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HomeMy WebLinkAboutResolution - 2002-R0152 - Grant Agreement For Drinking Water Security - Environmental Protection Agency - 04_25_2002Resolution No. 2002-RO152 April 25, 2002 Item No. 41 RESOLUTION BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: THAT the Mayor of the City of Lubbock is hereby authorized and directed to execute for and on behalf of the City of Lubbock a grant application, grant agreement and any associated documents by and between the City of Lubbock and the United States Environmental Protection Agency for drinking water security and vulnerability assessment purposes, a copy of which grant application and associated documents are attached hereto and which shall be spread upon the minutes of this Council and as spread upon the minutes of this Council shall constitute and be a part of this Resolution as if fully copied herein in detail. Passed by the City Council this 25th day of April , 2002. ATTEST: Rebecca Garza, City Secretary APPROVED AS TO CONTENT: erry Ellerbrook, Director of Public Wckka. APPROVED AS TO FORM: ald G. Vandiver, First Assistant City Attorney DDres/USEPAgrant..res April t6, 2002 0,*,PPLICATION FOR Resolution No. 2002-RO152 OMB Approval No. 0348-0043 d � FEDERAL ASSISTANCE 2. DATE. SUBMITTED Applicant Identifier April 25, 2002 1. TYPE OF SUBMISSION: 3. DATE RECEIVED BY STATE State Application Identifier A plication Preapplication 4. DATE RECEIVED BY FEDERAL AGENCY Federal Identifier [�] Construction ❑ Construction [� Non -Construction ❑ Non -Construction 5. APPLICANT INFORMATION Legal Name: Organizational Unit: City of Lubbock Water Utilities Address (give city, county, State, and zip code). Name and telephone number of person to be contacted on matters involvin P.O. Box 2000 this application (give area code) Lubbock, Texas 79457 Lubbock County Bruce Blalack (806)775-2613 6. EMPLOYER IDENTIFICATION NUMBER (EN): 7. TYPE OF APPLICANT: (enter appropriate ietterin box) oa -©Ea0 5 9 o a A. State H. Independent School Dist. B. County I. State Controlled Institution of Higher Learning 8. TYPE OF APPLICATION: ® New ❑ Continuation ❑ Revision C. Municipal J. Private University D. Township K. Indian Tribe If Revision, enter appropriate letter(s) in box(es) ❑ 0 E. Interstate L. Individual F. Intermunicipal M. Profit Organization A. Increase Award B. Decrease Award C. Increase Duration G. Special District N. Other (Specify) D. Decrease Duration Other(specify): 9. NAME OF FEDERAL AGENCY: U.S. Environmental Protection Agency 10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER: 11. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT: —F_M City of Lubbock Water System Vulnerability Assessment and Security TITLE: Project 12. AREAS AFFECTED BY PROJECT (Cities, Counties, States, etc.): City of Lubbock, Texas 13. PROPOSED PROJECT 14. CONGRESSIONAL DISTRICTS OF: Start Date Ending Date a. Applicant b. Project 06/15/200 12/31/2 03 13th and 19th 13th and 19th 15. ESTIMATED FUNDING 16. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS? a. Federal $ 00 115,000 a YES. THIS PREAPPLICATION/APPLICATION WAS MADE AVAILABLE TO THE STATE EXECUTIVE ORDER 12372 b. Applicant $ 00 PROCESS FOR REVIEW ON: c. State $ tl0 DATE d. Local $ 00 b. No. Q PROGRAM IS NOT COVERED BY E. O. 12372 ❑ OR PROGRAM HAS NOT BEEN SELECTED BY STATE e. Other $ .00 FOR REVIEW f. Program Income $ 00 17. IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT? ❑ Yes If "Yes," attach an explanation. ® No g. TOTAL 00 $115,000 18. TO THE BEST OF MY KNOWLEDGE AND BELIEF, ALL DATA IN THIS APPLICATIONIPREAPPLICATION ARE TRUE AND CORRECT, THE DOCUMENT HAS BEEN DULY AUTHORIZED BY THE GOVERNING ODY OF THE APPLICANT AND THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE IS AWARDE . a. Type Name of Authorized Representative b. Tie c. Telephone Number Windy Sitton y (806)775-2010 d. Signature of Authorized Representative e. Date Signed April 25, 2002 Previous Edition Usable Authorized for Local Reproduction A ST: Re_b4cca Garza, City ecretar Ap roves as to to iTlt Standard Form 424 (Rev. 7-97) Prescribed by OMB Circular A-102 INSTRUCTIONS FOR THE SF-424 Public reporting burden for this collection of information is estimated to average 45 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other asPect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0043), Washington, DC 20503. PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY. This is a standard form used by applicants as a required facesheet for preapplications and applications submitted for Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have established a review and comment procedure in response to Executive Order 12372 and have selected the program to be included in their process, have been given an opportunity to review the applicant's submission. Item: Entry: 1. Self-explanatory. 2. Date application submitted to Federal agency (or State if applicable) and applicant's control number (if applicable). 3. State use only (if applicable). 4. If this application is to continue or revise an existing award, enter present Federal identifier number. If for a new project, leave blank. 5. Legal name of applicant, name of primary organizational unit which will undertake the assistance activity, complete address of the applicant, and name and telephone number of the person to contact on matters related to this application. 6. Enter Employer Identification Number (EIN) as assigned by the Internal Revenue Service. 7. Enter the appropriate letter in the space provided. 8. Check appropriate box and enter appropriate letter(s) in the space(s) provided: — "New" means a new assistance award. -- "Continuation" means an extension for an additional funding/budget period for a project with a projected completion date. — "Revision" means any change in the Federal Government's financial obligation or contingent liability from an existing obligation. Name of Federal agency from which assistance is being requested with this application. 10. Use the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested. 11. Enter a brief descriptive title of the project. If more than one program is involved, you should append an explanation on a separate sheet. If appropriate (e.g., construction or real property projects), attach a map showing project location. For preapplications, use a separate sheet to provide a summary description of this project. Item: Entry: 12, List only the largest political entities affected (e.g., State, counties, cities). 13. Self-explanatory. 14. List the applicant's Congressional District and any District(s) affected by the program or project. 15. Amount requested or to be contributed during the first funding/budget period by each contributor. Value of in - kind contributions should be included on appropriate lines as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses. If both basic and supplemental amounts are included, show breakdown on an attached sheet. For multiple program funding, use totals and show breakdown using same categories as item 15. 16. Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process. 17. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans and taxes. 18. To be signed by the authorized representative of the applicant. A copy of the governing body's authorization for you to sign this application as official representative must be on file in the applicant's office. (Certain Federal agencies may require that this authorization be submitted as part of the application.) SF-424 (Rev. 7-97) Back Resolution No. 2002-RO152 10 BUDGET INFORMATION - Non -Construction Programs OMB Approval No.0348-0044 SECTION A - BUDGET SUMMARY Grant Program Function or Activity a Catalog of Federal Domestic Assistance Number b Estimated Unobligated Funds New or Revised Budget Federal c Non -Federal d Federal e Non -Federal Total 1. $ $ $ $ $ 2. 3. 4. 5. Totals $ $ $ $ $ SECTION B - BUDGET CATEGORIES 6. Object Class Categories GRANT PROGRAM, FUNCTION OR ACTIVITY Total (5) (1) (2) (3) (4) a. Personnel $ $ $ $ $ b. Fringe Benefits c. Travel d. Equipment e. Supplies f. Contractual 115,000 115,000 g. Construction h. Other i. Total Direct Charges (sum of 6a-6h) 1 000 115,000 j. Indirect Charges k. TOTALS (sum of 6i and 6j) $ 115, 000 $ $ $ $ 115,000 7. Program Income $ 0 Is Is $ Fs 0 Authorized for Local Reproduction Standard Form 424A (Rev. 7-97) Previous Edition Usable Prescribed by OMB Circular A-102 SECTION C - NON-FEDERAL RESOURCES (a) Grant Program (b) Applicant (c) State (d) Other Sources (e) TOTALS 8. $ $ $ $ 9. 10. 11. 12. TOTAL (sum of lines 8-11) $ $ $ $ SECTION D - FORECASTED CASH NEEDS 13. Federal Total for 1st Year 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter $ $ $ $ $ 14. Non -Federal 15. TOTAL (sum of lines 13 and 14) $ Is $ $ $ SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT (a) Grant Program FUTURE FUNDING PERIODS Years b First c Second d Third a Fourth 16. $ $ $ $ 17. 18. 19. 20. TOTAL (sum of lines 16-19) $ $ $ $ SECTION F - OTHER BUDGET INFORMATION 21. Direct Charges: 22. Indirect Charges: 23. Remarks: Authorized for Local Reproduction Standard Form 424A (Rev. 7-97) Page 2 INSTRUCTIONS FOR THE SF-424A Public reporting burden for this collection of information is estimated to average 180 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0044), Washington, DC 20503. PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY. General Instructions This form is designed so that application can be made for funds from one or more grant programs. In preparing the budget, adhere to any existing Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be separately shown for different functions or activities within the program. For some programs, grantor agencies may require budgets to be separately shown by function or activity. For other programs, grantor agencies may require a breakdown by function or activity. Sections A, B, C, and D should include budget estimates for the whole project except when applying for assistance which requires Federal authorization in annual or other funding period increments. In the latter case, Sections A, B, C, and D should provide the budget for the first budget period (usually a year) and Section E should present the need for Federal assistance in the subsequent budget periods. All applications should contain a breakdown by the object class categories shown in Lines a-k of Section B. Section A. Budget Summary Lines 1-4 Columns (a) and (b) For applications pertaining to a single Federal grant program (Federal Domestic Assistance Catalog number) and not requiring a functional or activity breakdown, enter on Line 1 under Column (a) the Catalog program title and the Catalog number in Column (b). For applications pertaining to a single program requiring budget amounts by multiple functions or activities, enter the name of each activity or function on each line in Column (a), and enter the Catalog number in Column (b). For applications pertaining to multiple programs where none of the programs require a breakdown by function or activity, enter the Catalog program title on each line in Column (a) and the respective Catalog number on each line in Column (b). For applications pertaining to multiple programs where one or more programs require a breakdown by function or activity, prepare a separate sheet for each program requiring the breakdown. Additional sheets should be used when one form does not provide adequate space for all breakdown of data required. However, when more than one sheet is used, the first page should provide the summary totals by programs. Lines 1-4, Columns (c) through (g) For new applications, leave Column (c) and (d) blank. For each line entry in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate amounts of funds needed to support the project for the first funding period (usually a year). For continuing grant program applications, submit these forms before the end of each funding period as required by the grantor agency. Enter in Columns (c) and (d) the estimated amounts of funds which will remain unobligated at the end of the grant funding period only if the Federal grantor agency instructions provide for this. Otherwise, leave these columns blank. Enter in columns (e) and (f) the amounts of funds needed for the upcoming period. The amount(s) in Column (g) should be the sum of amounts in Columns (e) and (f). For supplemental grants and changes to existing grants, do not use Columns (c) and (d). Enter in Column (e) the amount of the increase or decrease of Federal funds and enter in Column (f) the amount of the increase or decrease of non -Federal funds. In Column (g) enter the new total budgeted amount (Federal and non -Federal) which includes the total previous authorized budgeted amounts plus or minus, as appropriate, the amounts shown in Columns (e) and (f). The amount(s) in Column (g) should not equal the sum of amounts in Columns (e) and (f). Line 5 - Show the totals for all columns used. Section B Budget Categories In the column headings (1) through (4), enter the titles of the same programs, functions, and activities shown on Lines 1-4, Column (a), Section A. When additional sheets are prepared for Section A, provide similar column headings on each sheet. For each program, function or activity, fill in the total requirements for funds (both Federal and non -Federal) by object class categories. Line 6a-i - Show the totals of Lines 6a to 6h in each column. Line 6j - Show the amount of indirect cost. Line 6k - Enter the total of amounts on Lines 6i and 6j. For all applications for new grants and continuation grants the total amount in column (5), Line 6k, should be the same as the total amount shown in Section A, Column (g), Line 5. For supplemental grants and changes to grants, the total amount of the increase or decrease as shown in Columns (1)-(4), Line 6k should be the same as the sum of the amounts in Section A, Columns (e) and (f) on Line 5. Line 7 - Enter the estimated amount of income, if any, expected to be generated from this project. Do not add or subtract this amount from the total project amount, Show under the program SF-424A (Rev. 7-97) Page 3 INSTRUCTIONS FOR THE SF-424A (continued) narrative statement the nature and source of income. The Line 15 - Enter the totals of amounts on Lines 13 and 14. estimated amount of program income may be considered by the Federal grantor agency in determining the total amount of the Section E. Budget Estimates of Federal Funds Needed for grant. Balance of the Project Section C. Non -Federal Resources Lines 8-11 Enter amounts of non -Federal resources that will be used on the grant. If in -kind contributions are included, provide a brief explanation on a separate sheet. Column (a) - Enter the program titles identical to Column (a), Section A. A breakdown by function or activity is not necessary. Column (b) - Enter the contribution to be made by the applicant. Column (c) - Enter the amount of the State's cash and in -kind contribution if the applicant is not a State or State agency. Applicants which are a State or State agencies should leave this column blank. Column (d) - Enter the amount of cash and in -kind contributions to be made from all other sources. Column (e) - Enter totals of Columns (b), (c), and (d). Line 12 - Enter the total for each of Columns (b)-(e). The amount in Column (e) should be equal to the amount on Line 5, Column (0, Section A. Section D. Forecasted Cash Needs Line 13 - Enter the amount of cash needed by quarter from the grantor agency during the first year. Line 14 - Enter the amount of cash from all other sources needed by quarter during the first year. Lines 16-19 - Enter in Column (a) the same grant program titles shown in Column (a), Section A. A breakdown by function or activity is not necessary. For new applications and continuation grant applications, enter in the proper columns amounts of Federal funds which will be needed to complete the program or project over the succeeding funding periods (usually in years). This section need not be completed for revisions (amendments, changes, or supplements) to funds for the current year of existing grants. If more than four lines are needed to list the program titles, submit additional schedules as necessary. Line 20 - Enter the total for each of the Columns (b)-(e). When additional schedules are prepared for this Section, annotate accordingly and show the overall totals on this line. Section F. Other Budget Information Line 21 - Use this space to explain amounts for individual direct object class cost categories that may appear to be out of the ordinary or to explain the details as required by the Federal grantor agency. Line 22 - Enter the type of indirect rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied, and the total indirect expense. Line 23 - Provide any other explanations or comments deemed necessary. SF-424A (Rev. 7-97) Page 4 Resolution No. 2002—RO152 OMB Approval No. 0348-0040 ASSURANCES - NON-CONSTR06TION PROGRAMS Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 2050" PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY. NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified. As the duly authorized representative of the applicant, I certify that the applicant: 1 • Has the legal authority to apply for Federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay the non -Federal share of project cost) to ensure proper planning, management and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States and, if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§4728-4763) relating to prescribed standards for merit systems for programs funded under one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681- 1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee- 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title Vill of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) underwhich application for Federal assistance is being made; and, 0) the requirements of any other nondiscrimination statute(s) which may apply to the application. Will comply, or has already complied, with the requirements of Titles 11 and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally -assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. 8. Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. Previous Edition Usable Standard Form 424E (Rev. 7-97) Authorized for Local Reproduction Prescribed by OMB Circular A-102 9. Will comply, as applicable, with the provisions of the Davis - Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327- 333), regarding labor standards for federally -assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and, (h) protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93- 205). 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 et seq.). 14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. 16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§4801 et seq.) which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-133, "Audits of States, Local Governments, and Non -Profit Organizations." 18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations, and policies governing this program. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE n -- ayor 4d__ APPLICANT ORGANiZATICYQDATE SUBmrrTED City of Lubbock, Texas 04/25/2002 Standard Form 424B (Rev. 7-97) Back EST: AP d as to form: Rebecca Garza, City Secreta y ,_ . city Attorney Resolution No. 2002-RO152 ^EPA United States 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 agreem ent. (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. Windy Sitton, Mayor Typed Na & ttleof Authorized Rep sentative April 25, 2002 Signature o f Authorized Representative Date t ATTEST: Appr ved as to f :ni: Rebecca Garza, Cit Secreta Y ., , •,, city ,..-illivy Resolution No. 2002-RO152 ' E United States EnvirQztimental Protection Agency r EPA Project Control Number United States Environmental Protection Agency Washington, DC 20460 Certification Regarding Debarment, Suspension, and Other Responsibility Matters The prospective participant certifies to the best of its knowledge and belief that itand the principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three year period preceding this proposal been convicted of or had a civil judg men t rendered against them for com mission o f fraud or a criminal offens a in con nection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) tran saction or co ntr act un de r a p ub lic trap sac tion : viola tion of F ad era t or S late an titru st st atu tes or c om mis sio n o f embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen prope rty; (c) Are not presently indicted for otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1) (b) of this certification; and (d) Have not within a three-year period preceding this ap plic atio n/p rop os al had one or more public transactions (Federal, State, or local) terminated or cause or default. I un de rsta nd tha t a fa Ise state me nt o n th is ce rtific atio n m ay b e g rou nd for rej ection of this pro po sal o r termination of the award. In add ition, unde r 18 U SC S ec. 1001, a false statem ent ma y result in a fine of up to $10,000 or imprisonment for up to 5 years, orboth. 1 am unable to certify to the above statements. My explanation is attached. EPA Form 5700-49 (11-88) AT, oved as to Rebecca Garza, City Secreta s.. city Attofney Resolution No. 2002—RO152 Washington, DC 20460 FORM Approved Preaward Compliance Review Report for. OMB No. 2090-0014 All Applicants Requesting Federal Financial Assistance. Expires 4-30-99 Note: Read instructions before completing form. I. A. Applicant (Name, City, State) B. Recipient (Name, City, State) C. EPA Project No. City of Lubbock Lubbock, Texas II. Brief description of proposed project, program or activity. City of Lubbock Water System Vulnerability Assessment And Security Project III. Are any civil rights lawsuits or complaints pending against applicant and/or recipient? If yes, list those complaints and the disposition of each complaint. Yes ® No IV. Have any civil rights compliance reviews of the applicant and/or recipient been conducted by any Federal agency during the two years prior to this application for activities which would Yes ® No receive EPA assistance? If yes, list those compliance reviews and status of each review. V. Is any other Federal financial assistance being applied for or is any other Federal financial assistance being applied to any portion of this project, program or activity? If yes, list the other Yes ® No Federal Agency(s), describe the associated work and the dollar amount of assistance. VI. If entire community under the applicant's jurisdiction is not served under the existing facilities/services, or will not be served under the proposed plan, give reasons why. NA VII. Population Characteristics Number of peo le 1. A. Population of Entire Service Area NX- B. Minority Population of Entire Service Area NA 2. A. Population Currently Being Served NA B. Minority Population Currently Being Served NA 3. A. Population to be Served by Project, Program or Activity NA B. Minority Population to be Served by Project, Program or Activity 4. A. Population to Remain Without Service NA B. Minority Population to Remain Without Service NA VII. Will all new facilities or alterations to existing facilities financed by these funds be designed and constructed to be readily accessible to and usable by handicapped persons? If no, Yes No explain how a regulatory exception (40 CFR 7.70) applies. NA IX. Give the schedule for future projects, programs or activities (or of future plans), by which services will be provided to all beneficiaries within applicant's jurisdiction. If there is no schedule, explain why. NA X. I certify that the statements I have made on this form and all attachments thereto are true, accurate and complete. I ac owledge that any knowingly false or misleading statement may be punishable by fine or imprisonment or both under /qAiplicable law. __-- igna of cia B. Title of Authorized Official C. Date Mayor I ,; April 25, 2002 For the U.S. Environmental Protection A enc Approved Disapproved Authorized EPA Official Date EPA Form 4700-4 (Rev. 1/90) Previous editions are obsolete. A ST: Rebecca Garza, City Secreta Approved Instructions for EPA FORM 4700-4 (Rev. 1/90 General Recipients of Federal financial assistance from the U.S. Environmental Protection Agency must comply with the following statutes. Title VI of the Civil Rights Acts of 1964 provides that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. The Act goes on to explain that the title shall not be construed to authorize action with respect to any employment practice of any employer, employment agency, or labor organization (except where the primary objective of the Federal financial assistance is to provide employment). Section 13 of the 1972 Amendments to the Federal Water Pollution Control Act provides that no person in the United States shall on the ground of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under the Federal Water Pollution Control Act, as amended. Employment discrimination on the basis of sex is prohibited in all such programs or activities. Section 504 of The Rehabilitation Act of 1973 provides that no otherwise qualified handicapped individual shall solely by reason of handicap be excluded from participation in, be denied the benefit of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. Employment discrimination on the basis of handicap is prohibited in all such programs or activities. The Age Discrimination Act of 1975 provides that no person on the basis of age shall be excluded from participation under any program or activity receiving Federal financial assistance. Employment discrimination is not covered. Age discrimination in employment is prohibited by the Age Discrimination in Employment Act administered by the Equal Employment Opportunity Commission. Title IX of the Education Amendments of 1972 provides that no person on the basis of sex shall be excluded from participation in, be denied the benefit of, or be subjected to discrimination under any education program or activity receiving Federal financial assistance. Employment discrimination on the basis of sex is prohibited in all such education programs or activities. Note: an education program or activity is not limited to only those conducted by a formal institution. The information on this form is required to enable the U.S. Environmental Protection Agency to determine whether applicants and prospective recipients are developing projects, programs and activities on a nondiscriminatory basis as required by the above statutes. IA. "Applicant" means any entity that files an application or unsolicited proposal or otherwise requests EPA assistance. IB. "Recipient" means any entity, other than applicant, which will actually receive EPA assistance. IC. Self-explanatory. II. Self-explanatory. III. "Civil rights lawsuits" means any lawsuit or complaint alleging discrimination on the basis of race, color, national origin, sex, age, or handicap pending against the applicant and/or entity, which actually benefits from the grant. For example, if a city is the named applicant but the grant will actually benefit the Department of Sewage, civil rights lawsuits involving both the city and the Department of Sewage should be listed. IV. "Civil rights compliance review" means any review assessing the applicant and/or recipient's compliance with laws prohibiting discrimination on the basis of race, color, national origin, sex, age, or handicap. If any part of the review covered the entity, which will actually benefit from the grant, it should be listed. V. Self-explanatory. VI. The word "community" refers to the area under the applicant and/or recipient's Jurisdiction. The "community" might be a university or laboratory campus, or a community within a large city. If there is significant disparity between minority and nonminority populations to receive service, not otherwise satisfactorily explained, the Regional office may require a map, which indicates the minority and nonminority population served by this project, program or activity. II. This information is required so that reviewers may determine if a disparity in the proposed provision of services will exist in the event the application is approved for funding. Give population of recipient's jurisdiction, broken out by categories as specified. In the event the applicant cannot provide the requested information because the funds will be distributed over a wide demographic area, which is yet to be determined, an explanation may be provided on a separate sheet. For example, a State applying for a capitalization grant under the State Revolving Fund program may not know which cities and counties will apply for, and receive, SRF loans. II. Self-explanatory. IX. "Jurisdiction" means the geographical area over which applicant has the authority to provide service. required copies of applications, requests for extensions, requests for increase of funds, etc. Updates of information are all that are required after the initial application submission. If any item is not relevant to the project for which assistance is requested, write "NA" for "Not Applicable." In the event applicant is uncertain about how to answer certain questions, EPA program officials should be contacted for clarification. X. Self-explanatory. "Burden Disclosure Statement" EPA estimates public reporting burden for the preparation of this form to average 30 minutes per response. This estimate includes the time for reviewing instructions, gathering and maintaining the data needed and completing and reviewing the form. Send comments regarding the burden estimate, including suggestions for reducing this burden, to Chief, Information Policy Branch, PM-223, U.S. Environmental Protection Agency, 401 M Street, S.W., Washington, D.C. 20460; and to the Office of Information and Regulatory Affairs, Office of Manacement and Sudcret. Washington. D.C_ 20503. Resolution No. 2002—R 0152 CITY OF LUBBOCK WATER SYSTEM VULNERABILITY ASSESSMENT AND SECURITY PROJECT NARRATIVE STATEMENT OF WORK PLAN 1. Work areas that will be performed under this grant include: A. Vulnerability Assessment (V/A) B. Emergency Operations Plan Revision C. Security Enhancement Planning and Design The Vulnerability Assessment (V/A) will be completed first. If grant funds remain after the completion of the V/A, they will be applied to performing the Emergency Operations Plan Revision. If grant funds still remain after completion of the Emergency Operation Plan, they will be applied to performing the Security Enhancement Planning and Design. At whatever point the work costs exceed the grant funds, the City of Lubbock will provide the difference needed to complete the proj ect. 2. Technical Point of Contact: Primary Contact: Bruce Blalack Water Production & Treatment Superintendent P.O. Box 2000 Lubbock, Texas 79457 Office Telephone: (806)775-2613 Fax Telephone: (806)763-9824 Email Address: bblalack ,mail.ci.1ubbock.tx.us Secondary Contact: Gary Essary Water System Supervisor P.O. Box 2000 Lubbock, Texas 79457 Office Telephone: (806)775-2610 Fax Telephone: (806)763-9824 Email Address: eg ssary@mai1.ci.1ubbock.tx.us 3. While EPA does not require a cost share for this assistance program, the City of Lubbock will provide the additional funds required to complete the work described in this project. 4. Description of the City of Lubbock Water Utilities Service: • City of Lubbock Water Utilities is a publicly owned community water system. • Public Water System Identification Number (PWS ID): 1520002 • Number of Treatment Facilities In System: 2 • Annual Average Daily Flow (MGD) Including Retail and Wholesale Customers: 38.95 MGD • Number of Service Connections Within and Adjacent to Lubbock City Limits: 71,230 • Average Number of People Served Per Connection: 2.9 • Total Number of People Regularly Served by the Lubbock System: The population of the City of Lubbock is approximately 202,212. After adding its direct wholesale customers, including three (3) nearby small municipalities the population served increases to approximately 206,067. In addition to this number, the City of Lubbock Water Treatment Plant treats water that is supplied to seven (7) other municipalities. After adding the populations of these municipalities, the total number of people regularly served by the Lubbock system is approximately 254,746. 5. Project Description: The three (3) components of this project consist of developing and performing a vulnerability assessment of the City of Lubbock drinking water system, revising the emergency operations plan, and planning and designing security enhancements. A. Vulnerability Assessment (V/A) The V/A will be developed and performed by a qualified contractor or consultant using the vulnerability assessment methodology model developed by the Sandia National Laboratories. The V/A will consist of a systematic analysis using this methodology to determine the malevolent risks posed to the operations of the City of Lubbock water supply, treatment, and distribution systems. At a minimum the V/A will consist of a thorough and systematic evaluation of the Lubbock water system, characterized by the following eight (8) elements: 1. Determination of water system objectives by: • Identifying the important missions/functions of the system to be assessed, • Identifying the undesirable consequences that could affect the missions/functions, • Determining the assets that need to be protected to minimize the impacts of the undesirable events/consequences, • Determining the malevolent acts that could reasonably cause these events/consequences. 2. Prioritization of adverse events/consequences affecting the water system and the surrounding community including: 0 Loss of critical function and/or major service disruption, • Intentional attack on public safety via water Utility assets, contamination of the water supply, and chemical releases or chemical theft. 3. Definition of how the malevolent acts might be conducted, such as: • Physical damage, • Chemical, biological, and radiological contamination, • Cyber attacks on the Supervisory Control and Data Acquisition (SCADA) or other process control systems, • Interdependency disruptions (e.g., electrical, transportation, etc.) 4. Assessment of the likelihood (qualitative probability) of such malevolent acts from defined threat sources (e.g. terrorist, insider, determined vandal, casual vandal, etc.) 5. Systematic site characterization of the water system to include the collection of performance data on: • Important facilities, processes, and assets, • Physical protection system features of deterrence, detection, delay, and response, • Cyber protection system features, • Security policies and procedures and compliance with same. 6. The approach to the V/A will be "performance -based," meaning that it will evaluate the risk to the water system based on the effectiveness of the security system against the specific malevolent acts determined in the initial step. 7. The V/A will determine the most critical assets (targets) in the water system, detail their interrelationships within other assets in the system, identify the consequences of malevolent acts that could be directed against them, and evaluate the effectiveness of both existing and proposed protection systems. 8. The V/A will identify the system's vulnerabilities and provide a prioritized plan for security upgrades, reasonable redundancy of selected system, components, modifications of operational procedures, and/or policy changes to mitigate identified risks to critical assets. The V/A also will provide a basis for comparing the cost of protection against the risks posed. The overall goal of the V/A is to develop recommendations that lead to a cost- effective, balanced security protection system with regards to the malevolent acts identified. In accordance with The City of Lubbock policies and procedures, a Request For Proposal (RFP) will be developed and sent out to prospective contractors and consultants. The RFP will include a complete description of the work to be performed. The proposals returned in response to the RFP will be reviewed and evaluated, and qualifications and references will be verified and checked. The best proposal will be selected. A contract will be negotiated with the contractor or consultant that submitted the selected proposal. The minimum qualifications of the contractor or consultant shall include proof of training in performing Vulnerability Assessments based on the Sandia National Laboratories methodology (preferably certified or licensed by Sandia National Laboratories) and documented extensive past experience in engineering and/or security related work. In addition the contractor or consultant must provide adequate assurance or proof that they will be able to complete the V/A and deliver the final V/A report within the time frame required in the grant Terms and Conditions. B. Emergency Operations Plan Revision Upon completion of the V/A, the contractor or consultant will use the information obtained to make pertinent and appropriate recommendations for revising the existing Emergency Operations Plan. C. Security Enhancement Planning and Design Upon completion of the V/A, the contractor or consultant will use the information obtained to develop plans and designs to improve the security of the various water system components and facilities. This work will include all the necessary designs, drawings, construction and equipment specifications, cost estimates and bid documents to reasonably mitigate identified risks to critical assets. This work will include security additions and upgrades, additional system component redundancy as reasonable, and other related facility modifications. 6. The V/A will be completed within six months of the grant award, or by the end of calendar year 2002, whichever is later, subject to the grant Terms and Conditions. All other work proposed herein will be completed by December 31, 2003. 7. The Vulnerability Assessment (V/A) will be completed first. If grant funds remain after the completion of the V/A, they will be applied to performing the Emergency Operations Plan Revision. If grant funds still remain after completion of the Emergency Operation Plan, they will be applied to performing the Security Enhancement Planning and Design. At whatever point the work costs exceed the grant funds, the City of Lubbock will provide the difference needed to complete the project. Detailed Itemized Budget: A detailed budget section immediately follows this paragraph in order to comply with the grant application instructions. It is the intention of the City of Lubbock to utilize the proposed funds for hiring a contractor or consultant to perform the project work described. If the project costs exceed the grant funds provided, the City of Lubbock will provide the funds needed to complete the work. Given the short time frame provided to 4 complete this application and the lack of past experience with similar projects, the cost for each component of the project can not be estimated. Budget Detail Personnel: NA Fringe Benefits: NA Travel: NA Supplies: NA Equipment: NA Contractual: $115,000 Construction: NA Other: NA Total Direct Costs: $115,000 Indirect Charges: NA Total Project Costs: $115,000 Documentation Demonstrating The Qualifications Of The Company To Complete The Project: The minimum qualifications of the contractor or consultant shall include proof of training in performing Vulnerability Assessments based on the Sandia National Laboratories methodology (preferably certified or licensed by Sandia National Laboratories) and documented extensive past experience in engineering and/or security related work. In addition the contractor or consultant must provide adequate assurance or proof that they will be able to complete the V/A and deliver the final V/A report within the time frame required in the grant Terms and Conditions. 5 Key Contact Information: The key contact for the City of Lubbock for all aspects of this grant will be: Bruce Blalack Water Production & Treatment Superintendent City of Lubbock P.O. Box 2000 Lubbock, Texas 79457 Office Telephone: (806)775-2613 Fax Telephone: (806)763-9824 Email Address: bblalack(cr�,mai1.ci.lubbockAx.us All payments should be paid to the City of Lubbock at the address above. Resolution No. 2002-RO152 HS - 82993801 - 0 Page 1 ASSISTANCE ID NO. U.S. ENVIRONMENTAL DATE OF AWARD PRG DOC ID AMEND# HS - 82993801 - 0 PROTECTION AGENCY 6 ZI S ba TYPE OF ACTION MAILt DATE New �a o�0 Grant Agreement PAYMENT METHOD: ACH# �� RECIPIENT TYPE: Send Payment Request to: i Municipal Las Vegas Finance Center RECIPIENT: PAYEE: City of Lubbock City of Lubbock PO Box 2000 PO Box 2000 Lubbock, TX 79457 Lubbock, TX 79457 EIN: 75-6000590 PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST Bruce Blalack Sylvia Ritzky Michelle Humphrey PO Box 2000 1445 Ross Avenue, 6WQ-A Grants Administration Division, 3903R Lubbock, TX 79457 Dallas, TX 75202-2733 E-Mail: Humphrey. Michelle@epa.gov E-Mail: bblalack@mail.ci.lubbock.tx.us E-Mail: Ritzky.Sylvia@epa.gov Phone:202-564-5329 Phone:806-775-2613 Phone:214-665-8189 PROJECT TITLE AND DESCRIPTION Vulnerability Assessments and Related Security Improvements at Large Drinking Water Utilities The objective of this program is to reduce the vulnerabilities that large drinking water utilities present to a terrorist attack. PWSID No.: TX1520002 BUDGET PERIOD PROJECT PERIOD 7$115,000.00 TOTAL BUDGET PERIOD COST TOTAL PROJECT PERIOD COST 06/15/2002 - 12/31/2003 06/15/2002 - 12/31/2003 1 $115,000.00 NOTE: The Agreement must be completed in duplicate and the Original returned to the appropriate Grants Management Office listed below, within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA. Receipt of a written refusal or failure to return the properly executed document within the prescribed time, may result in the withdrawal of the offer by the Agency. Any change to the Agreement by the Recipient subsequent to the document being signed by the EPA Award Official, which the Award Official determines to materially alter the Agreement, shall void the Agreement. OFFER AND ACCEPTANCE The United States, acting by and through the U.S. Environmental Protection Agency (EPA), hereby offers Assistance/Amendment to the City of Lubbock for 100.00 % of all approved costs incurred up to and not exceeding $115,000 for the support of approved budget period effort described in application (including all application modifications) cited in the Project Title and Description above, signed 04/25/2002 included herein by reference. ISSUING OFFICE (GRANTS MANAGEMENT OFFICE) AWARD APPROVAL OFFICE ORGANIZATION / ADDRESS ORGANIZATION / ADDRESS Grants Administration Division Office of Water 1200 Pennsylvania Ave, NW OW 3903R 1200 Pennsylvania Ave, NW Washington, DC 20460 Washington, DC 20460 THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY N TU E WA OFFICIAL TYPED NAME AND TITLE DATIj Mildred Lee, Chief - Grants Operations Branch A 6i` CjE his agreement is subject to appli ble U.S. Environmental Protection Agency statutory provisions and assistance regulations. In accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned represents that he is duly authorized to act on behalf of the recipient organization, and (2) the recipient agrees (a) that the award is subject to the applicable provisions of 40 CFR Chapter 1, Subchapter B and of the provisions of this agreement (and all attachments), and (b) that acceptance of a ayments constitutes an agreement by the payee that the amounts, if any found by EPA to have been overpaid will be refunde credited ' ull to EPA. '$Y AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION SIGN E i TYPED NAME AND TITLE DATE �Y'= Marc McDougal, Mayor 7/23/02 ®� ATTEST';. r!f Reblecca Garza, City Secret App Oved as to content: erry lerbrook, Director of ApffAKd as to to Public City Attorney Works EPA Funding Information . HS - 82993801- 0 Page 2 FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL EPA Amount This Action $ $ 115,000 $ 115,000 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 $ 115,000 $ 115,000 Assistance Program (CFDA) Statutory Authority Regulatory Authority 66.476 - Security Planning Grants for Large Drinking Water Utilities Safe Drinking Water Act: Sec. 1442 40 CFR PART 31 Fiscal Site Name DCN FY Approp. Code Budget Organization PRC Object Class Site/Project Cost Organization Obligation ! Deobligation SUP108 2002 C9 40BOCUF 20103E 4183 115,000 115,000 HS - 82993801 - 0 Page 3 Budqet Summary Paqe Table A - Object Class Category (Non -construction) Total Approved Allowable Budget Period Cost 1. Personnel $0 2. Fringe Benefits $0 3. Travel $0 4. Equipment $0 S. Supplies $0 6. Contractual $115,000 7. Construction $0 B. Other $0 9. Total Direct Charges $115,000 10. Indirect Costs: % Base $0 11. Total (Share: Recipient 0.00 % Federal 100.00 %.) $115,000 12. Total Approved Assistance Amount $115,000 13. Program Income $0 HS - 82993801 - 0 Page 4 Administrative Conditions 1. In accordance with Section 2(d) of the Prompt Payment Act (P.L. 97-177), Federal funds may not be used by the recipient for the payment of interest penalties to contractors when bills are paid late nor may interest penalties be used to satisfy cost sharing requirements. Obligations to pay such interest penalties will not be obligations of the United States. 2. Rights to inventions made under this assistance agreement are subject to the provisions of Title 37 Code of Federal Regulations (CFR), Part 401, 'Rights to Inventions Made by Nonprofit Organizations and Small Business Firms under Government Grants, Contracts, and Cooperative Agreements', as revised through the date of this assistance agreement. 3. The recipient understands that none of the funds for this project (including funds contributed by the recipient as cost sharing) may be used to pay for the travel of Federal employees or for other costs associated with Federal participation in this project. Except however, if a Federal agency is selected through the recipient's procurement process to carry out some of the work as a contractor to the recipient, funds may be used to allow necessary Federal travel and other costs associated with Federal participation in this project. 4. The recipient agrees to comply with the MBE/WBE terms and conditions outlined in Attachment A. 5. By accepting this agreement for the electronic method of payment through the Automated Clearing House (ACH) network using the EPA-ACH payment system, the recipient agrees to: (a) Request funds based on the recipient's immediate disbursement requirements by presenting an EPA-ACH Payment Request to your EPA Servicing Finance Office (see EPA-ACH Payment System Recipient's Manual for additional information). (b) Provide timely reporting of cash disbursements and balances in accordance with the EPA-ACH Payment System Recipient's Manual; and (c) Impose the same standards of timing and reporting on subrecipients, if any. Failure on the part of the recipient to comply with the above conditions may cause the recipient to be placed on the reimbursement payment method. 6. As required by EPA regulations, the recipient agrees to submit a final Financial Status Report (FSR) (Standard Form 269) within 90 days after the end of this budget period to the following address: U.S. Environmental Protection Agency Las Vegas Financial Management Center P.O. Box 98515 Las Vegas, Nevada 89193-8515 When the recipient submits a final FSR, the recipient will in one of the following ways make an adjustment for the amount of Federal funds, if any, received in excess of the EPA share of the reported total budget period costs: (a) If the recipient is paid through EPA-ACH, they shall, in accordance with the enclosed payment guidance dated May 1995, refund excess assistance funds by either submitting a credit on a current EPA-ACH Payment Request or by sending a check to the lockbox address: U.S. Environmental Protection Agency, Las Vegas Financial Management Center, P.O. Box 371293M, Pittsburgh, Pennsylvania 15251. (b) If the recipient is paid by treasury check, they shall, in accordance with the enclosed payment guidance dated May 1995, refund excess assistance funds by submitting a check to the lockbox address in paragraph (a). If funds are due to the recipient at the time of submission of the final FSR, the recipient shall follow the procedures as outlined on the enclosed payment guidance to request the appropriate amount of funds from EPA. 7. EPA participation in the salary rate (excluding overhead) paid to individual consultants is limited to the maximum daily rate for a Level IV of the Executive Schedule, which is currently $498.32. 8. In acordance with EPA Order 1000.25, dated January 24, 1990, the recipient agrees to use recycled paper for all reports which are prepared as a part of this agreement and delivered to EPA. This requirement does not apply to Standard Forms. These forms are printed on recycled paper and are available through the General Services Administration. 9. If a contract is awarded under this assistance agreement, the recipient agrees and is required to utilize the following affirmative steps to the maximum extent practicable: (1) Placing Small Businesses in Rural Areas (SBRAs) on solicitation lists; (2) Making sure that SBRAs are solicited whenever they are potential sources; (3) Dividing total requirements, when economically feasible, into small tasks or quantities to permit maximum participation by SBRAs; (4) Establishing delivery schedules, where the requirements of work will permit, which would encourage participation by SBRAs; (5) Using the service of the Small Business Administration and the Minority Business Development Agency of the U.S. Department of Commerce, as appropriate; and (6) Requiring the contractor to take the affirmative steps in subparagraphs (1) through (5) of this Condition, if subcontracts are awarded. 10. The recipient agrees to ensure that all requisitions for conference, meeting, convention, or training space funded in whole or in part with Federal funds comply with the Hotel and Motel Fire Safety Act of 1990. 11. The recipient agrees to provide EPA Form 5700-53, Lobbying and Litigation Certificate as mandated by EPA's annual appropriations act. A chief executive officer of any entity receiving funds under this Act shall certify that none of these funds have been used to engage in the lobbying of the Federal Government or in litigation against the United States unless authorized under existing law. The certification must be submitted in accordance with the instructions provided by the EPA award official and is due 90 days after the end of the project period. Programmatic Conditions 1. Non -disclosure of work products; involvement with and oversight by States; Reporting Requirements The recipient will not submit the products developed under this grant unless otherwise directed to do so. The recipient agrees to submit a signed statement at the end of the project period that the scope of work described in the recipient's application has been completed. The recipient agrees that the EPA grant Project Officer will be permitted to view the recipient's vulnerability assessment and other products, if requested. EPA will not require a printed copy of these documents. The recipient agrees that it may be required to brief an appropriate state representative(s), as designated by EPA, on the work products. These briefings will not be required if such state representatives cannot assure that the information can be guarded from public release that could jeopardize the Utility's security. The recipient shall take appropriate precautions to ensure that work products developed under this grant are not disclosed to parties who are not authorized to view the information. This same non -disclosure requirement shall apply to all underlying data and information that was collected and used to develop the work products. If Federal legislation is enacted that requires community water systems to conduct and submit vulnerability assessments or similar work products to EPA, EPA shall notify the recipient of the new requirement(s) and the recipient's need to comply with the requirements set forth in such Federal legislation. 2. Continuance and completion of the three grant program work areas If Federal funds remain upon completion of the work area(s) proposed in the recipient's original work plan, the recipient may request approval from the EPA Project Officer of a change in the work plan that includes additional work in the remaining grant work areas. For example, if the recipient's original work plans proposed the performance of a vulnerability assessment for $115,000, but the recipient completes the vulnerability assessment for $100,000, the recipient may request in writing the EPA Project Officer's approval to use the remaining $15,000 to develop an Emergency Operating Plan and/or to perform Security Enhancement Planning/Design. 3. Schedule for completing the items proposed If the recipient proposes to complete a vulnerability assessment with EPA funds, the recipient must complete the vulnerability assessment by the end of Calendar Year 2002 or within six months from the date of this grant award, whichever is later. If Federal legislation is later enacted that mandates an earlier deadline for completing a vulnerability assessment, EPA shall provide notice to the Utility of such new deadlines, which may supercede the deadlines noted above. 4. Recipient review of EPA web site for updated information The recipient agrees to visit the EPA website below at least once each week for EPA information on water security issues and on general technical and administrative guidance concerning the conduct of these grants. Updates on new legislation affecting water security issues will also be posted on this website. http://www.epa.gov/safewater/security/largc�_grants/Update.html 5. Recipient consultation with affected local officials and area -wide planning agencies The recipient agrees to consult, as appropriate, with directly affected local elected officials and area -wide planning agencies in the development of vulnerability assessments, emergency operations plans, and security enhancement planning and design activities to the extent consistent with security considerations. 6. Non -disclosure of information, data, and work products by contractors The recipient shall require that any contractor or consultant hired to perform work (contractor) under this grant, take reasonable and prudent measures to safeguard all information used in the development of work products and all draft and final work products. The contractor shall not disclose this information to any parry, without express consent by the recipient or as required by Federal law. HS 82993801-0 Attachment A Minority Business Enterprises (MBE)/Womens' Business Enterprises (WBE) Terms and Conditions for non- SRF Recipients with EPA -approved FY 1999 MBE/WBE Goals that were not based on historical data of dollars awarded to MBEs and WBEs 1. 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: (a) The recipient accepts the applicable FY 1998 Minority Business Enterprise (MBE)/Womens' Business Enterprise (WBE) "fair share" goals/objectives negotiated with EPA by the State as the FY 1999 MBE/WBE "fair share" goals/objectives as follows: MBE WBE Construction 0 % 0 % Supplies 5 % 7.6 % Services 8.4 % 11.6 % Equipment 5 % 7.6 % OR Combined Rate: oho oho (b)(1) The recipient agrees to ensure, to the fullest extent possible, that at least the applicable "fair share" objectives of Federal funds for prime contracts or subcontracts for supplies, construction, equipment or services are made available to organizations owned or controlled by socially and economically disadvantaged individuals, women and Historically Black Colleges and Universities. (2) For assistance agreements related to research under the Clean Air Act Amendments of 1990, the recipient agrees to ensure, to the fullest extent possible, that at least the applicable "fair share"objectives of Federal funds for prime contracts or subcontracts for supplies, construction, equipment or services are made available to organizations owned or controlled by socially and economically disadvantaged individuals, women, disabled Americans, Historically Black Colleges and Universities, Colleges and Universities having a student body in which 40% or more of the students are Hispanic, minority institutions having a minority student body of 50% or more, and private and voluntary organizations controlled by individuals who are socially and economically disadvantaged. (c) The recipient agrees to include in its bid documents the applicable "fair share" objectives and require all of its prime contractors to include in their bid documents for subcontracts the negotiated "fair share" percentages. (d) The recipient agrees to follow the six affirmative steps or positive efforts stated in 40 CFR §30.44(b), 40 CFR §31.36(e), or 40 CFR §35.6580, as appropriate, and retain records documenting compliance. (e) The recipient agrees to submit an EPA form 5700-52A "MBE/WBE Utilization Under Federal Grants, Cooperative Agreements and Interagency Agreements," beginning with the Federal fiscal year quarter the recipient receives the award and continuing until the project is completed. These reports must be submitted to MBE/WBE Coordinator, Lupe Saldana, U.S. Environmental Protection Agency, 1200 Pennsylvania Avenue, NW, Mail Code 3903R, Room 51288, Washington, D.C. 20460, 202-564-5353, within 30 days of the end of the Federal fiscal quarter (January 30, April 30, July 30, and October 30). For assistance awards for continuing environmental programs and assistance awards with institutions of higher education, hospitals and other non-profit organizations, the recipient agrees to submit an EPA form 5700-52A to MBE/WBE Coordinator, Lupe Saldana by October 30 of each year. (f) If race and /or gender neutral efforts prove inadequate to achieve a "fair share" objective, the recipient agrees to notify EPA in advance of any race and/or gender conscious action it plans to take to more closely achieve the "fair share" objective. 2. EPA may take corrective action under 40 CFR Parts 30, 31, and 35, as appropriate, if the recipient fails to comply with these terms and conditions.