RES-2010-146RESOLUTION NO. 2010 -146
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
ANAHEIM AUTHORIZING THE PUBLIC UTILITIES
GENERAL MANAGER FOLLOWING SUBMISSION OF THE
APPLICATION ON BEHALF OF THE CITY OF ANAHEIM TO
THE UNITED STATES DEPARTMENT OF INTERIOR,
BUREAU OF RECLAMATION FOR ITS CALFED WATER
USE EFFICIENCY GRANT FUNDING PROGRAM, TO
ACCEPT SUCH GRANT FUNDING AWARD AND TO
EXECUTE SUCH AGREEMENTS AND DOCUMENTS AS
ARE NECESSARY TO ACCEPT SUCH GRANT FUNDING ON
BEHALF OF ANAHEIM.
WHEREAS, the City of Anaheim ( "Anaheim ") maintains a water transmission
and distribution system for the distribution of water to residents and inhabitants of Anaheim and
has the authority to construct, operate and maintain such system; and
WHEREAS, Anaheim is desirous of replacing 70 irrigation system controllers
and 40,252 conventional sprinkler heads with modern, centralized weather -based controllers and
rotary nozzles in the Anaheim Resort area ( "Centralized Weather -Based Irrigation Project" or
alternatively "the Project "); and
WHEREAS, the Project will improve water management through the use of new
technologies and will conserve approximately 1,286 acre feet of water that Anaheim draws from
the California -Bay Delta over 20 years; and
WHEREAS, the United States of America, acting through the Department of the
Interior, Bureau of Reclamation ( "Reclamation ") is a participating agency in the CALFED Bay -
Delta Program; and
WHEREAS, water efficiency is critical to the successful implementation of all
aspects of the CALFED Program and Reclamation received funds to implement water use
efficiencies for the agriculture and urban sector; and
WHEREAS, proposals for activities to support the mission of the CALFED Bay -
Delta Program were requested by Reclamation; and
WHEREAS. Anaheim submitted an application to Reclamation for a matching
grant ( "Grant ") on or about March 2, 2010 in the sum of $ 100,000; and
WHEREAS, the Grant process necessitates that Anaheim designate and authorize
an Anaheim representative to: execute, on behalf of Anaheim, an Assistance Agreement and
amendments thereto, as appropriate; approve claims for reimbursement; and sign the Budget and
Expenditure Summary, Certification of Project Completion, and Final Release form; and
WHEREAS, Anaheim is familiar with the terms, conditions and limitations of any
such Grant; and
WHEREAS, Anaheim is willing and able to conform to each of the terms,
conditions and limitations imposed upon any such Grant to Anaheim; and
WHEREAS, Anaheim desires to accept such Grant as may be awarded to
Anaheim.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of
Anaheim as follows:
1. The City of Anaheim hereby agrees to comply with each and all of the
terms, conditions and limitations imposed by the grantor upon said Grant, and the Public Utilities
General Manager or her designee is hereby authorized and directed to take such actions and
execute any and all agreements, assurances, or other documents as may be necessary in
connection with the acceptance of said Grant as may be required by the grantor, including but
not limited to an Assistance Agreement and any amendments thereto.
2. The City of Anaheim, Public Works Department will provide for
operation and maintenance costs associated with the Project through its Resort Area Fund or
such successor fund throughout the useful life of the Project.
3. The City of Anaheim hereby agrees to, and by this Resolution, does accept
any such Grant so awarded to the City of Anaheim without further action of the City Council
being required therefor.
4. The City Council hereby determines and finds that, in accordance with the
California Environmental Quality Act (CEQA) and the State CEQA Guidelines, the adoption of
this Resolution by the City Council is exempt from CEQA pursuant to State CEQA Guidelines
sections 15060(c)(2) and 15061(b)(3) because (i) the Project and any other activity approved by
this Resolution will not result in a direct or reasonably foreseeable indirect physical change in
the environment; and (ii) it can be seen with certainty that there is no possibility that the Project
and any other activity approved by this Resolution will have a significant effect on the
environment. City staff is hereby directed to file with the County Clerk a Notice of Exemption
within three business days of the adoption of this Resolution.
THE FOREGOING RESOLUTION is approved and adopted by the City
Council of the City of Anaheim this 1 4t-h day of September , 2010, by the
following roll -call vote:
AYES: Mayor Pringle, Council Members Hernandez, Galloway, Kring
NOES: NONE
ABSTAIN: NONE
ABSENT: Council Member Sidhu.
CITY OF ANAHEIM
MAYOR OF THE ITY O ANAHEIM
ATTEST:
CITY
COA78761.2
l -LL /V (UJ- 22 -uv)
Bureau of Reclamation
UNITED STATES DEPARTMENT OF THE INTERIOR
BUREAU OF RECLAMATION
ASSISTANCE AGREEMENT Page 1 of 38
IA. AGREEMENT NUMBER
I B. MOD NUMBER
TYPE OF AGREEMENT
3. CLASS OF RECIPIENT
RIOAP35278
F. [ X ] GRANT
City
COOPERATIVE AGREEMENT
4. ISSUINGOFFICE (NAME.ADDRESS)
5. RECIPIENT (NAME, .ADDRESS, TELEPHONE)
Southern California Area Office
City of Anaheim
Bureau of Reclamation
201 South Anaheim Blvd. I P Floor
27708 Jefferson Avenue, Suite 202
Anaheim, CA 92805
Temecula, CA 92590
EIN #:
95- 6000666
County:
Orange
DUNS #:
04-432 -9993
Congress. Dist:
42
6. ADMINISTRATIVE POINT OF CONTACT (NAME. ADDRESS, TELEPHONE, E -MAIL)
7. RECIPIENT PROJECT MANAGER (NAME, ADDRESS. TELEPHONE, E -MAIL)
Leslie Cleveland
Issis Macias
Southern California Area Office
City of Anaheim
Bureau of Reclamation
201 South Anaheim Blvd., Suite 601
27708 Jefferson Avenue, Suite 202
Anaheim, CA 92805
Temecula, CA 92590
714 - 765 -5029 IMacias @anaheim.net
Phone: 951- 695 -5310, E -mail: LCleveland@usbr.gov
8. GRANTS OFFICER TECHNICAL REPRESENTATIVE (NAME, ADDRESS, TELEPHONE, E-
9A. INITIAL AGREEMENT
9B. MODIFICATION EFFECTIVE DATE:
MAIL)
Debra Whitney
EFFECTIVE DATE:
See block 17a
Bureau of Reclamation
27708 Jefferson Avenue, Suite 202
Temecula, CA 92590
10. COMPLETION DATE
Phone: 951- 695 -5310, E -mail: DWhitney @usbr.gov
December 1, 2011
11. PROGRAM STATUTORY AUTHORITY: P.L. 111 -11 Omnibus Public Lands Management Act of 2009 Sec. 9504,02 U.S.C.
CFDA 15.530
10364). The Secretary may provide any grant to, or enter into an agreement with, any eligible applicant to assist the applicant in
planning, designing, or constructing any improvement —(A) to conserve water; (B) to increase water use efficiency; (C) to facilitate
water markets; (D) to enhance water management, including increasing the use of renewable energy in the management and delivery
of water; (E) to accelerate the adoption and use of advanced water treatment technologies to increase water supply; (F) to prevent
decline of endangered species; and (G) to enhance recovery of threatened and endangered species and other activities in line with
Reclamation's mission and associated with waters ste s/supplies affected by Reclamation projects.
12. FUNDING
RECIPIENT;OTHER
RECLAMATION
13. REQUISITION NUMBER 10350100032
INFORMATION
Total Estimated Amount
$600,643
$100,000
14A. ACCOUNTING AND APPROPRIATION DATA
of Agreement
52- 7901 - 000- 00 -0 -0
355010001000
411G
This Obligation
$600,643
$100,000
Previous Obligation
0
0
Total Obligation
$600,643
$100,000
14B. TREASURY ACCOUNT FUNDING SYMBOL
14.0680
Cost -Share %
86%
14%
15, PROJECT TITLE AND BRIEF SUMMARY OF PURPOSE AND OBJECTIVES OF PROJECT Centralized Weather -Based Controllers and Rotar Nozzles
Project: The City is proposing to replace 70 irrigation system controllers and 40,252 conventional sprinkler heads with modern, centralized
weather -based controllers and rotary nozzles. The project will improve water management through the use of new technologies and will conserve
1286 AF of water the City draws from the California-Bay Delta over 20 y ears.
16a. Acceptance of this Assistance Agreement in accordance with the terns and
17a. Award of this Assistance Agreement in accordance with the terns and
conditions contained herein is hereby made on behalf of the above -named
conditions contained herein is hereby made on behalf of the United States of
Recipient
America, Bureau of Reclamation
BY
BY
DATE:
DATE:
16b. NAME. TITLE. AND TELEPHONE NUMBER OF SIGNER
17b. NAME OF GRANTS OFFICER
Mr. Donald C. Calkins
William J. Steele
Assistant General Manager
Grants Officer
714 - 765 -4268
951- 695 -5310
APPROVED AS TO FORM:
L �
TABLE OF CONTENTS
I . OVERVIEW AND SCHEDULE ................................................................ ............................... 3
1 .
Authority ................................................................................................. ............................... 3
2 .
Public Purpose ........................................................................................ ...............................
3
3.
Background and Objectives .................................................................... ...............................
3
4.
Period of Performance and Funds Availability ....................................... ...............................
4
5 .
Scope of Work ........................................................................................ ...............................
5
6 .
Responsibility of the Parties ................................................................... ...............................
6
7 .
Budget ..................................................................................................... ...............................
7
8 .
Key Personnel ....................................................................................... ...............................
11
9.
Reporting Requirements and Distribution ............................................ ...............................
12
10 Regulatory Compliance ...................................................................... ...............................
15
II. RECLAMATION
STANDARD TERMS AND CONDITIONS - STATES, LOCAL
GOVERNMENTS,
AND FEDERALLY RECOGNIZED INDIAN TRIBAL GOVERNMENTS
........................................................................................................................ ...............................
16
1 .
Regulations ........................................................................................... ...............................
16
2 .
Payment ................................................................................................. ...............................
17
3.
Procurement Standards (43 CFR §12.76) ............................................. ...............................
19
4.
Equipment (43 CFR § 12. 72) ................................................................. ...............................
29
5 .
Supplies (43 CFR § 12. 73) ..................................................................... ...............................
31
6 .
Inspection .............................................................................................. ...............................
31
7.
Audit (31 U.S.C. 7501- 7507) ................................................................ ...............................
31
8.
Enforcement (43 CFR § 12. 83) .............................................................. ...............................
32
9.
Termination for Convenience (43 CFR § 12.84) ................................... ...............................
33
10.
Debarment and Suspension (2 CFR § 1400) ........................................ ...............................
33
11.
Drug -Free Workplace (43 CFR §43) .................................................. ...............................
33
12.
Assurance and Certifications Incorporated by Reference ................... ...............................
33
13.
Covenant Against Contingent Fees ..................................................... ...............................
34
14.
Trafficking Victims Protections Act of 2000 (2 CFR § 175.15) ......... ...............................
34
15.
New Restrictions on Lobbying (43 CFR § 18) .................................... ...............................
37
R10AP35278 2
Grant Agreement
Between
Bureau of Reclamation
And
City of Anaheim
For
Centralized Weather -Based Controllers and Rotary Nozzles Project
I. OVERVIEW AND SCHEDULE
1. Authority
This Grant Agreement (Agreement) is entered into between the United States of America, acting
through the Department of the Interior, Bureau of Reclamation, hereinafter referred to as
"Reclamation ", and City of Anaheim, hereinafter referred to as the "Recipient ". Pursuant to P.L.
111 -11 Omnibus Public Lands Management Act of 2009, Sec. 9504, (42 U.S.C. 10364), the
Secretary may provide any grant to, or enter into an agreement with, any eligible applicant to
assist the applicant in planning, designing, or constructing any improvement —(A) to conserve
water; (B) to increase water use efficiency; (C) to facilitate water markets; (D) to enhance water
management, including increasing the use of renewable energy in the management and delivery
of water; (E) to accelerate the adoption and use of advanced water treatment technologies to
increase water supply; (F) to prevent decline of endangered species; and (G) to enhance recovery
of threatened and endangered species and other activities in line with Reclamation's mission and
associated with water systems /supplies affected by Reclamation projects.
The City is proposing to replace 70 irrigation system controllers and 40,252 conventional
sprinkler heads with modern, centralized weather -based controllers and rotary nozzles. The
project will improve water management through the use of new technologies and will conserve
1286 AF of water the City draws from the California -Bay Delta over 20 years.
3. Background and Objectives
The CALFED Bay -Delta Program is a unique collaboration among 25 state and federal agencies
that came together with a mission: to improve water supplies in California and the health of the
San Francisco Bay /Sacrament -San Joaquin River Delta.
In 2000, CALFED drafted a 30 -year plan described in its programmatic Record of Decision
(ROD) that set forth general goals and laid out a science -based planning process through which
the collaborative was able to make better, more informed decisions on future projects and
programs within their purview. Two years later, the California Bay -Delta Authority was created
to oversee the program's implementation and Congress adopted the plan in 2004.
The mission of the CALFED Bay -Delta Program is to develop and implement a long -term
comprehensive plan that will restore ecological health and improve water management for
beneficial uses of the Bay -Delta System.
R10AP35278 3
The Bureau of Reclamation (Reclamation) is a participating agency in the CALFED Bay -Delta
Program. The CALFED Bay -Delta Program Final Programmatic EIS /EIR was released July 21,
2000 and the ROD was published August 28, 2000. As described in these documents, the Bay -
Delta Program includes strategies to address ecosystem health, water supply reliability and water
quality.
Water use efficiency is critical to the successful implementation of all aspects of the CALFED
Program. In Fiscal Year 2010, Reclamation received 500 hundred thousand dollars to implement
water use efficiencies for the agriculture and urban sector. Proposals for activities to support the
mission of the CALFED Bay -Delta Program were requested through a Notice of Funding
Opportunity /Request for Proposals No.R10AS20011 via www. rg_ants.gov the internet portal
under PL 106 -107 requirements.
Proposals received under this Notice of Funding Opportunity /Request for Proposals were
screened by a Review Committee in relation to the stated evaluation criteria in the Notice. This
Recipient's proposal was one chosen through this review process to support the outcomes and
mission of the CALFED Bay -Delta Program.
4. Period of Performance and Funds Availability
This Agreement becomes effective on the date shown in Block 17a of Form 7 -2279, United
States of America, Department of the Interior, Bureau of Reclamation, Assistance Agreement.
The Agreement shall remain in effect until the date shown in Block 10 of Form 7 -2279, United
States of America, Department of the Interior, Bureau of Reclamation, Assistance Agreement.
The period of performance for this Agreement may only be modified through written
modification of the Agreement by a Reclamation Grants Officer (GO).
Pursuant to the Act of Congress of June 17, 1902 (32 Stat. 388), and acts amendatory thereof or
supplementary thereto, all commonly known as Reclamation Law, funds for payment under this
Agreement are included in the Energy and Water Development and Related Agencies
Appropriations Act 2010, Public Law 111 -85, enacted October 28, 2009. Funding for any
optional year of the Agreement is contingent upon subsequent Congressional funding.
Reclamation has $100,000 available for this Agreement. The Government's obligation under this
Agreement is contingent upon the availability of appropriated funds from which payment for
Agreement purposes can be made. No legal liability on the part of the Government for any
payment may arise until funds are made available to the GO for this Agreement, and until the
Recipient receives notice of such availability through fonnal modification of this Agreement by
the GO.
R10AP35278 4
5. Scope of Work
The Scope of Work tasks are as follows:
The proposed project is consistent with CAL FED Bay Delta Program Goals # 1,2,3,and 4.
The City is proposing to replace 70 irrigation system controllers and 40,252 conventional
sprinkler heads with modern, centralized weather -based controllers and rotary nozzles. The
project will improve water management through the use of new technologies and will conserve
1286 AF of water the City draws from the California -Bay Delta over 20 years. The Scope of
Work tasks are as follows:
Task 1: Administration and Management: The first task is primarily administrative in nature and
focuses on establishing the grant agreement with the Bureau of Reclamation, overseeing the
contract and implementation progress, completing reporting requirements, and closing out the
grant. This task will be ongoing throughout the life of the project.
Task 2: Planning and Permitting: The second task includes securing contractors to complete the
installation work and completing the necessary permitting and environmental requirements. This
task will be complete by the end of Month 2.
Task 3: Irrigation Controller Replacement - Westside and Convention Center: Task 2 involves
procuring and installing irrigation controllers in the Westside and at the Anaheim Convention
Center. The approximate location of the 38 controllers that will be replaced as part of Task 3 are
detailed in the proposal. Task 3 of the project will take four months to complete, including
installation, programming, testing, and performance evaluation.
Task 4: Irrigation Controller Replacement - Eastside: Task 3 involves replacing the irrigation
controllers in the Eastside. The map in the proposal shows the location of the 32 controllers that
will be replaced as part of Task 4. Task 4 will take approximately four months to complete,
including installation, programming, testing, and performance evaluation.
Task 5: Rotary Nozzles Installation - Westside and Convention Center: Task 5 involves replacing
the conventional spray nozzles that are used throughout the Westside and Convention Center.
This phase will take approximately 4 months to complete and will start upon completion of the
replacement of the controllers in Task 3. Because of the large number of nozzles to be replaced,
no map of locations will be provided. Every conventional nozzle within the project area
identified in Map 2 (located in the proposal) will be replaced. This Task is very simple compared
to the prior phases and involves removal and replacement of the existing irrigation nozzles,
running the system to tune the rotary nozzles, and then on -going maintenance throughout the 20
year useful life of the sprinkler nozzles.
Task 6: Rotary Nozzles Installation - Eastside: Task 6 involves replacing the conventional spray
nozzles that are used throughout the Eastside. Like Task 5 this phase will take approximately 4
months to complete and will start upon completion of the replacement of the controllers in Task
R10AP35278 5
4. Every conventional nozzle within the project area identified in Map 2 (detailed in the
proposal) will be replaced. This Task also involves removal and replacement of the existing
irrigation nozzles, running the system to tune the rotary nozzles, and then on -going maintenance
throughout the 20 -year useful life of the sprinkler nozzles.
The Recipient will prepare semi- annual and final reports in conformance with the requirements
of Reclamation.
6. Responsibility of the Parties
6.1 Recipient Responsibilities
6.1.1 The Recipient shall be responsible for carrying out the Scope of Work in accordance with
the terms and conditions stated herein. The Recipient shall adhere to Federal, state, and local
laws, regulations, and codes, as applicable, and shall obtain all required approvals and permits.
If applicable, the Recipient shall also coordinate and obtain approvals from site owners and
operators.
6.1.2 In support of this Agreement, the City of Anaheim shall comply with the General and
Special Provisions which are attached hereto and by reference made a part hereof, and perform
the following activities:
I. Contribute funds in the amount of $600,643 to complete project activities
2. Provide coordination between interested parties and Reclamation, as mutually agreeable
to Reclamation and the Recipient
3. Clearly mark public literature, such as but not limited to, newsletter, fact sheets, which
identifies Reclamation as the a funding agency; identify Reclamation funding in
professional papers which may be prepared as a result of this activity; and include
Reclamation's logo in signs or other artwork
4. Provide program manager, this includes but not limited to,
• Management and coordination with any contracts outside of Reclamation
• Selection of participant(s) for program
5. Perform the work and accomplishments in accordance with the Scope of Work
6. Report progress to Reclamation's Grants Officer on a semi- annual basis as outlined in
Section II, Special Provisions, part 3, Reporting Requirements and Distribution, of this
agreement.
7. Immediately advice Reclamation's Grants Officer (GO) for this agreement of any issues,
problems and other matters that may affect the successful implementation of this project.
8. Prepare and submit the project final report within 90 days of the project or agreement
end, whichever comes first. Report shall be a hard copy and in CD (print ready).
9. Performance measure information will be submitted to the Reclamation in an
electronic format such as an Excel spreadsheet or delimited texts file. In addition, all
data should be clearly labeled and include units and a time dimension where applicable.
This data shall address the following, which is described in section E1 of the
proposal /application:
R10AP35278 6
• Data described in section E1 of the proposal.
• Equipment cost — for controllers and nozzles
• Installation costs — for controllers and nozzles
• Program admin cost — for both controller and nozzle installation
• Pre - project; estimate of conservation was based on an MWD study therefore to get a local
estimate perform a sufficient number of landscape audits with existing system. Along
with meter readings this will be the baseline use and efficiency of the system.
• Post - project; perform a sufficient number of system audits to determine efficiency and
track water meter readings. This will be the with project use and efficiency.
• Compare pre and post project use and efficiency.
• Pre and Post project cost to benefit analysis. Compare these with the MWD estimate.
• Track change in labor hours to manage controllers.
• Change Task 1 life to be the same as all other tasks for computing benefit and cost
information
• Suggest that the life be reduced to 10 years when looking at cost and benefits.
6.2 Reclamation Responsibilities
6.2.1 Substantial involvement between Reclamation and the Recipient is not anticipated during
the performance of this Agreement. This is a grant agreement and not a cooperative agreement.
6.2.2 Reclamation shall;
1. Provide funds of $100,000 in Fiscal Year 2010
2. Complete the appropriate level of the National Environmental Policy Act prior to award
3. Review financial reports and program performance reports
4. Provide Reclamation graphics and logos
7. Budget
7.1 Approved Budget (copy of detailed budget in official program files made part of the
proposal)
BUDGET ITEM
DESCRIPTION
COMPUTATION
RECIPIENT
FUNDING
OTHER
FUNDING
RECLAMATION
FUNDING
TOTAL COST
$/ �lnit and
Unit
Quantity
SALARIES AND WAGES -- Position title x hourly wage/salary x est.. hours for assisted activity. Describe this information for each position.
Admin Costs
61,875
61,875
61,875
FRINGE BENEFITS — Explain the type of fringe benefits and how applied to various categories of personnel
N/A
TRAVEL -- dates; location of travel; method of travel x estimated cost; who will travel
N/A
EQUIPMENT— Leased Equipment use rate + hourly wage /salary x est. hours for assisted activity— Describe equipment to be purchased, unit price;
# of units for all equipment to be purchased or leased for assisted activity: Do not list contractor supplied ui ment here,
Purchase devices 11 $406,008 $406,008 I 1 1 $406,008
SUPPLIES /MATERIALS -- Describe all major types of supplies /materials, unit price, # of units; etc., to be used on this assisted activity.
R10AP35278 7
N/A
CONTRACTUAL/ CONSTRUCTION — Explain any contracts or sub- Agreements that will be awarded, why needed. Explain contractor
q ualifications and how the contractor will be selected. Contract will be through a RFP process by ;.
Contractual 232,760
$132,760
$100,000 $232,760
OTHER –List any other cost elements necessary for your project; such as extra reporting, or contingencies in a construction contract.
TOTAL DIRECT COSTS- -
INDIRECT COSTS -
TOTAL
PROJECT /ACTIVITY
$600,6437
$100,000 $700,643
7.2 Cost Sharing Requirement
The Recipient will provide cost -share for this project equal to but not less than 50 %
7.3 Pre -Award Incurrence of Costs
The Recipient shall not be entitled to have incurred costs for this Agreement for allowable costs
incurred on or after which if had been incurred after this Agreement was entered into, would
have been allowable, allocable, and reasonable under the terms and conditions of this
Agreement.
7.4 Allowable Costs (2 CFR Part §225)
Costs incurred for the performance of this Agreement must be allowable, allocable to the project,
and reasonable. The following Office of Management and Budget (OMB) Circular, codified
within the Code of Federal Regulations (CFR), governs the allowability of costs for Federal
financial assistance:
2 CFR Part 225 (OMB Circular A -87), "Cost Principles for State, Local, and Indian Tribal
Governments"
Expenditures for the performance of this Agreement must conform to the requirements within
this Circular. The Recipient must maintain sufficient documentation to support these
expenditures. Questions on the allowability of costs should be directed to the GO responsible for
this Agreement.
The Recipient shall not incur costs or obligate funds for any purpose pertaining to operation of
the program or activities beyond the expiration date stated in the Agreement. The only costs
which are authorized for a period of up to 90 days following the project performance period are
those strictly associated with closeout activities for preparation of the final report.
R10AP35278
7.5 Changes (43 CFR §12.70).
(a) General. Grantees and subgrantees are permitted to rebudget within the approved direct cost
budget to meet unanticipated requirements and may make limited program changes to the
approved project. However, unless waived by the awarding agency, certain types of post -award
changes in budgets and projects shall require the prior written approval of the awarding agency.
(b) Relation to cost principles. The applicable cost principles (see 43 § 12.62) contain
requirements for prior approval of certain types of costs. Except where waived, those
requirements apply to all grants and subgrants even if paragraphs (c) through (f) of this section
do not.
(c) Budget changes.
(1) Nonconstruction projects. Except as stated in other regulations or an award document,
grantees or subgrantees shall obtain the prior approval of the awarding agency whenever any
of the following changes is anticipated under a nonconstruction award:
(i) Any revision which would result in the need for additional funding.
(ii) Unless waived by the awarding agency, cumulative transfers among direct cost
categories, or, if applicable, among separately budgeted programs, projects, functions, or
activities which exceed or are expected to exceed ten percent of the current total
approved budget, whenever the awarding agency's share exceeds $100,000.
(iii) Transfer of funds allotted for training allowances (i.e., from direct payments to
trainees to other expense categories).
(d) Programmatic changes. Grantees or subgrantees must obtain the prior approval of the
awarding agency whenever any of the following actions is anticipated:
(1) Any revision of the scope or objectives of the project (regardless of whether there is an
associated budget revision requiring prior approval).
(2) Need to extend the period of availability of funds.
(3) Changes in key persons in cases where specified in an application or a grant award. In
research projects, a change in the project director or principal investigator shall always
require approval unless waived by the awarding agency.
(4) Under nonconstruction projects, contracting out, subgranting (if authorized by law) or
otherwise obtaining the services of a third party to perform activities which are central to the
purposes of the award, unless included in the initial funding proposal. This approval
requirement is in addition to the approval requirements of 43 § 12.76 but does not apply to the
procurement of equipment, supplies, and general support services.
R10AP35278 9
(e) Additional prior approval requirements. The awarding agency may not require prior approval
for any budget revision which is not described in paragraph (c) of this section.
(f) Requesting prior approval.
(1) A request for prior approval of any budget revision will be in the same budget formal the
grantee used in its application and shall be accompanied by a narrative justification for the
proposed revision.
(2) A request for a prior approval under the applicable Federal cost principles (see § 12.62)
may be made by letter.
(3) A request by a subgrantee for prior approval will be addressed in writing to the grantee.
The grantee will promptly review such request and shall approve or disapprove the request in
writing. A grantee will not approve any budget or project revision which is inconsistent with
the purpose or terms and conditions of the Federal grant to the grantee. If the revision,
requested by the subgrantee would result in a change to the grantee's approved project which
requires Federal prior approval, the grantee will obtain the Federal agency's approval before
approving the subgrantee's request.
7.6 Modifications
Any changes to this Agreement shall be made by means of a written modification. Reclamation
may make changes to the Agreement by means of a unilateral modification to address
administrative matters, such as changes in address, no -cost time extensions, the addition of
previously agreed upon funding, or deobligation of excess funds at the end of the Agreement.
Additionally, a unilateral modification may be utilized by Reclamation if it should become necessary to
suspend or terminate the Agreement in accordance with 43 CFR 12.83.
All other changes shall be made by means of a bilateral modification to the Agreement. No oral
statement made by any person, or written statement by any person other than the GO, shall be
allowed in any manner or degree to modify or otherwise effect the terms of the Agreement.
All requests for modification of the Agreement shall be made in writing, provide a full
description of the reason for the request, and be sent to the attention of the GO. Any request for
project extension shall be made at least 45 days prior to the expiration date of the Agreement or
the expiration date of any extension period that may have been previously granted. Any
determination to extend the period of performance or to provide follow -on funding for
continuation of a project is solely at the discretion of Reclamation.
R10AP35278 10
8. Key Personnel
8.1 Recipient's Key Personnel
The Recipient's Project Manager for this Agreement shall be:
Issis Macias
City of Anaheim
201 South Anaheim Blvd., Suite 601
Anaheim, CA 92805
714 - 765 -5029
Changes to Key Personnel require compliance with 43 CFR 12.70(d)(3).
8.2 Reclamation's Key Personnel
8.2.1 Grants Officer (GO):
Mr. William J. Steele
Grants Officer /Area Manager
Bureau of Reclamation
27708 Jefferson Ave, Suite 202
Temecula, CA 92590
951- 695 -5310
wsteelekusbr.gov
The GO is the only official with legal delegated authority to represent Reclamation. The GO's
responsibilities include, but are not limited to, the following:
(a) Formally obligate Reclamation to expend funds or change the funding level of the
Agreement;
(b) Approve through formal modification changes in the scope of work and /or budget;
(c) Approve through formal modification any increase or decrease in the period of performance
of the Agreement;
(d) Approve through formal modification changes in any of the expressed terms, conditions, or
specifications of the Agreement;
(e) Be responsible for the overall administration, management, and other non - programmatic
aspects of the Agreement including, but not limited to, interpretation of financial assistance
statutes, regulations, circulars, policies, and terms of the Agreement;
(f) Where applicable, ensures that Reclamation complies with the administrative requirements
required by statutes, regulations, circulars, policies, and terms of the Agreement.
R10AP35278 11
8.2.2 Grants Officer Technical Representative (GOTR):
Debra Whitney
Water Conservation Specialist
Bureau of Reclamation
27708 Jefferson Ave, Suite 202
Temecula, CA 92590
951- 695 -5310
dwhitne (ay ,usbr.gov
The GOTR's authority is limited to technical and programmatic aspects of the Agreement. The
GOTR's responsibilities include, but are not limited to, the following:
(a) Assist the Recipient, as necessary, in interpreting and carrying out the scope of work in the
Agreement;
(b) Review, and where required, approve Recipient reports and submittals as required by the
Agreement;
(c) Where applicable, monitor the Recipient to ensure compliance with the technical
requirements of the Agreement;
(d) Where applicable, ensure that Reclamation complies with the technical requirements of the
Agreement;
The GOTR does not have the authority to and may not issue any technical assistance which:
(a) Constitutes an assignment of additional work outside the scope of work of the Agreement;
(b) In any manner causes an increase or decrease in the total estimated cost or the time required
for performance; or
(c) Changes any of the expressed terms, conditions, or specifications of the Agreement.
9. Reporting Requirements and Distribution
9.1 Noncompliance. Failure to comply with the reporting requirements contained in this
Agreement may be considered a material non - compliance with the terms and conditions of the
award. Non compliance may result in withholding of payments pending receipt of required
reports, denying both the use of funds and matching credit for all or part of the cost of the
activity or action not in compliance, whole or partial suspension or termination of the
Agreement, recovery of funds paid under the Agreement, withholding of future awards, or other
legal remedies in accordance with 43 CFR § 12.83.
R10AP35278 12
9.2 Financial Reports. Financial Status Reports shall be submitted by means of the SF -425
and shall be submitted according to the Report Frequency and Distribution schedule below. All
financial reports shall be signed by an Authorized Certifying Official for the Recipient's
organization.
9.3 Monitoring and reporting program performance (43 CFR §12.80)
(a) Monitoring by grantees. Grantees are responsible for managing the day -to -day operations of
grant and subgrant supported activities. Grantees must monitor grant and subgrant supported
activities to assure compliance with applicable Federal requirements and that performance goals
are being achieved. Grantee monitoring must cover each program, function or activity.
(b) Nonconstruction performance reports. The Federal agency may, if it decides that
performance information available from subsequent applications contains sufficient information
to meet its programmatic needs, require the grantee to submit a performance report only upon
expiration or termination of grant support. Unless waived by the Federal agency this report will
be due on the same date as the final Financial Status Report.
(1) Grantees shall submit annual performance reports unless the awarding agency requires
quarterly or semi - annual reports. However, performance reports will not be required more
frequently than quarterly. Annual reports shall be due 90 days after the grant year, quarterly
or semi - annual reports shall be due 30 days after the reporting period. The final performance
report will be due 90 days after the expiration or termination of grant support. If a justified
request is submitted by a grantee, the Federal agency may extend the due date for any
performance report. Additionally, requirements for unnecessary performance reports may be
waived by the Federal agency.
(2) Performance reports will contain, for each grant, brief information on the following:
(i) A comparison of actual accomplishments to the objectives established for the period.
Where the output of the project can be quantified, a computation of the cost per unit of
output may be required if that information will be useful.
(ii) The reasons for slippage if established objectives were not met.
(iii) Additional pertinent information including, when appropriate, analysis and
explanation of cost overruns or high unit costs.
(3) Grantees will not be required to submit more than the original and two copies of
performance reports.
(4) Grantees will adhere to the standards in this section in prescribing performance reporting
requirements for subgrantees.
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(d) Significant developments. Events may occur between the scheduled performance reporting
dates which have significant impact upon the grant or subgrant supported activity. In such cases,
the grantee must inform the Federal agency as soon as the following types of conditions become
known:
(1) Problems, delays, or adverse conditions which will materially impair the ability to meet
the objective of the award. This disclosure must include a statement of the action taken, or
contemplated, and any assistance needed to resolve the situation.
(2) Favorable developments which enable meeting time schedules and objectives sooner or at
less cost than anticipated or producing more beneficial results than originally planned.
(e) Federal agencies may make site visits as warranted by program needs.
(f) Waivers, extensions.
(1) Federal agencies may waive any performance report required by this part if not needed.
(2) The grantee may waive any performance report from a subgrantee when not needed. The
grantee may extend the due date for any performance report from a subgrantee if the grantee
will still be able to meet its performance reporting obligations to the Federal agency.
9.4 Report Frequency and Distribution. The following table sets forth the reporting
requirements for this Agreement.
REQUIRED REPORTS Interim Reports Final Report
Program Performance Report
Format
No specific format required.
No specific format required. See
See content requirements
content requirements within Section
within Section 9.3 (43 CFR
9.3 (43 CFR 12.80) above.
12.80) above.
Reporting Frequency
Semi - Annual
Final Report due upon completion
of Agreement's period of
erformance
Reporting Period
For Semi - Annual Reporting:
Entire period of performance
October 1 through March 31
and April 1 through
September 30.
Due Date
Within 30 days after the end
Within 90 days after the completion
of the Reporting Period
date of the Agreement
Submit to:
GO and GOTR
GO and GOTR
Financial Status Report
Format
SF-425
SF -425
Reporting Frequency
Semi - Annual
Final Report due upon completion
of Agreement's period of
erformance
Reporting Period
For Semi - Annual Reporting:
Entire period of performance
RI OAP35278 14
10. Regulatory Compliance
The Recipient agrees to comply with or assist Reclamation in compliance all regulatory
compliance requirements and all applicable state, Federal, and local environmental and cultural
and paleontological resource protection laws and regulations as applicable to this project. These
may include, but are not limited to, the National Environmental Policy Act (NEPA) including the
Council on Environmental Quality and Department of the Interior regulations implementing
NEPA, the Clean Water Act, the Endangered Species Act, consultation with potentially affected
Tribes, and consultation with the State Historic Preservation Office.
Certain environmental and other associated compliance are Federal responsibilities, and will
occur as appropriate Reclamation will identify the need for, and assure the completion of, any
appropriate environmental compliance requirements, as identified above, pursuant to activities
specific to this assisted activity. Environmental and other associated compliance shall be
completed prior to the start of this project As such notwithstanding any other provision of this
Agreement. Reclamation shall not provide any funds to the Recipient for Agreement purposes,
and the Recipient shall not begin implementation of the assisted activity described in this
Agreement unless and until Reclamation provides written notice to the Recipient that all
applicable environmental and re u latory compliance analyses and clearances have been
completed and the Recipient may begin implementation of the assisted activity.
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October 1 through March 31
and April 1 through
September 30.
Due Date
Within 30 days after the end
Within 90 days after the completion
of the Reporting Period
date of the Agreement
Submit to:
GO and GOTR
GO and GOTR
10. Regulatory Compliance
The Recipient agrees to comply with or assist Reclamation in compliance all regulatory
compliance requirements and all applicable state, Federal, and local environmental and cultural
and paleontological resource protection laws and regulations as applicable to this project. These
may include, but are not limited to, the National Environmental Policy Act (NEPA) including the
Council on Environmental Quality and Department of the Interior regulations implementing
NEPA, the Clean Water Act, the Endangered Species Act, consultation with potentially affected
Tribes, and consultation with the State Historic Preservation Office.
Certain environmental and other associated compliance are Federal responsibilities, and will
occur as appropriate Reclamation will identify the need for, and assure the completion of, any
appropriate environmental compliance requirements, as identified above, pursuant to activities
specific to this assisted activity. Environmental and other associated compliance shall be
completed prior to the start of this project As such notwithstanding any other provision of this
Agreement. Reclamation shall not provide any funds to the Recipient for Agreement purposes,
and the Recipient shall not begin implementation of the assisted activity described in this
Agreement unless and until Reclamation provides written notice to the Recipient that all
applicable environmental and re u latory compliance analyses and clearances have been
completed and the Recipient may begin implementation of the assisted activity.
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II. RECLAMATION STANDARD TERMS AND CONDITIONS - STATES,
LOCAL GOVERNMENTS, AND FEDERALLY RECOGNIZED INDIAN
TRIBAL GOVERNMENTS
1. Regulations
The regulations at 43 CFR, Part 12, Subparts A, C, E, and F, are hereby incorporated by
reference as though set forth in full text. The following Office of Management and Budget
(OMB) Circulars, as applicable, and as implemented by 43 CFR Part 12, are also incorporated by
reference and made a part of this Agreement. Failure of a Recipient to comply with any
applicable regulation or circular may be the basis for withholding payments for proper charges
made by the Recipient and /or for termination of support.
1.1 Colleges and Universities that are Recipients or sub - Recipients shall use the following:
2 CFR Parts 215 and 220 (Circular A 21), "Cost Principles for Educational Institutions"
Circular A 110, as amended September 30, 1999, "Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit
Organizations" (Codification by Department of Interior, 43 CFR 12, Subpart F)
Circular A -133, revised June 27, 2003, "Audits of States, Local Governments, and Non - Profit
Organizations"
1.2 State, Local and Tribal Governments that are Recipients or sub - Recipients shall use the
following:
2 CFR Part 225 (Circular A 87), "Cost Principles for State, Local, and Indian Tribal
Governments"
Circular A 102, as amended August 29, 1997, "Grants and Cooperative Agreements with State
and Local Governments" (Grants Management Common Rule, Codification by Department of
Interior, 43 CFR 12, Subpart C)
Circular A -133, revised June 27, 2003, Audits of States, Local Governments, and Non - Profit
Organizations"
1.3 Nonprofit Organizations that are Recipients or sub - Recipients shall use the following:
2 CFR Part 230 (Circular A 122), "Cost Principles for Non - Profit Organizations"
Circular A 110, as amended September 30, 1999, "Uniform Administrative Requirements for
Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non - Profit
Organizations" (Codification by Department of Interior, 43 CFR 12, Subpart F)
R10AP35278 16
Circular A -133, revised June 27, 2003, "Audits of States, Local Governments, and Non - Profit
Organizations"
1.4 Organizations other than those indicated above that are Recipients or sub - Recipients shall
use the basic principles of OMB Circular A -110 (Codification by Department of Interior, 43
CFR 12, Subpart F), and cost principles shall be in accordance with 48 CFR Subpart 31.2.
1.5 43 CFR 12.77 sets forth further regulations that govern the award and administration of
subawards by State governments.
2. Payment
2.1 Payment Standards. (43 CFR §12.61)
(a) Scope. This section prescribes the basic standard and the methods under which a Federal
agency will make payments to grantees, and grantees will make payments to subgrantees and
contractors.
(b) Basic standard. Methods and procedures for payment shall minimize the time elapsing
between the transfer of funds and disbursement by the grantee or subgrantee, in accordance with
Treasury regulations at 31 CFR part 205.
(c) Advances. Grantees and subgrantees shall be paid in advance, provided they maintain or
demonstrate the willingness and ability to maintain procedures to minimize the time elapsing
between the transfer of the funds and their disbursement by the grantee or subgrantee.
(d) Reimbursement. Reimbursement shall be the preferred method when the requirements in
paragraph (c) of this section are not met. Grantees and subgrantees may also be paid by
reimbursement for any construction grant. Except as otherwise specified in regulation, Federal
agencies shall not use the percentage of completion method to pay construction grants. The
grantee or subgrantee may use that method to pay its construction contractor, and if it does, the
awarding agency's payments to the grantee or subgrantee will be based on the grantee's or
subgrantee's actual rate of disbursement.
(e) Working capital advances. If a grantee cannot meet the criteria for advance payments
described in paragraph (c) of this section, and the Federal agency has determined that
reimbursement is not feasible because the grantee lacks sufficient working capital, the awarding
agency may provide cash or a working capital advance basis. Under this procedure the awarding
agency shall advance cash to the grantee to cover its estimated disbursement needs for an initial
period generally geared to the grantee's disbursing cycle. Thereafter, the awarding agency shall
reimburse the grantee for its actual cash disbursements. The working capital advance method of
payment shall not be used by grantees or subgrantees if the reason for using such method is the
unwillingness or inability of the grantee to provide timely advances to the subgrantee to meet the
subgrantee's actual cash disbursements.
(f) Effect ofprogram income, refunds, and audit recoveries on payment.
R10AP35278 17
(1) Grantees and subgrantees shall disburse repayments to and interest earned on a revolving
fund before requesting additional cash payments for the same activity.
(2) Except as provided in paragraph (f)(1) of this section, grantees and subgrantees shall
disburse program income, rebates, refunds, contract settlements, audit recoveries and interest
earned on such funds before requesting additional cash payments.
(g) Withholding payments.
(1) Unless otherwise required by Federal statute, awarding agencies shall not withhold
payments for proper charges incurred by grantees or subgrantees unless—
(i) The grantee or subgrantee has failed to comply with grant award conditions, or
(ii) The grantee or subgrantee is indebted to the United States.
(2) Cash withheld for failure to comply with grant award condition, but without suspension
of the grant, shall be released to the grantee upon subsequent compliance. When a grant is
suspended, payment adjustments will be made in accordance with § 12.83(c).
(3) A Federal agency shall not make payment to grantees for amounts that are withheld by
grantees or subgrantees from payment to contractors to assure satisfactory completion of
work. Payments shall be made by the Federal agency when the grantees or subgrantees
actually disburse the withheld funds to the contractors or to escrow accounts established to
assure satisfactory completion of work.
(h) Cash depositories.
(1) Consistent with the national goal of expanding the opportunities for minority business
enterprises, grantees and subgrantees are encouraged to use minority banks (a bank which is
owned at least 50 percent by minority group members). A list of minority owned banks can
be obtained from the Minority Business Development Agency, Department of Commerce,
Washington, DC 20230.
(2) A grantee or subgrantee shall maintain a separate bank account only when required by
Federal -State Agreement.
(i) Interest earned on advances. Except for interest earned on advances of funds exempt
under the Intergovernmental Cooperation Act (31 U.S.C. 6501 et seq.) and the Indian
Self - Determination Act (23 U.S.C. 450), grantees and subgrantees shall promptly, but at
least quarterly, remit interest earned on advances to the Federal agency. The grantee or
subgrantee may keep interest amounts up to $100 per year for administrative expenses.
2.2 Payment Method
R10AP35278 18
Requesting Payments -- Requests for advance or reimbursement may be made by the following
methods:
(1) SF -270, Request for Advance or Reimbursement - Recipients may submit an original and
properly certified SF -270 form to the GO. For advance payments, this form may be submitted
on a monthly basis, at least two weeks prior to the date on which funds are required, and on the
basis of expected disbursements for the succeeding month and the amount of Federal funds
already on hand. Requests for reimbursement may be submitted on a monthly basis, or more
frequently if authorized by the (GO).
(2) Automated Standard Application for Payments (ASAP) - Recipients may utilize the
Department of Treasury ASAP payment system to request advances or reimbursements. ASAP
is a Recipient- initiated payment and information system designed to provide a single point of
contact for the request and delivery of Federal funds.
Recipients interested in enrolling in the ASAP system, please contact Dee Devillier at 303 -445-
3461 or Sheri Oren at 303 -445 -3448.
(3) Procurement Standards (43 CFR §12.76)
(a) States. When procuring property and services under a grant, a State will follow the same
policies and procedures it uses for procurements from its non - Federal funds. The State will
ensure that every purchase order or other contract includes any clauses required by Federal
statutes and executive orders and their implementing regulations. Other grantees and subgrantees
will follow paragraphs (b) through (i) in this section.
(b) Procurement standards.
(1) Grantees and subgrantees will use their own procurement procedures which reflect
applicable State and local laws and regulations, provided that the procurements conform to
applicable Federal law and the standards identified in this section.
(2) Grantees and subgrantees will maintain a contract administration system which ensures
that contractors perform in accordance with the terms, conditions, and specifications of their
contracts or purchase orders.
(3) Grantees and subgrantees will maintain a written code of standards of conduct governing
the performance of their employees engaged in the award and administration of contracts. No
employee, officer or agent of the grantee or subgrantee shall participate in selection, or in the
award or administration of a contract supported by Federal funds if a conflict of interest, real
or apparent, would be involved. Such a conflict would arise when:
(i) The employee, officer or agent,
(ii) Any member of his immediate family,
R10AP35278 19
(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 firm selected for award. The grantee's or subgrantee's
officers, employees or agents will neither solicit nor accept gratuities, favors or anything
of monetary value from contractors, potential contractors, or parties to subagreements.
Grantee and subgrantees 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 or conduct will provide for
penalties, sanctions, or other disciplinary actions for violations of such standards by the
grantee's and subgrantee's officers, employees, or agents, or by contractors or their
agents. The awarding agency may in regulation provide additional prohibitions relative to
real, apparent, or potential conflicts of interest.
(4) Grantee and subgrantee procedures will provide for a review of proposed procurements to
avoid purchase of unnecessary or duplicative items. Consideration should be given to
consolidating or breaking out procurements to obtain a more economical purchase. Where
appropriate, an analysis will be made of lease versus purchase alternatives, and any other
appropriate analysis to determine the most economical approach.
(5) To foster greater economy and efficiency, grantees and subgrantees are encouraged to
enter into State and local intergovernmental agreements for procurement or use of common
goods and services.
(6) Grantees and subgrantees are encouraged to use Federal excess and surplus property in
lieu of purchasing new equipment and property whenever such use is feasible and reduces
project costs.
(7) Grantees and subgrantees are encouraged to use value engineering clauses in contracts for
construction projects of sufficient size to offer reasonable opportunities for cost reductions.
Value engineering is a systematic and creative analysis of each contract item or task to
ensure that its essential function is provided at the overall lower cost.
(8) Grantees and subgrantees will make awards only to responsible contractors possessing the
ability to perform successfully under the terms and conditions of a proposed procurement.
Consideration will be given to such matters as contractor integrity, compliance with public
policy, record of past performance, and financial and technical resources.
(9) Grantees and subgrantees will maintain records sufficient to detail the significant history
of a procurement. These records will include, but are not necessarily limited to the following:
rationale for the method of procurement, selection of contract type, contractor selection or
rejection, and the basis for the contract price.
(10) Grantees and subgrantees will use time and material type contracts only—
R10AP35278 20
(i) After a determination that no other contract is suitable, and
(ii) If the contract includes a ceiling price that the contractor exceeds at its own risk.
(11) Grantees and subgrantees alone will be responsible, in accordance with good
administrative practice and sound business judgment, for the settlement of all contractual and
administrative issues arising out of procurements. These issues include, but are not limited to
source evaluation, protests, disputes, and claims. These standards do not relieve the grantee
or subgrantee of any contractual responsibilities under its contracts. Federal agencies will not
substitute their judgment for that of the grantee or subgrantee unless the matter is primarily a
Federal concern. Violations of law will be referred to the local, State, or Federal authority
having proper jurisdiction.
(12) Grantees and subgrantees will have protest procedures to handle and resolve disputes
relating to their procurements and shall in all instances disclose information regarding the
protest to the awarding agency. A protestor must exhaust all administrative remedies with the
grantee and subgrantee before pursuing a protest with the Federal agency. Reviews of
protests by the Federal agency will be limited to:
(i) Violations of Federal law or regulations and the standards of this section (violations of
State or local law will be under the jurisdiction of State or local authorities) and
(ii) Violations of the grantee's or subgrantee's protest procedures for failure to review a
complaint or protest. Protests received by the Federal agency other than those specified
above will be referred to the grantee or subgrantee.
(c) Competition.
(1) All procurement transactions will be conducted in a manner providing full and open
competition consistent with the standards of § 12.76. Some of the situations considered to be
restrictive of competition include but are not limited to:
(i) Placing unreasonable requirements on firms in order for them to qualify to do
business,
(ii) Requiring unnecessary experience and excessive bonding,
(iii) Noncompetitive pricing practices between firms or between affiliated companies,
(iv) Noncompetitive awards to consultants that are on retainer contracts,
(v) Organizational conflicts of interest,
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(vi) Specifying only a "brand name" product instead of allowing "an equal" product to be
offered and describing the performance of other relevant requirements of the
procurement, and
(vii) Any arbitrary action in the procurement process.
(2) Grantees and subgrantees will conduct procurements in a manner that prohibits the use of
statutorily or administratively imposed in -State or local geographical preferences in the
evaluation of bids or proposals, except in those cases where applicable Federal statutes
expressly mandate or encourage geographic preference. Nothing in this section preempts
State licensing laws. When contracting for architectural and engineering (A/E) services,
geographic location may be a selection criteria provided its application leaves an appropriate
number of qualified firms, given the nature and size of the project, to compete for the
contract.
(3) Grantees will have written selection procedures for procurement transactions. These
procedures will ensure that all solicitations:
(i) Incorporate a clear and accurate description of the technical requirements for the
material, product, or service to be procured. Such description shall not, in competitive
procurements, contain features which unduly restrict competition. The description may
include a statement of the qualitative nature of the material, product or service to be
procured, and when necessary, shall set forth those minimum essential characteristics and
standards to which it must conform if it is to satisfy its intended use. Detailed product
specifications should be avoided if at all possible. When it is impractical or uneconomical
to make a clear and accurate description of the technical requirements, a "brand name or
equal" description may be used as a means to define the performance or other salient
requirements of a procurement. The specific features of the named brand which must be
met by offerors shall be clearly stated; and
(ii) Identify all requirements which the offerors must fulfill and all other factors to be
used in evaluating bids or proposals.
(4) Grantees and subgrantees will ensure that all prequalified lists of persons, firms, or
products which are used in acquiring goods and services are current and include enough
qualified sources to ensure maximum open and free competition. Also, grantees and
subgrantees will not preclude potential bidders from qualifying during the solicitation period.
(d) Methods of procurement to be f —
followed (1) Procurement by small purchase procedures.
Small purchase procedures are those relatively simple and informal procurement methods for
securing services, supplies, or other property that do not cost more than the simplified acquisition
threshold fixed at 41 U.S.C. 403(l 1) (currently set at $100,000). If small purchase procedures are
used, price or rate quotations shall be obtained from an adequate number of qualified sources.
R10AP35278 22
(2) Procurement by sealed bids (formal advertising). Bids are publicly solicited and a firm -
fixed -price contract (lump sum or unit price) is awarded to the responsible bidder whose bid,
conforming with all the material terms and conditions of the invitation for bids, is the lowest
in price. The sealed bid method is the preferred method for procuring construction, if the
conditions in § 12.76(d)(2)(i) apply.
(i) In order for sealed bidding to be feasible, the following conditions should be present:
(A) A complete, adequate, and realistic specification or purchase description is
available;
(B) Two or more responsible bidders are willing and able to compete effectively and
for the business; and
(C) The procurement lends itself to a firm fixed price contract and the selection of the
successful bidder can be made principally on the basis of price.
(ii) If sealed bids are used, the following requirements apply:
(A) The invitation for bids will be publicly advertised and bids shall be solicited from
an adequate number of known suppliers, providing them sufficient time prior to the
date set for opening the bids;
(B) The invitation for bids, which will include any specifications and pertinent
attachments, shall define the items or services in order for the bidder to properly
respond;
(C) All bids will be publicly opened at the time and place prescribed in the invitation
for bids;
(D) A firm fixed -price contract award will be made in writing to the lowest
responsive and responsible bidder. Where specified in bidding documents, factors
such as discounts, transportation cost, and life cycle costs shall be considered in
determining which bid is lowest. Payment discounts will only be used to determine
the low bid when prior experience indicates that such discounts are usually taken
advantage of, and
(E) Any or all bids may be rejected if there is a sound documented reason.
(3) Procurement by competitive proposals. The technique of competitive proposals is
normally conducted with more than one source submitting an offer, and either a fixed -price
or cost - reimbursement type contract is awarded. It is generally used when conditions are not
appropriate for the use of sealed bids. If this method is used, the following requirements
apply:
R10AP35278 23
(i) Requests for proposals will be publicized and identify all evaluation factors and
their relative importance. Any response to publicized requests for proposals shall be
honored to the maximum extent practical;
(ii) Proposals will be solicited from an adequate number of qualified sources;
(iii) Grantees and subgrantees will have a method for conducting technical
evaluations of the proposals received and for selecting awardees;
(iv) Awards will be made to the responsible firm whose proposal is most
advantageous to the program, with price and other factors considered; and
(v) Grantees and subgrantees may use competitive proposal procedures for
qualifications -based procurement of architectural /engineering (A/E) professional
services whereby competitors' qualifications are evaluated and the most qualified
competitor is selected, subject to negotiation of fair and reasonable compensation.
The method, where price is not used as a selection factor, can only be used in
procurement of A/E professional services. It cannot be used to purchase other types of
services though A/E firms are a potential source to perform the proposed effort.
(4) Procurement by noncompetitive proposals is procurement through solicitation of a
proposal from only one source, or after solicitation of a number of sources, competition is
determined inadequate.
(i) Procurement by noncompetitive proposals may be used only when the award of a
contract is infeasible under small purchase procedures, sealed bids or competitive
proposals and one of the following circumstances applies:
(A) The item is available only from a single source;
(B) The public exigency or emergency for the requirement will not permit a delay
resulting from competitive solicitation;
(C) The awarding agency authorizes noncompetitive proposals; or
(D) After solicitation of a number of sources, competition is determined inadequate.
(ii) Cost analysis, i.e., verifying the proposed cost data, the projections of the data, and
the evaluation of the specific elements of costs and profits, is required.
(iii) Grantees and subgrantees may be required to submit the proposed procurement to the
awarding agency for pre -award review in accordance with paragraph (g) of this section.
R10AP35278 24
(e) Contracting with small and minority firms, women's business enterprise and labor surplus
area firms. (1) The grantee and subgrantee will take all necessary affirmative steps to assure that
minority firms, women's business enterprises, and labor surplus area firms are used when
possible.
(2) Affirmative steps shall include:
(i) Placing qualified small and minority businesses and women's business enterprises on
solicitation lists;
(ii) Assuring that small and minority businesses, and women's business enterprises are
solicited whenever they are potential sources;
(iii) Dividing total requirements, when economically feasible, into smaller tasks or
quantities to permit maximum participation by small and minority business, and women's
business enterprises;
(iv) Establishing delivery schedules, where the requirement permits, which encourage
participation by small and minority business, and women's business enterprises;
(v) Using the services and assistance of the Small Business Administration, and the
Minority Business Development Agency of the Department of Commerce; and
(vi) Requiring the prime contractor, if subcontracts are to be let, to take the affirmative
steps listed in paragraphs (e)(2) (i) through (v) of this section.
(f) Contract cost and price.
(1) Grantees and subgrantees must perform a cost or price analysis in connection with every
procurement action including contract modifications. The method and degree of analysis is
dependent on the facts surrounding the particular procurement situation, but as a starting
point, grantees must make independent estimates before receiving bids or proposals. A cost
analysis must be performed when the offeror is required to submit the elements of his
estimated cost, e.g., under professional, consulting, and architectural engineering services
contracts. A cost analysis will be necessary when adequate price competition is lacking, and
for sole source procurements, including contract modifications or change orders, unless price
reasonableness can be established on the basis of a catalog or market price of a commercial
product sold in substantial quantities to the general public or based on prices set by law or
regulation. A price analysis will be used in all other instances to determine the
reasonableness of the proposed contract price.
R10AP35278 25
(2) Grantees and subgrantees will negotiate profit as a separate element of the price for each
contract in which there is no price competition and in all cases where cost analysis is
performed. To establish a fair and reasonable profit, consideration will be given to the
complexity of the work to be performed, the risk borne by the contractor, the contractor's
investment, the amount of subcontracting, the quality of its record of past performance, and
industry profit rates in the surrounding geographical area for similar work.
(3) Costs or prices based on estimated costs for contracts under grants will be allowable only
to the extent that costs incurred or cost estimates included in negotiated prices are consistent
with Federal cost principles (see § 12.62). Grantees may reference their own cost principles
that comply with the applicable Federal cost principles.
(4) The cost plus a percentage of cost and percentage of construction cost methods of
contracting shall not be used.
(g) Awarding agency review.
(1) Grantees and subgrantees must make available, upon request of the awarding agency,
technical specifications on proposed procurements where the awarding agency believes such
review is needed to ensure that the item and /or service specified is the one being proposed for
purchase. This review generally will take place prior to the time the specification is
incorporated into a solicitation document. However, if the grantee or subgrantee desires to
have the review accomplished after a solicitation has been developed, the awarding agency
may still review the specifications, with such review usually limited to the technical aspects
of the proposed purchase.
(2) Grantees and subgrantees must on request make available for awarding agency pre -award
review procurement documents, such as requests for proposals or invitations for bids,
independent cost estimates, etc. when:
(i) A grantee's or subgrantee's procurement procedures or operation fails to comply with
the procurement standards in this section; or
(ii) The procurement is expected to exceed the simplified acquisition threshold and is to
be awarded without competition or only one bid or offer is received in response to a
solicitation; or
(iii) The procurement, which is expected to exceed the simplified acquisition threshold,
specifies a "brand name" product; or
(iv) The proposed award is more than the simplified acquisition threshold and is to be
awarded to other than the apparent low bidder under a sealed bid procurement; or
(v) A proposed contract modification changes the scope of a contract or increases the
contract amount by more than the simplified acquisition threshold.
R10AP35278 26
(3) A grantee or subgrantee will be exempt from the pre -award review in paragraph (g)(2) of
this section if the awarding agency determines that its procurement systems comply with the
standards of this section.
(i) A grantee or subgrantee may request that its procurement system be reviewed by the
awarding agency to determine whether its system meets these standards in order for its
system to be certified. Generally, these reviews shall occur where there is a continuous
high - dollar funding, and third -party contracts are awarded on a regular basis.
(ii) A grantee or subgrantee may self - certify its procurement system. Such self -
certification shall not limit the awarding agency's right to survey the system. Under a
self - certification procedure, awarding agencies may wish to rely on written assurances
from the grantee or subgrantee that it is complying with these standards. A grantee or
subgrantee will cite specific procedures, regulations, standards, etc., as being in
compliance with these requirements and have its system available for review.
(h) Bonding requirements. For construction or facility improvement contracts or subcontracts
exceeding the simplified acquisition threshold, the awarding agency may accept the bonding
policy and requirements of the grantee or subgrantee provided the awarding agency has made a
determination that the awarding agency's interest is adequately protected. If such a determination
has not been made, the minimum requirements shall be as follows:
(1) A bid guarantee from each bidder equivalent to five percent of the bid price. The "bid
guarantee" shall consist of a firm commitment such as a bid bond, certified check, or other
negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance
of his bid, execute such contractual documents as may be required within the time specified.
(2) A performance bond on the part of the contractor for 100 percent of the contract price. A
"performance bond" is one executed in connection with a contract to secure fulfillment of all
the contractor's obligations under such contract.
(3) A payment bond on the part of the contractor for 100 percent of the contract price. A
"payment bond" is one executed in connection with a contract to assure payment as required
by law of all persons supplying labor and material in the execution of the work provided for
in the contract.
(i) Contract provisions. A grantee's and subgrantee's contracts must contain provisions in
paragraph (i) of this section. Federal agencies are permitted to require changes, remedies,
changed conditions, access and records retention, suspension of work, and other clauses
approved by the Office of Federal Procurement Policy.
(1) Administrative, contractual, or legal remedies in instances where contractors violate or
breach contract terms, and provide for such sanctions and penalties as may be appropriate.
(Contracts more than the simplified acquisition threshold)
R10AP35278 27
(2) Termination for cause and for convenience by the grantee or subgrantee including the
manner by which it will be effected and the basis for settlement. (All contracts in excess of
$10,000)
(3) Compliance with Executive Order 11246 of September 24, 1965, entitled "Equal
Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and
as supplemented in Department of Labor regulations (41 CFR chapter 60). (All construction
contracts awarded in excess of $10,000 by grantees and their contractors or subgrantees)
(4) Compliance with the Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in
Department of Labor regulations (29 CFR Part 3). (All contracts and subgrants for
construction or repair)
(5) Compliance with the Davis -Bacon Act (40 U.S.C. 276a to 276a -7) as supplemented by
Department of Labor regulations (29 CFR Part 5). (Construction contracts in excess of $2000
awarded by grantees and subgrantees when required by Federal grant program legislation)
(6) Compliance with Sections 103 and 107 of the Contract Work Hours and Safety Standards
Act (40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part
5). (Construction contracts awarded by grantees and subgrantees in excess of $2000, and in
excess of $2500 for other contracts which involve the employment of mechanics or laborers)
(7) Notice of awarding agency requirements and regulations pertaining to reporting.
(8) Notice of awarding agency requirements and regulations pertaining to patent rights with
respect to any discovery or invention which arises or is developed in the course of or under
such contract.
(9) Awarding agency requirements and regulations pertaining to copyrights and rights in
data.
(10) Access by the grantee, the subgrantee, the Federal grantor agency, the Comptroller
General of the United States, or any of their duly authorized representatives to any books,
documents, papers, and records of the contractor which are directly pertinent to that specific
contract for the purpose of making audit, examination, excerpts, and transcriptions.
(11) Retention of all required records for three years after grantees or subgrantees make final
payments and all other pending matters are closed.
(12) Compliance with all applicable standards, orders, or requirements issued under section
306 of the Clean Air Act (42 U.S.C. 1857(h)), section 508 of the Clean Water Act (33 U.S.C.
1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR
part 15). (Contracts, subcontracts, and subgrants of amounts in excess of $100,000)
R10AP35278 28
(13) Mandatory standards and policies relating to energy efficiency which are contained in
the State energy conservation plan issued in compliance with the Energy Policy and
Conservation Act (Pub. L. 94 -163, 89 Stat. 871).
4. Equipment (43 CFR §12.72)
(a) Title. Subject to the obligations and conditions set forth in this section, title to equipment
acquired under a grant or subgrant will vest upon acquisition in the grantee or subgrantee
respectively.
(b) States. A State will use, manage, and dispose of equipment acquired under a gr ant by the
State in accordance with State laws and procedures. Other grantees and subgrantees will follow
paragraphs (c) through (e) of this section.
(c) Use.
(1) Equipment shall be used by the grantee or subgrantee in the program or project for which
it was acquired as long as needed, whether or not the project or program continues to be
supported by Federal funds. When no longer needed for the original program or project, the
equipment may be used in other activities currently or previously supported by a Federal
agency.
(2) The grantee or subgrantee shall also make equipment available for use on other projects
or programs currently or previously supported by the Federal Government, providing such
use will not interfere with the work on the projects or program for which it was originally
acquired. First preference for other use shall be given to other programs or projects supported
by the awarding agency. User fees should be considered if appropriate.
(3) Notwithstanding the encouragement in §12.65(a) to earn program income, the grantee or
subgrantee must not use equipment acquired with grant funds to provide services for a fee to
compete unfairly with private companies that provide equivalent services, unless specifically
permitted or contemplated by Federal statute.
(4) When acquiring replacement equipment, the grantee or subgrantee may use the
equipment to be replaced as a trade -in or sell the property and use the proceeds to offset the
cost of the replacement property, subject to the approval of the awarding agency.
(d) Management requirements. Procedures for managing equipment (including replacement
equipment), whether acquired in whole or in part with grant funds, until disposition takes place
will, as a minimum, meet the following requirements:
(1) Property records must be maintained that include a description of the property, a serial
number or other identification number, the source of property, who holds title, the acquisition
date, and cost of the property, percentage of Federal participation in the cost of the property,
the location, use and condition of the property, and any ultimate disposition data including
the date of disposal and sale price of the property.
R10AP35278 29
(2) A physical inventory of the property must be taken and the results reconciled with the
property records at least once every two years.
(3) A control system must be developed to ensure adequate safeguards to prevent loss,
damage, or theft of the property. Any loss, damage, or theft shall be investigated.
(4) Adequate maintenance procedures must be developed to keep the property in good
condition.
(5) If the grantee or subgrantee is authorized or required to sell the property, proper sales
procedures must be established to ensure the highest possible return.
(e) Disposition. When original or replacement equipment acquired under a grant or subgrant is
no longer needed for the original project or program or for other activities currently or previously
supported by a Federal agency, disposition of the equipment will be made as follows:
(1) Items of equipment with a current per -unit fair market value of less than $5,000 may be
retained, sold or otherwise disposed of with no further obligation to the awarding agency.
(2) Items of equipment with a current per unit fair market value in excess of $5,000 may be
retained or sold and the awarding agency shall have a right to an amount calculated by
multiplying the current market value or proceeds from sale by the awarding agency's share of
the equipment.
(3) In cases where a grantee or subgrantee fails to take appropriate disposition actions, the
awarding agency may direct the grantee or subgrantee to take excess and disposition actions.
(f) Federal equipment. In the event a grantee or subgrantee is provided Federally -owned
equipment:
(1) Title will remain vested in the Federal Government.
(2) Grantees or subgrantees will manage the equipment in accordance with Federal agency
rules and procedures, and submit an annual inventory listing.
(3) When the equipment is no longer needed, the grantee or subgrantee will request
disposition instructions from the Federal agency.
(g) Right to transfer title. The Federal awarding agency may reserve the right to transfer title to
the Federal Government or a third part named by the awarding agency when such a third party is
otherwise eligible under existing statutes. Such transfers shall be subject to the following
standards:
(1) The property shall be identified in the grant or otherwise made known to the grantee in
writing.
R10AP35278 30
(2) The Federal awarding agency shall issue disposition instruction within 120 calendar days
after the end of the Federal support of the project for which it was acquired. If the Federal
awarding agency fails to issue disposition instructions within the 120 calendar -day period the
grantee shall follow 12.72(e).
(3) When title to equipment is transferred, the grantee shall be paid an amount calculated by
applying the percentage of participation in the purchase to the current fair market value of the
property.
5. Supplies (43 CFR §12.73)
(a) Title. Title to supplies acquired under a grant or subgrant will vest, upon acquisition, in the
grantee or subgrantee respectively.
(b) Disposition. If there is a residual inventory of unused supplies exceeding $5,000 in total
aggregate fair market value upon termination or completion of the award, and if the supplies are
not needed for any other Federally sponsored programs or projects, the grantee or subgrantee
shall compensate the awarding agency for its share.
6. Inspection
Reclamation has the right to inspect and evaluate the work performed or being performed under
this Agreement, and the premises where the work is being performed, at all reasonable times and
in a manner that will not unduly delay the work. If Reclamation performs inspection or
evaluation on the premises of the Recipient or a sub - Recipient, the Recipient shall furnish and
shall require sub - Recipients to furnish all reasonable facilities and assistance for the safe and
convenient performance of these duties.
7. Audit (31 U.S.C. 7501 -7507)
Non - Federal entities that expend $500,000 or more in a year in Federal awards shall have a
single or program - specific audit conducted for that year in accordance with the Single Audit Act
Amendments of 1996 (31 U.S.C. 7501 -7507) and revised OMB Circular A -133. Federal awards
are defined as Federal financial assistance and Federal cost - reimbursement contracts that non-
Federal entities receive directly from Federal awarding agencies or indirectly from pass - through
entities. They do not include procurement contracts, under grants or contracts, used to buy goods
or services from vendors. Non - Federal entities that expend less than $500,000 a year in Federal
awards are exempt from Federal audit requirements for that year, except as noted in A -133,
§.215(a), but records must be available for review or audit by appropriate officials of the
Federal agency, pass - through entity, and General Accounting Office (GAO).
R10AP35278 31
8. Enforcement (43 CFR §12.83)
(a) Remedies for noncompliance. If a grantee or subgrantee materially fails to comply with any
term of an award, whether stated in a Federal statute or regulation, an assurance, in a State plan
or application, a notice of award, or elsewhere, the awarding agency may take one or more of the
following actions, as appropriate in the circumstances:
(1) Temporarily withhold cash payments pending correction of the deficiency by the grantee
or subgrantee or more severe enforcement action by the awarding agency,
(2) Disallow (that is, deny both use of funds and matching credit for) all or part of the cost of
the activity or action not in compliance,
(3) Wholly or partly suspend or terminate the current award for the grantee's or subgrantee's
program,
(4) Withhold further awards for the program, or
(5) Take other remedies that may be legally available.
(b) Hearings, appeals. In taking an enforcement action, the awarding agency will provide the
grantee or subgrantee an opportunity for such hearing, appeal, or other administrative proceeding
to which the grantee or subgrantee is entitled under any statute or regulation applicable to the
action involved.
(c) Effects of suspension and termination. Costs of grantee or subgrantee resulting from
obligations incurred by the grantee or subgrantee during a suspension or after termination of an
award are not allowable unless the awarding agency expressly authorizes them in the notice of
suspension or termination or subsequently. Other grantee or subgrantee costs during suspension
or after termination which are necessary and not reasonably avoidable are allowable if.
(1) The costs result from obligations which were properly incurred by the grantee or
subgrantee before the effective date of suspension or termination, are not in anticipation of it,
and, in the case of a termination, are noncancellable, and,
(2) The costs would be allowable if the award were not suspended or expired normally at the
end of the funding period in which the termination takes effect.
(d) Relationship to Debarment and Suspension. The enforcement remedies identified in this
section, including suspension and termination, do not preclude grantee or subgrantee from being
subject to "Debarment and Suspension" under E.O. 12549 ((2 CFR 29.5.12 and 2 CFR 1400,
Subpart Q.
R10AP35278 32
9. Termination for Convenience (43 CFR §12.84)
Except as provided in 43 CFR § 12.83 awards may be terminated in whole or in part only as
follows:
(a) By the awarding agency with the consent of the grantee or subgrantee in which case the two
parties shall agree upon the termination conditions, including the effective date and in the case of
partial termination, the portion to be terminated, or
(b) By the grantee or subgrantee upon written notification to the awarding agency, setting forth
the reasons for such termination, the effective date, and in the case of partial termination, the
portion to be terminated. However, if, in the case of a partial termination, the awarding agency
determines that the remaining portion of the award will not accomplish the purposes for which
the award was made, the awarding agency may terminate the award in its entirety under either
§ 12.83 or paragraph (a) of this section.
10. Debarment and Suspension (2 CFR §1400)
The Department of the Interior regulations at 2 CFR 1400— Governmentwide Debarment and
Suspension ( Nonprocurement), which adopt the common rule for the governmentwide system of
debarment and suspension for nonprocurement activities, are hereby incorporated by reference
and made a part of this Agreement. By entering into this grant or cooperative Agreement with
the Bureau of Reclamation, the Recipient agrees to comply with 2 CFR 1400, Subpart C, and
agrees to include a similar term or condition in all lower -tier covered transactions. These
regulations are available at http://www.gpoaccess.gov/ecfr/.
11. Drug -Free Workplace (43 CFR §43)
The Department of the Interior regulations at 43 CFR 43— Governmentwide Requirements for
Drug -Free Workplace (Financial Assistance), which adopt the portion of the Drug -Free
Workplace Act of 1988 (41 U.S.C. 701 et seq, as amended) applicable to grants and cooperative
Agreements, are hereby incorporated by reference and made a part of this Agreement. By
entering into this grant or cooperative Agreement with the Bureau of Reclamation, the Recipient
agrees to comply with 43 CFR 43, Subpart B, if the Recipient is not an individual, or with 43
CFR 43, Subpart C, if the Recipient is an individual. These regulations are available at
http://www.gpoaccess.gov/ecfr/.
12. Assurance and Certifications Incorporated by Reference
The provisions of the Assurances, SF 424B or SF 424D as applicable, executed by the Recipient
in connection with this Agreement shall apply with full force and effect to this Agreement. All
anti - discrimination and equal opportunity statutes, regulations, and Executive Orders that apply
to the expenditure of funds under Federal contracts, grants, and cooperative Agreements, loans,
and other forms of Federal assistance. The Recipient shall comply with Title VI or the Civil
Rights Act of 1964, Title IX of the Education Amendments of 1972, Section 504 of the
Rehabilitation Act of 1973, the Age Discrimination Act of 1975, and nay program - specific
R10AP35278 33
statutes with anti - discrimination requirements. The Recipient shall comply with civil rights laws
including, but not limited to, the Fair Housing Act, the Fair Credit Reporting Act, the Americans
with Disabilities Act, Title VII of the Civil Rights Act of 1964, the Equal Educational
Opportunities Act, the Age Discrimination in Employment Act, and the Uniform Relocation Act.
Such Assurances also include, but are not limited to, the promise to comply with all applicable
Federal statutes and orders relating to nondiscrimination in employment, assistance, and housing;
the Hatch Act; Federal wage and hour laws and regulations and work place safety standards;
Federal environmental laws and regulations and the Endangered Species Act; and Federal
protection of rivers and waterways and historic and archeological preservation.
13. Covenant Against Contingent Fees
The Recipient warrants that no person or agency has been employed or retained to solicit or
secure this Agreement upon an Agreement or understanding for a commission, percentage,
brokerage, or contingent fee, excepting bona fide employees or bona fide offices established and
maintained by the Recipient for the purpose of securing Agreements or business. For breach or
violation of this warranty, the Government shall have the right to annul this Agreement without
liability or, in its discretion, to deduct from the Agreement amount, or otherwise recover, the full
amount of such commission, percentage, brokerage, or contingent fee
14. Trafficking Victims Protections Act of 2000 (2 CFR §175.15)
(a) To implement the trafficking in persons requirement in section 106(g) of the TVPA, as
amended, a Federal awarding agency must include the award term in paragraph (b) of this
section in
(1) A grant or cooperative agreement to a private entity, as defined in § 175.25(d); and
(2) A grant or cooperative agreement to a State, local government, Indian tribe or foreign
public entity, if funding could be provided under the award to a private entity as a
subRecipient.
(b) The award term that an agency must include, as described in paragraph (a) of this section, is:
(I) 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
R10AP35278 34
(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.l 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. l 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 part 1400.
(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.I 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. l 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 part 1400.
(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.l 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
R10AP35278 35
(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. l 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.
(2) "Forced labor" means labor obtained by any of the following methods: the recruitment,
harboring, transportation, provision, or obtaining of a person for labor or services, through
the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude,
peonage, debt bondage, or slavery.
(3) "Private entity ":
(i) Means any entity other than a State, local government, Indian tribe, or foreign public
entity, as those terms are defined in 2 CFR 175.25.
(ii) Includes:
(A) A nonprofit organization, including any nonprofit institution of higher education,
hospital, or tribal organization other than one included in the definition of Indian tribe
at 2 CFR 175.25(b).
(B) A for -profit organization.
(4) "Severe forms of trafficking in persons," "commercial sex act," and "coercion" have the
meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).
(c) An agency may use different letters and numbers to designate the paragraphs of the award
term in paragraph (b) of this section, if necessary, to conform the system of paragraph
designations with the one used in other terms and conditions in the agency's awards
R10AP35278 36
15. New Restrictions on Lobbying (43 CFR §18)
The Recipient agrees to comply with 43 CFR 18, New Restrictions on Lobbying, including the
following certification:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
Recipient, to any person for influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, and 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, 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, the
undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report
Lobbying" in accordance with its instructions.
(3) The Recipient shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subRecipients shall certify 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.
R10AP35278 37
7 -2279 (05- 22 -09)
Bureau of Reclamation
UNITED STATES DEPARTMENT OF THE INTERIOR
BUREAU OF RECLAMATION
ASSISTANCE AGREEMENT Paae l of 39
IA. AGREEMENT NUMBER
1 B. MOD NUMBER
2. TYPE OF AGREEMENT
3. CLASS OF RECIPIENT
R10AP35278
[ X ] GRANT
1
City
COOPERATIVE AGREEMENT
4. ISSUING OFFICE (NAME, ADDRESS)
5. RECIPIENT (NAME, ADDRESS, TELEPHONE)
Southern California Area Office
City of Anaheim
Bureau of Reclamation
201 South Anaheim Blvd. l l Floor
27708 Jefferson Avenue, Suite 202
Anaheim, CA 92805
Temecula, CA 92590
EIN #:
95- 6000666
County:
Orange
DUNS #:
04432 -9993
Congress. Dist:
42
6. ADMINISTRATIVE POINT OF CONTACT (NAME, ADDRESS, TELEPHONE, E - MAIL)
7. RECIPIENT PROJECT MANAGER (NAME, ADDRESS, TELEPHONE, E - MAIL)
Leslie Cleveland
Issis Macias
Southern California Area Office
City of Anaheim
Bureau of Reclamation
201 South Anaheim Blvd., Suite 601
27708 Jefferson Avenue, Suite 202
Anaheim, CA 92805
Temecula, CA 92590
714- 765 -5029 IMacias @anaheim.net
Phone: 951- 695 -5310, E -mail: LCleveland @usbr.gov
8. GRANTS OFFICER TECHNICAL REPRESENTATIVE (NAME, ADDRESS, TELEPHONE, E-
9A. INITIAL AGREEMENT
9B. MODIFICATION EFFECTIVE DATE:
MAIL)
Debra Whitney
EFFECTIVE DATE:
See block 17a
Bureau of Reclamation
27708 Jefferson Avenue, Suite 202
10. COMPLETION DATE
Temecula, CA 92590
Phone: 951- 695 -5310, E -mail: DWhitney @usbr.gov
December 1, 2011
11. PROGRAM STATUTORY AUTHORITY: P.L. 111 -11 Omnibus Public Lands Management Act of 2009, Sec. 9504, (42 U.S.C.
CFDA 15.530
10364). The Secretary may provide any grant to, or enter into an agreement with, any eligible applicant to assist the applicant in
planning, designing, or constructing any improvement —(A) to conserve water; (B) to increase water use efficiency; (C) to facilitate
water markets; (D) to enhance water management, including increasing the use of renewable energy in the management and delivery
of water; (E) to accelerate the adoption and use of advanced water treatment technologies to increase water supply; (F) to prevent
decline of endangered species; and (G) to enhance recovery of threatened and endangered species and other activities in line with
Reclamation's mission and associated with waters st s/supplies affected by Reclamation projects.
12. FUNDING
RECIPIENT /OTHER
RECLAMATION
13. REQUISITION NUMBER 10350100032
INFORMATION
Total Estimated Amount
$600 ,643
$100,000
14A. ACCOUNTING AND APPROPRIATION DATA
of Agreement
N12 -1852- 7901 - 000- 00 -0 -0
This Obligation
g
$600,643
$100,000
3501000
411G
Previous Obligation
0
0
Total Obligation
$600,643
$100,000
14B. TREASURY ACCOUNT FUNDING SYMBOL
14.0680
Cost -Share %
86%
14%
15. PROJECT TITLE AND BRIEF SUMMARY OF PURPOSE AND OBJECTIVES OF PROJECT Centralized Weather -Based Controllers and Rotary Nozzles
Project: The City is proposing to replace 70 irrigation system controllers and 40,252 conventional sprinkler heads with modern, centralized
weather -based controllers and rotary nozzles. The project will improve water management through the use of new technologies and will conserve
1286 AF of water the City draws from the California-Bay Delta over 20 y ears.
16a. Acceptance of this Assistance Agreement in accordance with the terns and
17a. Award of this Assistance Agreement in accordance with the terns and
conditions contained herein is hereby made on behalf of the above -named
conditions contained herein is hereby made on behalf of the United States of
Recipient
America, Bureau of Reclamation
BY:
BY:
DATE:
DATE:
16b. NAME, TITLE, AND TELEPHONE NUMBER OF SIGNER
17b. NAME OF GRANTS OFFICER
Mr. Donald C. Calkins
William J. Steele
Assistant General Manager
Grants Officer
714 - 765 -4268
951- 695 -5310
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