Preservation Act and, if applicable, shall assist EPA in complying with any requirements
of the Act and implementing regulations.
B. Quality Assurance (QA) Requirements
1. When environmental data are collected as part of the brownfields assessment, the CAR shall comply
with 40 CFR Part 31.45 requirements to develop and implement quality assurance practices sufficient to
produce data adequate to meet project objectives and to minimize data loss. State law may impose
additional QA requirements.
C. Completion of Assessment Activities
1. The CAR shall properly document the completion of all activities described in the EPA approved work
plan. This must be done through a final report or letter from a qualified environmental professional, or
other documentation provided by a State or Tribe that shows assessments are complete.
D. All Appropriate Inquiry
1. As required by CERCLA § 104(k)(2)(B)(ii) and CERCLA § 101(35)(B), the CAR shall ensure that a
Phase I site characterization and assessment carried out under this agreement will be performed
in accordance with EPA's standard for all appropriate inquiries. The CAR shall utilize the
practices in ASTM standard E1527-05 “Standard Practices for Environmental Site Assessment:
Phase I Environmental Site Assessment Process,” or EPA's All Appropriate Inquiries Final Rule
“All Appropriate Inquiries Rule: Reporting Requirements and Suggestions on Report Content”,
(Publication Number: EPA 560-F-06-244). This does not preclude the use of grant funds for
additional site characterization and assessment activities that may be necessary to characterize
the environmental impacts at the site or to comply with applicable State standards.
2. All Appropriate Inquiries (AAI) final reports produced with funding from this agreement must
comply with 40 C.F.R. Part 312 and must, at a minimum, include the information below. All AAI
reports submitted to EPA Project Officers as deliverables under this agreement must be
accompanied by a completed “Reporting Requirements Checklist” that EPA’s Project Officer will
provide to the recipient. The checklist also is available to grantees on the EPA website at
www.epa.gov/brownfields.
a. An opinion as to whether the inquiry has identified conditions indicative of releases or
threatened releases of hazardous substances, and as applicable, pollutants and
contaminants, petroleum or petroleum products, or controlled substances, on, at, in, or to the
subject property.
b. An identification of “significant” data gaps (as defined in 40 C.F.R. 312.10), if any, in the
information collected for the inquiry. Significant data gaps include missing or unattainable
information that affects the ability of the environmental professional to identify conditions
indicative of releases or threatened releases of hazardous substances, and as applicable,
pollutants and contaminants, petroleum or petroleum products, or controlled substances, on,
at, in, or to the subject property. The documentation of significant data gaps must include
information regarding the significance of these data gaps.
c.Qualifications and signature of the environmental professional(s). The environmental
professional must place the following statements in the document and sign the document:
•‘‘[I, We] declare that, to the best of [my, our] professional knowledge and belief, [I, we]
meet the definition of Environmental Professional as defined in §312.10 of this part.’’
•‘‘[I, We] have the specific qualifications based on education, training, and experience to
assess a property of the nature, history, and setting of the subject property. [I, We] have
developed and performed the all appropriate inquiries in conformance with the standards
and practices set forth in 40 CFR Part 312.’’
Note: Please use either “I” or “We.”
d. In compliance with §312.31(b), the environmental professional must include in the final report
an opinion regarding additional appropriate investigation , if the environmental
professional has such an opinion.
3. EPA may review checklists and AAI final reports for compliance with the AAI regulation
documentation requirements at 40 CFR part 312 (or comparable requirements for those using
ASTM Standard 1527-05). Any deficiencies identified during an EPA review of these documents
must be corrected by the recipient within 30 days of notification. Failure to correct any identified
deficiencies may result in EPA disallowing the costs for the entire AAI report as authorized by 40
CFR 31.43(a)(2). If a recipient willfully fails to correct the deficiencies the Agency may consider
other available remedies under 40 CFR 31.43 and 2 CFR Part 180.
V. Conflict of interest: Appearance of lack of Impartiality
A. Conflict of Interest
1.The CAR shall establish and enforce conflict of interest provisions that prevent the award of
subgrants that create real or apparent personal conflicts of interest, or the CAR’s appearance of lack of
impartiality. Such situations include, but are not limited to, situations in which an employee,
official, consultant, contractor, or other individual associated with the CAR (affected party) approves or
administers a grant or subgrant to a subgrant recipient in which the affected party has a
financial or other interest. Such a conflict of interest or appearance of lack of impartiality may arise
when:
(i) The affected party,
(ii) Any member of his immediate family,
(iii) His or her partner, or
(iv) An organization which employs, or is about to employ, any of the above,
has a financial or other interest in the subgrant recipient.
Affected employees will neither solicit nor accept gratuities, favors, or anything of monetary value
from subgrant recipients. Recipients may set minimum rules where the financial interest is not
substantial or the gift is an unsolicited item of nominal intrinsic value. To the extent permitted by
State or local law or regulations, such standards of conduct will provide for penalties, sanctions, or
other disciplinary actions for violations of such standards by affected parties.
VI. PAYMENT AND CLOSEOUT
A. Payment Schedule
1.The CAR may request payment from EPA pursuant to 40 CFR §31.21(c).
B. Schedule for Closeout
1.Closeout will be conducted in accordance with 40 CFR 31.50. EPA will close out the award when
it determines that all applicable administrative actions and all required work of the grant have been
completed.
2.The CAR, within 90 days after the expiration or termination of the grant, must submit all financial,
performance, and other reports required as a condition of the grant.
a. The CAR must submit the following documentation:
1. The Final Report as described in II.F.
2. A Final Federal Financial Report (FFR - SF425). Submitted to:
US EPA, Las Vegas Finance Center
4220 S. Maryland Pkwy, Bld C, Rm 503
Las Vegas, NV 89119
Fax: (702) 798-2423
http://www.epa.gov/ocfo/finservices/payinfo.html
3. A Final MBE/WBE Report (EPA Form 5700-52A). Submitted to the regional
office.
b. The CAR must ensure that all appropriate data has been entered into ACRES or all Property
Profile Forms are submitted to the Region.
c. The grantee must immediately refund to the Federal agency any balance of unobligated
(unencumbered) cash advanced that is not authorized to be retained for use on other grants.
- END OF DOCUMENT -
r---.. BRO .............--..""'fDS ASSESSMENT COOPERATIVE AGREEMENT
.' • .".r. , '~ . D WORK PLAN
FOR---"J-G
I· 'I -, 'jNSr _ "" \ :"'j.. u-C.# : t;t ~
DESCHUTES COUNTY EPA BROWNFIELDS COMMUNITY-WIDE ASSESSMENT
GRANTS FOR HAZARDOUS AND PETROLEUM SUBSTANCES
Project Period: October 1,2013 and end on September 30, 2016.
July 1,2013
Submitted by
Deschutes County Community Development Department
117 NW Lafayette Drive
Bend, OR 97701
Peter Gutowsky (Brownfield Project Manager)
Community Development Department Director
117 NW Lafayette Drive
Bend, OR 97701
541-385-1709 (Phone)
541-385-6575 (Fax)
peter.gutowsky@deschutes.org
http://www.deschutes.orgiCommunity-Development.aspx
DC -20 13 - 3 32
9. Will comply, as applicable, with the provisions of 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
the Davis-Bacon Act (40 U.S.C. 276a to 276a-7), the U.S.c. 1271 et seq.) Related to protecting components or potential
Copeland Act (40 U.S.c. 276c and 18 U.S.c. 874), and components of the national wild and scenic rivers system.
the Contract Work Hours and Safety Standards Act (40
U.S.C. 327-333), regarding labor standards for 13. Will assist the awarding agency in assuring compliance will
federally-assisted construction subagreement. Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection
10. Will comply, if applicable, with flood insurance of historic properties), and the Archaeological and Historic
purchase requirements of Section 102(a) of the Flood Preservation Act of 1974 (16 U.S.c. 469a-l et seq.).
Disaster Protection Act of 1973 (P.L. 93-234) which
requires recipients in a special flood hazard area to 14. Will comply with P.L. 93-348 regarding the protection of
participate in the program and to purchase flood human subjects involved in research, development, and related
insurance if the total cost of insurable construction and activities supported by this award of assistance.
acquisition is $10,000 or more.
15. Will comply with the Laboratory Animal Welfare Act of 1966
11. Will comply with environmental standards which (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) Pertaining to the
may be prescribed pursuant to the following: (a) care, handling, and treatment of warm blooded animals held for
institution of environmental quality control measures research, teaching, or other activities supported by this award of
under the National Environmental Policy Act of 1969 assistance.
(P.L. 91-190) and Executive Order (EO) 11514; (b)
notification ofviolating facilities pursuant to EO 16. Will comply with the Lead-Based Paint Poisoning Prevention
11738; (c) protection ofwetIands pursuant to EO Act (42 U.S.C. 4801 et seq.) Which prohibits the use oflead-based
11990; (d) evaluation of flood hazards in flood plains paint in construction or rehabilitation of residence structures.
in accordance with EO 11988; (e) assurance of project
consistency with the approved State management 17. Will cause to be performed the required financial and
program developed under the Coastal Zone compliance audits in accordance with the Single Audit Act
Management Act of 1972 (16 U.S.C. 1451 et seq.); (f) Amendments of 1996 and OMB Circular No. A-l33, "Audits of
conformity of Federal actions to State (Clean Air) States, Local Governments, and Non-Profit Organizations."
Implementation Plans under Section 176( c) of the
Clean Air Act of 1955, as amended (42 U.S.C. 7401 et 18. Will comply with all applicable requirements of all other
seq.); (g) protection of underground sources of drinking Federal laws, executive orders, regulations, and policies governing
water under the Safe Drinking Water Act of 1974, as this program.
amended (PL. 93-523); and, (h) protection of
endangered species under the Endangered Species Act
of 1973, as amended (P.L. 93-205).
I SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
(Aa--l~!
TITLE
Deschutes County Comrrlission (Chair)
APPLICANT ORGANIZATION
Deschutes County
DATE SUBMITTED
7-3-2013
.Standard Form 424B (Rev 4-2012) Back
Application for Federal Assistance SF-424
16. Congressional Districts Of:
• a. Applicant 2 • b. Program/P roject 12 I
Attach an additional list of Program/Project Congressional Districts if needed.
I I
17. Proposed Project:
• a. Start Date: 110-1-2013 1 • b. End Date: 19-30-2016 I
18. Estimated Funding ($):
'a. Federal $400,000.00
• b. Applicant
'c. State
• d.local
• e. other
'f. Program Income
'g. TOTAL $400,000.00
*19.ls Application Subject to Review By State Under Executive Order 12372 Process?
[] a. This application was made available to the State under the Executive Order 12372 Process for review on 1 1
[] b. Program is subject to E.O. 12372 but has not been selected by the State for review.
IX c. Program is not covered by E.O. 12372.
* 20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.) Applicant Federal Debt Delinquency Explanation
Yes fx'l No
21. 'By signing this application, I certify (1) to the statements contained in the list of certifications" and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances'-and agree to
comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may
subject me to criminal, civil, or administrative penalties. (U.S. Code, Title 218, Section 1001) o "IAGREE
" The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency
specific instructions.
Authorized Representative:
Prefix: IMr. 1 ' First Name: IAlan 1
Middle Name: 1 1
'last Name: 1Unger I
Suffix: 1 1
'Title: IDeschutes County Commissioner (Chair)
'Telephone Number: 1541, '>00 "'<;RQ I Fax Number: 1541 1
'Email: IAlan I '''' '=uvv' hutes.org 1
, Signature of Authorized Representative: I {,UtA.--LA---.A.I. I 'Date Signed: 17-3-2013 1
.
or:nA United Statn
0I;;.r'1-\Environmental Protection Agency
EPA Project Control Number
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS,
LOANS AND COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, 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, 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 in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard Form-LLL,
"Disclosure Form to Report Lobbying: in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the
award documents for all sub-awards at all tiers (including sub-contracts, sub-grants, and
contracts under grants, loans, and cooperative agreements) and that all sub-recipients
shall certify and disclose accordingly.
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 such failure.
Alan Unger, Deschutes County Commissioner Chair
Typed Name & Title of Authorized Representative
Signature and Date of Authorized Representative
EPA Form 6600-06 (Rev. 0612008) Previous editions are obsolete.
FORM Approved By OMB: No. 2030-0020 Expires 04,.30-2012
Preaward Compliance Review Report for
All Applicants and Recipients Requesting EPA Financial Assistance
Note: Read instructions on other side before comlJletine. form.
I. ApplicantlRecipient (Name, Address, State, Zip Code). I DUNS No.
Deschutes County, 1300 NW Wall Street, Bend, OR 97701 030805147
II. Is the applicant currently receiving EPA assistance?
No.
III. List all civil rights lawsuits and administrative complaints pending against the applicant/recipient that allege discrimination based on race,
color, national origin, sex, age, or disability. (Do not include employment complaints not covered by 40 C.F.R. Parts 5 and 7. See
instructions on reverse side.) N one.
IV. List all civil rights lawsuits and administrative complaints decided against the applicant/recipient within the last year that allege
discrimination based on race, color, national origin, sex, age, or disability and enclose a copy of all decisions. Please describe all corrective
action taken. (Do not include employment complaints not covered by 40 CF.R. Parts 5 and 7. See instructions on reverse side.)
None.
v. List all civil rights compliance reviews of the applicant/recipient conducted by any agency within the last two years and enclose a copy of the
review and any decisions, orders, or agreements based on the review. Please describe any corrective action taken. (40 CF.R. § 7.80(c)(3»
None.
VI. Is the applicant requesting EPA assistance for new construction? lfno, proceed to VII; if yes, answer (a) and/or (b) below.
Yes .f No
. If the grant is for new construction, will all new facilities or alterations to existing facilities be designed and constructed to be readily
accessible to and usable by persons with disabilities? If yes, proceed to VII; if no, proceed to VI(b). Yes No
b. Ifthe grant is for new construction and the new facilities or alterations to existing facilities wp, not be readily accessible to and usable by
persons with disabilities, explain how a regulatory exception (40 C.F.R. § 7.70) applies. es No
VII.· Does the applicant/recipient provide initial and continuing notice that it does not discriminate on the basis ofrace, color, national origin, sex,
age, or disability in its programs or activities? (40 CF.R. § 5.140 and § 7.95) .f Yes No
a. Do the methods of notice accommodate those v.ith impaired vision or hearing? .f Yes No
,. Is the notice posted in a prominent place in the applicant's offices or facilities or. for education programs and activities, in appropriate
periodicals and other "Titten communications? .f Yes No
c. Does the notice identify a designated civil rights coordinator? .f Yes No
VIII.· Does the applicant/recipient maintain demographic data on the race, color, national origin, sex, age, or handicap of the population it serves?
(40 C.F.R. § 7.85(a» y es.
IX." Does the applicant/recipient have a policy/procedure for providing access to services for persons with limited English proficiency?
(40 C.F.R. Part 7, E.O. l3l66) N o.
X.* If the applicant/recipient is an education program or activity, or has 15 or more employees, has it designated an employee to coordinate its
ompliance with 40 C.F.R. Parts 5 and 7? Provide the name, title, position, mailing address, e-mail address, fax number, and telephone
number of the designated coordinator. Erik Kropp, Deputy County Administrator/Risk Manager, 1300 NW a
XI" If the applicant/recipient is an education program or activity, or has 15 or more employees. has it adopted grievance procedures that assure
the prompt and fair resolution of complaints dlat allege a violation of 40 C.F.R. Parts 5 and 7? Provide a legal citation or Internet address
for, or a copy of, the procedures. http://www.deschutes.orQ/Accessibility.aspx
For the ApplicantIRecipient
I certify that the statements I have made on this form and all attachments thereto are true, accurate and complete. I acknowledge that any knowingly
false or misleading statement may be punishable by fine or imprisonment or both under applicable law. I assure that I will fully comply with all
applicable civil rights statutes and EPA regulations.
...----. -~-...---..--~. -----
A. Signa7il AUtilOriCl Official B. Title of Authorized Official C. Date
UAA ~A~. Deschutes Co. Commissioner (Chair) 7-3-13
u
For the U.S. Environmental Protection Agency
I have reviewed the information provided by the applicant/recipient and hereby certify that the applicant/recipient has submitted all preaward
compliance information required by 40 C.F.R. Parts 5 and 7; that based on the information submitted, this application satisfies the preaward provisions
of40 C.F.R. Parts 5 and 7; and that the applicant has given assurance that it will fully comply with all applicable civil rights statutes and EPA
regulations.
c-----....~ ----.. ~---------------------------_... ----....~----....-------------------
A. Signature of Authorized EPA Official B. Title of Authorized EPA Official C. Date
~p •• nnt.. nn I'f"vpro" .irlp -
EPA Form 4700-4 (Rev. 04/2009). Previous editions are obsolete.