Ordinance No. 12,143ORDINANCE NO. 12,143
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF BAYTOWN,
TEXAS, AUTHORIZING THE COMMUNITY DEVELOPMENT BLOCK GRANT
DISASTER RECOVERY PROGRAM ROUND 2.2 NON - HOUSING GRANT
AGREEMENT WITH THE TEXAS GENERAL LAND OFFICE; MAKING OTHER
PROVISIONS RELATED THERETO; AND PROVIDING FOR THE EFFECTIVE
DATE THEREOF.
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF BAYTOWN, TEXAS:
Section 1: That the City Council of the City of Baytown hereby authorizes and directs the
City Manager to execute the Community Development Block Grant Disaster Recovery Program Round
2.2 Non - Housing Grant Agreement with the Texas General Land Office. A copy of said agreement is
attached hereto as Exhibit "A," and incorporated herein for all intents and purposes.
Section 2: This ordinance shall take effect immediately from and after its passage by the
City Council of the City of Baytown.
INTRODUCED, READ and PASSED by the affirmative y{ite of the City Council of the City of
Baytown this the 13th day of December, 2012. 7 1
APPROVED
etgNACIO RAMIREZ, SR., City rney
R:\Karen \Files \City Council \Ordinances\2012\Deccmber 13\ GLOAgreement4CDBGDisasterRecoveryEntitlementGmn lFunding.doc
Mayor
Exhibit "A"
GLO CONTRACT No. 13-238-000-7421
COMMUNITY DEVELOPMENT BLOCK GRANT
DISASTER RECOVERY PROGRAM
ROUND 2.2 NON - HOUSING GRANT AGREEMENT
This Community Development Block Grant Disaster Recovery ( "CDBG -DR ") grant agreement
(tile "Contract ") is entered into by and between the GENERAL LAND OFFICE ( "the GLO "), a
Texas state agency, and the CITY OF BAYTOWN ( "Grantee "), hereinafter referred to collectively
as "the Parties," to provide financial assistance with fiends appropriated by the Consolidated
Security, Disaster Assistance, and Continuing Appropriation Act (Public Law 110 -329) enacted
on September 30, 2008, to facilitate disaster recovery, restoration, economic revitalization, and
to affirmatively further fair housing, in accordance with Executive Order 12892, in areas affected
by Hurricanes Dolly and Ike, which are Presidentially - declared major disaster areas under Title
IV of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 el
seq. ).
ARTICLE 1 - GENERAL PROVISIONS
1.01 SCOPE OF PROJECT AND GRANT AWARD
(a) Scope of Project
The purpose of this Contract is to set forth the terms and conditions of a Grant from
the GLO to Grantee under the CDBG Disaster Recovery program ( "CDBG -DR" or
"the Program "). In strict conformance with the terms and conditions of this Contract.
Grantee shall conduct disaster recovery projects and economic revitalization activities
as authorized by the GLO for and in the City of Baytown, as detailed in the
Performance Statement, attached hereto and incorporated herein for all purposes as
Attachment A (the "Project "). The Project shall be conducted in strict accordance
with the terms of this Contract, including all Contract Documents in SECTION 1.02,
below, and any Amendments, Revisions or Technical Guidance Letters issued by the
GLO.
(b) Grant Award
Grantee submitted a Grant Application for grant under the Program, and the GLO is
entering into this Contract based on Grantee's Application.
Subject to the terms and conditions of this Contract and Grantee's Application, the
GLO agrees to make a grant to Grantee in an amount not to exceed SIXTEEN
MILLION ONE HUNDRED TWO THOUSAND EIGHT HUNDRED NINETY -EIGHT
DOLLARS ($16,102,898.00), payable as reimbursement of allowable expenses
GLO Contract No. 13 -238- 000 -7421
V4_42712 Page I or21
incurred by Grantee, to be used in strict conformance with the terms of this Contract
and the Project Budget in Attachment B.
The GLO is not liable to Grantee for any costs incurred by Grantee before the
effective date of this Contract or after the expiration or termination of this Contract.
However, the GLO in its sole discretion, may reimburse Grantee for allowable
program costs incurred prior to the effective date of this Contract.
1.02 CONTRACT DOCUMENTS
The GLO and Grantee hereby agree that this document and the following documents,
attached hereto and incorporated herein in their entirety for all purposes (the
"Attachments "), shall govern this Contract:
ATTACHMENT A: Performance Statement and Implementation Schedule
ATTACHMENT B: Project Budget
ATTACHMENT C: Nonexclusive list of Applicable Laws, Rules, and Regulations
ATTACHMENT D: General Affirmations
ATTACHMENT E: Federal Assurances -- Non - Construction Programs SF -424B (Rev.
7 -97) and Certifications Regarding Lobbying Lower Tier Covered
Transactions (Form CD -512, Rev. 12 -04)
ATTACHMENT F: Special Conditions
1.03 GUIDANCE DOCUMENTS
Grantee shall be deemed to have read and understood and agrees to abide by all guidance
documents applicable to the CDBG -DR program including but not limited to:
the CDBG -DR Project Implementation Manual found at:
http:Hwww.glo.texas.gov/GLO/ disaster - recovery /nonhousing /fonns-
publications.html;
the State of Texas Action Plan for Disaster Recovery found at:
httl2:/hvwNv.alo.texas.gov /GLO/ disaster - recovery /action- plans.htnil;
and the Conciliation Agreement between the Texas Low Income Housing
Information Service and Texas Applesecd, and the State of Texas, by and
through the Texas Department of Rural Affairs and the Texas Department
of Housing and Community Affairs, as approved by HUD in its letter
dated May 26, 2010, to the Office of the Attorney General of Texas.
1.04 DEFINITIONS
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"Act" means Title I of the Housing and Community Development Act of 1974, as
amended (42 U.S.C. Sec. 5301 et seq.); and Public Law 110 -329.
"Activi ' means a defined class of works or services authorized to be accomplished
using CDBG -DR grant funds. Activities are specified in Grantee Budgets as `Category,'
and the terms are interchangeable tinder this Contract.
GLO Contract No. 13 -238- 000 -7421
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"Administrative and Audit Regulations" means the regulations included in Title 24, CFR.
Part 85. Chapter 321 of the Government Code; Subchapter F of Chapter 2155 of the
Government Code; and the requirements of Article VII herein. With regard to any federal
funding, agencies with the necessary legal authority include: the relevant federal agency,
the Comptroller General, the General Accounting Office, the Office of Inspector General,
and any of their authorized representatives. In addition, with regard to any state funding,
state agencies with the necessary legal authority include: the GLO, the GLO's contracted
examiners, the State Auditor's Office, and the Texas Attorney General's Office.
"Amendment" means a written agreement, signed by the parties hereto, which documents
alterations to the Contract other than those permitted by Work Orders, Technical
Guidance Letters, or Revisions, as herein defined.
"Application" or "Grant Application" means the information provided by Grantee, which
is the basis for the award of funding under this Contract.
"Budget" means the budget for the Project funded by the Contract, a copy of which is
included in Attachment B.
"C.F.R." means the United States Code of Federal Regulations.
"CDBG -DR" means the U.S. Department of Housing and Urban Development's
Community Development Block Grant Disaster Recovery program.
"Certificate of Construction Completion" means a document to be executed by the
construction contractor, Engineer, and Grantee, for each construction project which,
when fully executed, indicates acceptance of the completed Project.
"Construction Documents" means the engineering specifications, construction plans,
and/or architectural plans for the construction of improvements approved by the GLO
under the Contract, if any.
"Contract" means this entire document, along with any Attachments, both physical and
incorporated by reference; and any Amendments, Revisions, or Technical Guidance
Letters that may be issued by the GLO, to be incorporated by reference herein for all
purposes as they are issued, if any.
"Contract Documents" means the documents listed in SECTION 1.02.
"Contract Period" means the period of time between the effective date of a contract and
its expiration or tenrination date.
"'Deliverable(s)" means the work product(s) required to be submitted to the GLO as set
forth in the Project Implementation Manual, including all reports and other project
documentation.
"Equipment" means tangible personal property have a useful life of more than one (1)
year and an acquisition cost of Five Thousand Dollars ($5,000.00) or more per unit.
"Event of Default" means the occurrence of any of the events set forth in SECTION 3.03
herein.
GLO Contract No. 13- 238 - 000 -7421
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�
"Federal Assurances" means Standard Form 424B (Rev. 7 -97), as prescribed by OMB
Circular A -102 (non - construction programs) in Attachment E.
"'Federal Certifications" means U.S. Department of Commerce Form CD -512 (Rev 12-
04), "Certifications Regarding Lobbying - Lower Tier Covered Transactions," and
Standard Form LI.,I_. (Rev. 7 -97), Disclosure of Lobbying Activities, also in Attachment
E.
"Fiscal Year" means the period beginning September 1 and ending August 31 each year,
which is the annual accounting period for the State of Texas.
"GAAP" means "Generally Accepted Accounting Principles," as applicable.
"GASB" means accounting principals as defined by the Governmental Accounting
Standards Board, as applicable.
"General Affirmations" means the affirmations in Attachment D, to which Grantee
certifies by the signing of this Contract.
"GI.,O" means the Texas General Land Office, its officers, employees, and designees.
"HUB" means Historically Underutilized Business as defined by Chapter 2161 of the
Texas Government Code.
"IUD" means the United States Department of Housing and Urban Development.
"Implementation Schedule" means the schedule by which various project milestones
must be met by Grantee, and is attached hereto as part of Attachment A.
"Performance Statement" means the statement of work contained in Attachment A.
"PMC" means the GLO's Project Management Company, fINTB Corporation.
"Pro ram'' means the Community Development Block Grant - Disaster Recovery program
administered by HUD, in cooperation with the GLO.
"Project" means the work to be performed under this Contract, as described in SECTION
1.01(a) above, SCOPE OF PROJECT, and as detailed in Attachment A.
"Project Completion Report' means a report containing an "as built" accounting of all
projects completed under a CDBG -DR grant, and containing all information required to
completely close out a grant file.
"Project t Implementation Manual" means a set of guidelines for the CDBG -DR grant
program.
"Public Information Act" means Chapter 552 of the Texas Government Code.
"Revision" means written approval by the GLO to allow changes to Deliverable duc
dates, movement of funds among Budget categories, and other Contract adjustments that
may be approved outside the GLO's formal Amendment process.
"Technical Guidance Letter" or "TGL" means
interpretation of the requirements of the CDBG -DR,
recipients, applicable to specific subject matter, t o
participants shall be subject.
GLO Contract No. 13- 238 - 000 -7421
v442712 Page 4 of 21
an instruction, clarification, or
issued by the GLO to specified
which the addressed Program
"U.S.C." means the United States Code.
1.05 INTERPRETIVE PROVISIONS
Y442712
(a) The meanings of defined terms are equally applicable to the singular and plural
forms of the defined terms;
(b) The words "hereof," "herein," "hereunder," and similar words refer to this
Contract as a whole and not to any particular provision, section, attachment, work
order, or schedule of this Contract, unless otherwise specified;
(c) The term "including" is not limiting, and means "including without limitation"
and, unless otherwise expressly provided in this Contract,
(d) references to contracts (including this Contract) and other contractual instruments
shall be deemed to include all subsequent amendments and other modifications
thereto, but only to the extent that such amendments and other modifications are
not prohibited by the terms of this Contract, and
(c) references to any statute or regulation are to be construed as including all
statutory and regulatory provisions consolidating, amending, replacing,
supplementing, or interpreting the statute or regulation;
(f) The captions and headings of this Contract are for convenience of reference only
and shall not affect the interpretation of this Contract;
(g) All attaclunents within this Contract, including those incorporated by reference,
and any amendments, are considered part of the terms of this Contract;
(h) This Contract may use several different limitations, regulations, or policies to
regulate the same or similar matters. All such limitations, regulations, and
policies are cumulative and each shall be performed in accordance with its terms;
(i) Unless otherwise expressly provided, reference to any action of the GLO or by the
GLO by way of consent, approval, or waiver shall be deemed modified by the
phrase "in the sole discretion of the GLO."
Notwithstanding the preceding sentence, any approval, consent, or waiver
required by, or requested of, the GLO shall not be unreasonably withheld or
delayed;
(j) All due dates and /or deadlines referenced in this Contract that occur on a weekend
or holiday shall be considered as if occurring on the next business day;
(k) All time periods in this Contract shall commence on the day after the date on
which the applicable event occurred, report is submitted, or request is received;
and
(1) Time is of the essence in this Contract.
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ARTICLE 2 — REIMBURSEMENT, ADVANCE PAYMENT,
BUDGET VARIANCE, AND INCOME
2.01 REIMBURSEMENT REQUESTS
Each invoice shall be supported by actual receipts, cancelled checks, and/or such other
documentation that, in the judgment of the GLO, allows for full substantiation of the
costs incurred. Requests for payment must be submitted in Word or WordPerfect format
via email.
2.02 REQUESTS FOR REIMBURSEMENT UNDER THIS CONTRACT MUST BE RECEIVED BY THE
GLO NOT LATER THAN SIXTY (60) DAYS FROM THE DATE GRANTEE INCURS THE
EXPENSE. NOTWITHSTANDING THE PRECEDING.) REQUESTS FOR REIMBURSEMENT FOR
EXPENSES INCURRED BY ANY SUBCONTRACTOR MUST BE RECEIVED BY THE GLO NOT
LATER THAN THIRTY (30) DAYS FROM THE DATE THE GRANTEE RECEIVES THAT INVOICE
FROM A SUBCONTRACTOR. FAILURE BY GRANTEE TO COMPLY IN A TIMELY MANNER
WITH THESE TWO REQUIREMENTS MAY, AT THE GLO'S SOLE DISCRETION, RESULT IN
DENIAL OF THE REQUEST FOR REIMBURSEMENT.
2.03 ADVANCE PAYMENTS
If necessary and if allowed by law, Grantee's requests for an advance of funds shall be
limited to the minimum amount needed for effective accomplishment of the Project under
this Contract, and shall be timed as closely as possible to actual cash requirements.
Grantee shall establish procedures to minimize the time elapsing between the transfer of
funds from the GLO to Grantee, and shall ensure that such funds are disbursed as soon as
administratively possible.
2.04 BUDGET VARIANCE
Amendments to decrease or increase the Budget, or to add or delete a Grantee Activity
may be made only by written agreement of the parties, under the formal amendment
process. In the sole discretion of the GLO, and in conformance with federal law, other
adjustments as may be required during project performance may be approved by the GLO
by way of a Revision or Technical Guidance Letter. Such approvals must be in writing,
and may be delivered by regular mail, electronic mail, or facsimile transmission.
GRANTEE SHALL SUBMIT AN ACTUAL BUDGET AND A CERTIFICATE OF EXPENDITURES
TO THE GLO NO LATER THAN SIXTY (60) DAYS AFTER THE CONTRACT TERMINATION
DATE OR AT THE CONCLUSION OF ALL CONTRACT ACTIVITIES9 WHICHEVER OCCURS
FIRST. THE CERTIFICATE OF EXPENDITURES SHALL BE IN A FORMAT PRESCRIBED BY
THE GLO AND SHALL BE ACCOMPANIED BY A FINAL PROJECT COMPLETION REPORT OF
ALL ACTIVITIES PERFORMED UNDER THIS CONTRACT.
2.05 INCOME
Grantee shall maintain records of the receipt and accrual of all Program income in the
same manner as required for all other funds under this Contract, and Grantee shall
provide reports of Program income to the GLO with each form submitted by Grantee in
accordance with ARTICLE 4 of this Contract. All Program income must be returned to the
GLO on at least a quarterly basis and must be reported to the GLO, as requested.
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2.06 GRANT OFFER SUBJECT TO CANCELLATION
IF GRANTEE DOES NOT RETURN THE ORIGINAL SIGNED CONTRACT TO THE GLO
WITHIN THIRTY (30) DAYS OF TRANSMITTAL OF THE CONTRACT TO GRANTEE, GRANT
FUNDING FOR THE PROJECT MAY BE SUBJECT TO CANCELLATION.
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v442712
ARTICLE 3 -- DURATION, EXTENSION, TERKWATION,
DEFAULT, AND REMEDIES
3.01 DURATION OF CONTRACT AND EXTENSION OF TERM
This Contract shall become effective on the date signed by the last party, and shall
terminate on December 31, 2015 ( "Contract Period'). Notwithstanding the preceding
sentence, Grantee must adhere to all Proiect milestones in Attachment A; as may be
revised, failure to meet any milestone may result in termination under SECTION 3.02,
be=
Upon receipt of a written request and acceptable justification from Grantee, the GLO may
amend this Contract to extend the Contract Period. ANY REQUEST FOR EXTENSION MUST
BE RECEIVED BY THE GLO AT LEAST SIXTY (60) DAYS BEFORE THE ORIGINAL
TERMINATION DATE OF THIS CONTRACT AND, IF APPROVED9 SUCH EXTENSION SHALL BE
BY WRITTEN AMENDMENT.
3.02 EARLY TERMINATION
The GLO may terminate this Contract by giving written notice specifying a termination
date at least thirty (30) days subsequent to the date of the notice. Upon receipt of such
notice, Grantee shall cease work, undertake to terminate any relevant subcontracts, and
incur no further expense related to this Contract. Such early termination shall be subject
to the equitable settlement of the respective interests of the parties, accrued up to the date
of termination.
3.03 EVENTS OF DEFAULT
Each of the following events shall constitute an Event of Default under this Contract: (i)
Grantee's failure to comply with any term, covenant, or provision contained in this
Contract; (ii) Grantee makes a general assignment for the benefit of creditors or takes any
similar action for the protection or benefit of creditors; or (iii) if at any time, Grantee
makes any representation or warranty that is incorrect in any material respect to the
Performance Statement, any request for payment submitted to the GLO, or any report
submitted to the GLO related to the Contract.
3.04 REMEDIES! NO WAIVER
Upon the occurrence of any such Event of Default, the GLO shall be entitled to avail itself
of any equitable or legal remedy. A right or remedy conferred by this Contract upon either
party is not intended to be exclusive of any other right or remedy, and each and every right
and remedy shall be cumulative and in addition to any other right or remedy given under
this Contract, or hereafter legally existing, upon the occurrence of an Event of Default. The
failure of the GLO either to insist at any time upon the strict observance or performance of
any of the provisions of this Contract, or the GLO's failure to exercise any right or remedy
as provided in this Contract, shall not impair any such right or remedy or be construed as a
waiver or relinquishment thereof with respect to subsequent Events of Default.
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ARTICLE 4 - GRANT ADMINISTRATION
4.01 SUBMISSIONS - GENERALLY
Except for legal notices that must be sent by specific instructions pursuant to SECTION
8.11 of the Contract, NOTICES, and all other reports and documentation as required by the
Project Implementation Manual; any report, form, or request required to be submitted to
the GLO under this Contract shall be sent in the format prescribed by the GLO.
4.02 FORMS
Grantee must execute the applicable forms included in Attachment E, and
certifies by the execution of this Contract to all affirmations in Attachment D,
confirming compliance with required state and federal laws applicable to the
Contract.
(a) General Affirmations are found in Attachment D, and Grantee certifies
by the execution of this Contract to all statements therein.
(b) The Federal Assurances for Non - Construction Programs (Standard Form
424B), as applicable to the Project, is found at Page I of Attachment E,
and must be executed by Grantee.
(c) Certifications Regarding Lobbying Lower Tier covered Transactions
(Form CD -512) is found at Page 3 of Attachment E, and must be
executed by Grantee.
(d) If any funds granted under this Contract have been used for lobbying
purposes, Grantee must complete and execute Standard Form LLL,
Disclosure of Lobbying Activities, found at Page 4 of Attachment E.
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GLO Contract No. 13- 238-000 -7421
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ARTICLE 5 - FEDERAL AND STATE FUNDING,
RECAPTURE, REDISTRIBUTION, RETAINAGE, AND OVERPAYMENT OF FUNDS
5.01 FEDERAL FUNDING
(a) Funding for this Contract is appropriated under the Consolidated Security,
Disaster Assistance, and Continuing Appropriation Act (Public Law 110 -329)
enacted on September 30, 2008, to facilitate disaster recovery, restoration,
economic revitalization, and to affirmatively further fair housing in accordance
with Executive Order 12892, in areas affected by Hurricanes Dolly and Ike, which
are Presidentially - declared major disaster areas tinder Title IV of the Robert T.
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.).
The fulfillment of this Contract is based on those funds being made available to
the GLO as the lead administrative state agency. ALL EXPENDITURES UNDER
THIS CON'T'RACT MUST BE MADE IN ACCORDANCE WITH THIS CONTRACT, THE
RULES AND REGULATIONS PROMULGATED UNDER THE CDBG -DR PROGRAM,
AND ANY OTHER APPLICABLE LAWS. FURTHER, GRANTEE ACKNOWLEDGES
THAT ALL FUNDS ARE SUBJECT TO RECAP'T'URE AND REPAYMENT FOR NON-
COMPLIANCE.
(b) All participants in the CDBG -DR grant program must have a data universal
numbering system (DUNS) number, as well as a Commercial And
Government Entity (CAGE) Code.
(c) The DUNS number and CAGE Code must be reported to the GLO for use in
various grant reporting documents, and may be obtained by visiting the
System for Award Management web site at:
www.sam.gov
Assistance with this web site may be obtained by calling 866 -606 -8220.
5.02 STATE FUNDING
This Contract shall not be construed as creating any debt on behalf of the State of Texas
and/or the GLO in violation of Texas Constitution, Article III, Section 49. In compliance
with Texas Constitution, Article VIII, Section 6, it is understood that all obligations of the
GLO hereunder are subject to the availability of state funds. If such funds are not
appropriated or become unavailable, this Contract may be terminated. In that event, the
parties shall be discharged from further obligations, subject to the equitable settlement of
their respective interests, accrued up to the date of termination.
5.03 RECAPTURE OF FUNDS
Grantee shall conduct the Project as set forth in the Contract, in a satisfactory manner as
determined by the GLO. The discretionary right of the GLO to terminate for convenience
under this Article notwithstanding, it is expressly understood and agreed by Grantee that
the GLO shall have the right to terminate the Contract and recapture, and be reimbursed
for, any payments made by the GLO that Grantee has not used in strict accordance with
GLO Contract No. 13 -238- 000 -7421
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Page 10 of 21
the terms and conditions of this Contract. This paragraph specifically includes the
mandatory recapture of any funds used for the completion of any individual project
that does not provide benefits to the beneficiaries as specified in the Performance
Statement in Attachment A.
5.04 REDISTRIBUTION OF FUNDS
Within sixty (60) days after receipt of non - housing project bids, Grantee must obligate
excess funds remaining, if any. Failure to do so will result in redistribution of the funds
to other Grantees or eligible entities for qualified projects.
5.05 RETAINAGE
To ensure full performance, the GLO may retain an amount equal to five percent (5 %) of
Grantee's grant funds until completion and acceptance by the GLO of the Project. The
GLO shall make a final disbursement only upon receipt of documentation sufficient to
determine that Grantee has completed the Project in accordance with the Contract
Documents, requirements of the Contract; and all applicable law, rules, and regulations.
5.06 OVERPAYMENT
Grantee understands and agrees that it shall be liable to the GLO for any costs disallowed
pursuant to financial and compliance audit(s) of funds received under this Contract.
Grantee further understands and agrees that reimbursement of such disallowed costs shall
be paid by Grantee from funds which were not provided or otherwise made available to
Grantee under this Contract.
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ARTICLE 6 - INTELLECTUAL PROPERTY
6.01 OWNERSHIP AND USE
(a) The parties to this Contract expressly agree that all right, title, and interest in, and to, all
reports, drafts of reports, or other material, data, drawings, computer programs and
codes associated with this Contract, and/or any copyright or other intellectual property
rights, and any material or information developed and/or required to be delivered under
this Contract shall be jointly owned by the parties with each party having the right to
use, reproduce, or publish any or all of such information and other materials without the
necessity of obtaining permission from the other party and without expense or charge.
(b) The GLO and HUD are granted a royalty free, non - exclusive, and irrevocable license
to reproduce, publish, or otherwise use, and to authorize others to use, for U.S.
Government purposes, all reports, drafts of reports, or other material, data, drawings,
computer programs, and codes associated with this Contract, and/or any copyright or
other intellectual property rights, and any material or information developed and/or
required to be delivered under this Contract.
6.02 NONENDORSEMENT BY STATE AND THE UNITED STATES
Grantee shall not publicize or otherwise circulate promotional material (such as
advertisements, sales brochures, press releases, speeches, still and motion pictures,
articles, manuscripts, or other publications) that states or implies State of Texas or U.S.
Government, or government employee, endorsement of a product, service, or position
that the Grantee represents. No release of information relating to this Grant may state or
imply that the State of Texas or the U.S. Government approves of Grantee's work
products, or considers Grantee's work product to be superior to other products or
services.
6.03 APPROVAL OF PUBLICATION AND SPECIFIC DISCLAIMER REQUIRED
Prior to publication, Grantee must submit to the GLO, for HUD approval, any public
information releases concerning this Grant Award that refer to HUD or any bureau or
employee. The specific text, layout photographs, and so forth, of the proposed release must
be submitted with the request for approval. The specific acknowledgements and funding
statements that must be included in certain publications funded by the Grantee are set forth
in the Contract Documents.
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ARTICLE 7 - RECORDS, AUDIT, PROPRIETARY INFORMATION,
AND PUBLIC DISCLOSURE
7.01 BOOKS AND RECORDS
Grantee shall keep and maintain under GAAP or GASB, as applicable, full, true, and
complete records necessary to fully disclose to the GLO, the Texas State Auditor's Office,
the United States Government, and/or their authorized representatives, sufficient
information to determine compliance with the terms and conditions of this Contract and all
state and federal rules, regulations, and statutes including, but not limited to, the Non -
Exclusive List of Applicable Laws, Rules, and Regulations provided in Attachment C.
7.02 INSPECTION AND AUDIT
Grantee agrees that all relevant records related to this Contract or any work product
produced, including those of its subcontractors, shall be subject at any reasonable time to
inspection, examination, review, audit, and copying at any location where such records may
be found, with or without notice by the Texas State Auditor's Office, the GLO, its
contracted examiners, or the Texas Attorney General's Office. In addition, HUD, the
Comptroller General, the General Accounting Office, the Office of inspector General, or
any authorized representative of the U.S Government shall also have this right of
inspection.
The GLO reserves the right to perform periodic on -site monitoring of Grantee's
compliance with the terms and conditions of this Contract, assurance of non - duplication
of beneficiaries and of the adequacy and timeliness of Grantee's performances under this
Contract. After each monitoring visit, the GLO shall provide Grantee with a written
report of the findings. If the monitoring report notes deficiencies in Grantee's
performances under the terms of this Contract, the monitoring report shall include
requirements for the timely correction of such deficiencies by Grantee. Failure by
Grantee to take action specified in the monitoring report may be cause for suspension or
termination of this Contract.
Grantee understands that acceptance of funds under this Contract acts as acceptance of
the authority of the State Auditor's Office, or any successor agency, to conduct an audit
or investigation in connection with those funds. Grantee further agrees to cooperate fully
with the State Auditor's Office or its successor in the conduct of the audit or
investigation, including providing all records requested. GRANTEE SHALL ENSURE THAT
ALL SUBCONTRACTS AWARDED REFLECT THE REQUIREMENTS OF THIS SECTION 7.029 AND
THE REQUIREMENT TO COOPERATE.
Grantee will be deemed to have read and have knowledge of all applicable federal, state,
and local laws, regulations, and rules, including, but not limited to those identified in
Attachment C, governing audit requirements pertaining to the Project.
7.03 GRANTEE SELF -AUDIT AND TARGETED AUDITS
(a) Grantee Self -Audit
Grantee, on approval of the GLO and/or HUD may conduct an annual financial
and compliance audit of funds received and performances rendered under this
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Contract. Grantee may utilize funds budgeted under this Contract to pay for that
portion of the cost of such audit services properly allocable to the activities
funded by the GLO under this Contract, provided however that the GLO shall not
make payment for the cost of such audit services until the GLO has received from
Grantee a satisfactory audit report and invoice, as determined by the GLO. The
invoice submitted for reimbursement should clearly show the percentage of cost
relative to the total cost of the audit services. Therefore, Grantee shall submit an
invoice showing the total cost of the audit and the corresponding prorated charge
per funding source. If applicable, an explanation shall be submitted with the
reimbursement request, explaining why the percentage of audit fees exceeds the
prorated amount allowable.
(b) Targeted Audits
In addition, the GLO shall have the right at any time to perform, or to instruct the
performance of, an annual program and/or fiscal audit, or to conduct a special or
targeted audit of any aspect of the operation of Grantee, using an auditor of the
GLO's choice. Grantee shall maintain such financial records and other records as
may be prescribed by the GLO or by applicable federal and state laws, rules, and
regulations. These records shall be made available during the term of this
Contract and the subsequent period for examination, transcription, and audit.
7.04 PERIOD OF RETENTION
All records relevant to this Contract shall be retained for a period subsequent to the final
closeout of the overall State of Texas CDBG -DR grant program, in accordance with
federal regulations. The GLO will notify all Program participants of the date upon
which local records may be destroyed.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
GLO Contract No. 13- 238 -000 -7421
v4 42712 Page 14 of 21
ARTICLE 8 - MISCELLANEOUS PROVISIONS
8.01 LEGAL OBLIGATIONS
Grantee shall procure and maintain for the duration of this Contract any state, county, city,
or federal license, authorization, insurance, waiver, permit, qualification, or certification
required by statute, ordinance, law, or regulation to be held by Grantee to provide the
goods or services required by this Contract. Grantee will be responsible for payment of
all taxes, assessments, fees, premiums, permits, and licenses required by law. Grantee
agrees to be responsible for payment of any such government obligations not paid by its
subcontractors during performance of this Contract. Grantee shall not commence work
on the Project until it has obtained the requisite licenses and/or permits, if applicable.
COPIES OF SUCH LICENSES AND PERMITS SHALL BE INCLUDED AS A PART OF THE
MONTHLY REPORT FOR THE PERIOD DURING WHICH THEY ARE OBTAINED.
8.02 INDEMNITY
AS GOVERNMENTAL ENTITIES AND REQUIRED UNDER THE CONSTITUTION AND LAWS OF
THE STATE OF TEXAS, EACH PARTY UNDERSTANDS THAT THEY ARE LIABLE FOR ANY
PERSONAL INJURIES, PROPERTY DAMAGE, OR DEATH RESULTING FROM THE ACTS OR
OMISSIONS OF SUCH PARTY. IN THE EVENT THAT THE GLO IS NAMED AS A PARTY
DEFENDANT IN ANY LITIGATION ARISING OUT OF ALLEGATIONS OF PERSONAL INJURY,
DEATH, OR PROPERTY DAMAGE RESULTING FROM THE ACTS OR OMISSIONS OF
GRANTEE, AND FOR WHICH THE GLO IS LIABLE, IF AT ALL, ONLY THROUGH THE
VICARIOUS LIABILITY OF GRANTEE, THEN, IN SUCH EVENT, GRANTEE AGREES THAT IT
WILL PAY, ON BEHALF OF THE GLO, ALL COSTS AND EXPENSES OF LITIGATION
(INCLUDING ANY COURT COSTS, REASONABLE ATTORNEYS' FEES, FEES OF ATTORNEYS
APPROVED BY THE OFFICE OF THE TEXAS ATTORNEY GENERAL) AS WELL AS ALL
AMOUNTS PAID IN SETTLEMENT OF ANY CLAIM, ACTION, OR SUIT, INCLUDING
JUDGMENT OR VERDICT, ARISING OUT OF OR IN CONNECTION WITH THIS CONTRACT. IN
THE EVENT THAT GRANTEE IS NAMED AS A PARTY DEFENDANT IN ANY LITIGATION
SEEKING ANY DAMAGES FOR ANY PROPERTY DAMAGE, PERSONAL INJURY, OR DEATH
RESULTING OUT OF THE GLO'S ACTIONS OR OMISSIONS, AND GRANTEE'S SOLE
LIABILITY, IF ANY, IS ONLY VICARIOUSLY THROUGH THE GLO, THEN, IN SUCH EVENT,
THE GLO AGREES TO PAY ANY AND ALL CLAIMS, DEMANDS, OR LOSSES, INCLUDING
EXPENSES OF LITIGATION (INCLUDING REASONABLE ATTORNEYS' FEES AND COURT
COSTS) INCURRED BY GRANTEE, INCLUDING ANY VERDICTS OR JUDGMENTS OR
AMOUNTS PAID IN SETTLEMENT OF ANY CLAIM ARISING OUT OF, OR IN CONNECTION
WITH THIS CONTRACT. ANY ATTORNEYS RETAINED BY GRANTEE TO REPRESENT ANY
INTEREST OF THE GLO MUST BE APPROVED BY THE GLO AND BY THE OFFICE OF THE
TEXAS ATTORNEY GENERAL. ANY ATTORNEYS RETAINED BY THE GLO TO REPRESENT
THE INTEREST OF GRANTEE MUST BE APPROVED BY GRANTEE.
8.03 INSURANCE AND BOND REQUIREMENTS
(a) Unless Grantee is authorized pursuant to Chapter 2259 of the Texas Government
Code, entitled "Self- Insurance by Governmental Units," to self - insure, Grantee shall
carry insurance for the duration of this Contract in types and amounts necessary and
appropriate for the Project.
GLO Contract No. 13-23&000-7421
0 42712
Page 15 of 21
(b) Grantee shall require all contractors, subcontractors, vendors, service providers, or any
other person or entity performing work described in Attachment A to carry insurance
for the duration of the Project in the types and amounts customarily carried by a
person or entity providing such goods or services. Any person or entity required to
obtain insurance under this Section must also be required to complete and file the
declaration pages from the insurance policies with Grantee whenever a previously
identified policy period expires during the term of Grantee's contract with the person
or entity, as proof of continuing coverage. Grantee's contract with any such person or
entity shall clearly state that acceptance of the insurance policy declaration pages by
the Grantee shall not relieve or decrease the liability of the person or entity. Persons
or entities shall be required to update all expired policies prior to Grantee's
acceptance of an invoice for monthly payment from such parties.
(c) Grantee shall require performance and payment bonds to the extent they are required
under Chapter 2257 of the Texas Government Code.
(d) Grantee shall require, on all construction projects, that any person or entiq,
required to provide Federal Construction Assurances shall timely complete SF-
424D, entitled "Assurances -- Construction Programs," and Grantee shall
maintain such documentation.
8.04 ASSIGNMENT AND SUBCONTRACTS
Grantee shall not convey any grant obligations or duties under this Contract without the
prior written consent of the GLO. Notwithstanding this provision, it is mutually understood
and agreed that Grantee may subcontract with others for some or all of the services to be
performed. In any approved subcontracts, Grantee shall legally bind such subcontractor to
perform and make such subcontractor subject to all the duties, requirements, and obligations
of Grantee as specified in this Contract. Nothing in this Contract shall be construed to
relieve Grantee of the responsibility for ensuring that the goods delivered and/or the services
rendered by Grantee and /or any of its subcontractors comply with all the terms and
provisions of this Contract.
8.05 PROCUREMENT
Grantee must follow all federal, state, and local procurement procedures and laws
applicable to this Project, and must confirm that no vendor is debarred from receiving
state or federal fiends at each of the following web addresses:
The "Texas Comptroller's Vendor Performance Program at:
http : / /« ,Nv%A,.window.state.tx.us/ procurement /grog /vendor,-performance-,
and the Federal General Services Administration's Excluded Parties List System at:
https:Hwv►nv.epls.gov /.
8.06 PURCHASES AND EQUIPMENT
Grantee shall not seek reimbursement for any Equipment or computer software not
included as a reimbursable item in Attachment B. Any purchase of equipment or
G LO Contract No. 13- 238 - 000 -7421
�4 42712 Page 16 of 21
�
computer software shall be made in accordance with all applicable laws, regulations, and
rules including, but not limited to those listed in Attachment C. Title and possession of
any Equipment or computer software will remain the property of Grantee unless and until
transferred to the GLO, upon written request of the GLO. Grantee shall furnish, with its
final request for reimbursement, a list of all Equipment and computer software purchased
with grant funds under the Contract, including the name of the manufacturer, the model
number, and the serial number. The disposition of any Equipment or computer software
shall be in accordance with all applicable laws, regulations, and rules, including but not
limited to those listed in Attachment C.
8.07 COMMUNICATION WITH THIRD PARTIES
The GLO and the authorities named in ARTICLE 7, above, shall have the right to initiate
communications with any subcontractor, and may request access to any books,
documents, papers, and records of a subcontractor which are directly pertinent to this
grant. Such communications may be required to conduct audits and examinations and
gather additional information as provided in ARTICLE 7 herein.
8.08 RELATIONSHIP OF THE PARTIES
Grantee is associated with the GLO only for the purposes and to the extent specified in
this Contract and, with respect to Grantee's performance pursuant to this Contract,
Grantee shall have the sole right to supervise, manage, operate, control, and direct
performance of the details incident to its duties under this Contract. Nothing contained in
this Contract shall be deemed or construed to create a partnership or joint venture, to
create relationships of an employer - employee or principal- agent, or to otherwise create
for the GLO any liability whatsoever with respect to the indebtedness, liabilities, and
obligations of Grantee or any other party.
8.09 COMPLIANCE WITH OTHER LAWS
In the performance of this Contract, Grantee shall comply with all applicable federal,
state, and local laws, ordinances, and regulations, including, but not limited to, those
listed in Attachments C, D, E, and F. Grantee shall make itself familiar with and at all
times shall observe and comply with all federal, state, and local laws, ordinances, and
regulations that in any manner affect performance under this Contract. Grantee will be
deemed to have knowledge of these laws and regulations and be deemed to
understand them.
In addition, the GLO and Grantee mutually certify to that each party is in compliance
with Notice of Allocations and Common Application and Reporting Waivers Granted to
and Alternative Requirements for Community Development Block Grant (CDBG)
Disaster Recovery Grantees Under 2008 Supplemental CDBG Appropriations 74 Fed.
Reg. 7244 -7255 (2009).
8.10 CITIZEN PARTICIPATION
{a) Grantee must have written procedures to respond to written complaints within
fifteen (15) business days of receipt of such complaint. Citizens must be made
aware of the location and the days and hours the location is open for business so
they may obtain a copy of these written procedures.
GLO Contract No. 13-238-000-7421
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Y4 42712
(b) When requested, Grantee shall provide technical assistance to a representative of
a group of persons of low- and moderate- income in developing proposals for the
use of CDBG -DR funds. The level and type of assistance shall be determined by
the Grantee based upon the specific needs of the community's residents.
(c) Grantee shall maintain a citizen participation file which includes a copy of the
Plan Requirements described in the "2008 Supplemental Disaster Recovery Fund:
Hurricanes Dolly and Ike Non - Housing Activities Application Guide;" Grantee's
complaint procedures; any technical assistance provided by Grantee; and public
notices, minutes, and attendance lists for public hearings, if any.
8.11 NOTICES
Any notices required under this Contract shall be deemed delivered when deposited either in
the United States mail, postage paid, certified, return receipt requested; or with a common
carrier, overnight, signature required, to the appropriate address below:
GLO
Texas General Land Office
1700 N. Congress Avenue, Mail Code 158
Austin, TX 78701
Attention: Legal Services Division
With a copy to:
Texas General Land Office
1700 N. Congress Avenue, 7h Floor
Austin, TX 78701
Attention: CDBG Disaster Recovery Division
Grantee
City of Baytown
2401 Market Street
Baytown, TX 77520
Attention: Robert Leiper, City Manager
Notice given in any other manner shall be deemed effective only if and when received by
the party to be notified. Either party may change its address for notice by written notice to
the other party as herein provided.
8.12 GOVERNING LAW AND VENUE
This Contract and the rights and obligations of the parties hereto shall be governed by,
and construed according to, the laws of the State of Texas, exclusive of conflicts of law
provisions. Venue of any suit brought under this Contract shall be in a court of
competent jurisdiction in Travis County, Texas. Grantee irrevocably waives any
objection, including any objection to personal jurisdiction or the laying of venue or based
on the grounds of forum non conveniens, which it may now or hereafter have to the
bringing of any action or proceeding in such jurisdiction with respect to this Contract or
any document related hereto. NOTHING IN THIS SECTION SHALL BE CONSTRUED AS A
WAIVER OF SOVEREIGN IMMUNITY BY THE GLO.
GLO Contract No. 13-238-00-7421
v4 42712 Page 18 of 21
8.13 SEvERABILrry
If any provision contained in this Contract is held to be unenforceable by a court of law
or equity, this Contract shall be construed as if such provision did not exist, and the non-
enforceability of such provision shall not be held to render any other provision or
provisions of this Contract unenforceable.
8.14 DISPUTE RESOLUTION
If a Contract dispute arises that cannot be resolved to the satisfaction of the Parties, either
Party may notify the other Party in writing of the dispute. If the Parties are unable to
satisfactorily resolve the dispute within fourteen (14) days of the written notification, the
Parties must use the dispute resolution process provided for in Chapter 2260 of the Texas
Government Code to attempt to resolve the dispute. This provision shall not apply to any
matter with respect to which either Party may make a decision within its respective sole
discretion.
8.15 PUBLIC INFORMATION
Pursuant to the Public Information Act, records received from Grantee may be open to
public inspection and copying. The GLO will have the duty to disclose such records,
unless a particular record is made confidential by law or exempted from the Public
Information Act. Grantee may clearly label any individual records as a "trade secret,"
provided that Grantee, to the extent permitted by law, agrees to indemnify and defend the
GLO for honoring such designation. The failure to so label any record shall constitute a
complete waiver of any and all claims for damages caused by release of the records. If a
request for a labeled record is received by the GLO, the GLO will notify Grantee of the
request in accordance with the Public Information Act.
Grantee shall release, to any requestor, the following information:
The amount of CDBG -DR funds expected to be made available;
The range of activities that may be undertaken with CDBG -DR funds;
The estimated amount of CDBG -DR funds proposed to be used for activities that
will meet the national objective of benefit to low- and moderate- income persons;
and
The proposed CDBG -DR activities likely to result in displacement and the
Grantee's anti - displacement and relocation plan.
8.16 SIGNAGE
Public buildings, facilities, and centers constructed with the CDBG -DR funds shall have
permanent signage placed in a prominent, visible public area with wording provided
below. The formatting of the required signage will be at Grantee's discretion to best fit
the architectural design of the facility, but shall be legible from no less than three (3) feet.
Other construction projects, e.g., water transmission lines, sewer collection lines,
drainage, roadways, housing rehabilitation, utilizing CDBG -DR funds, shall have
GLO Contract No. 13-2384W7421
A42712
Page 19 of 21
temporary signage erected in a prominent location at the Project site or along a major
thoroughfare within the locality, as directed by Grantee, with the wording provided
below:
"This project is funded by the Texas General Land Office to provide for
disaster recovery and restoration of infrastructure for communities
impacted by the 2008 hurricanes. Funds for the project were allocated by
the United States Department of Housing and Urban Development through
the Community Development Block Grant Disaster Recovery Program."
8.17 AMENDMENTS TO THE CONTRACT
Amendments to decrease or increase the Budget, or to add or delete a Grantee Activity,
or to increase the term of the Contract may be made only by written agreement of the
parties, under the formal amendment process. In the sole discretion of the GLO, and in
conformance with federal law, other adjustments as may be required during project
performance may be approved by the GLO by way of a Revision or Technical Guidance
Letter. Such a>,provals must be in writing, and may be delivered by regular mail,
electronic mail or facsimile transmission.
Pursuant to SECTION 2.04 hereof, a final Project Completion Report of all activities
performed under this Contract shall be submitted and shall include all changes made by
Amendments, Revisions or Technical Guidance Letters approved over the life of the
Project.
8.18 ENTIRE CONTRACT AND MODIFICATIONS
This Contract, its integrated Attachment(s), and any Amendment, Technical Guidance
Letter, or Revision issued in conjunction with this Contract, if any, constitute the entire
agreement of the parties and are intended as a complete and exclusive statement of the
promises, representations, negotiations, discussions, and other agreements that may have
been made in connection with the subject matter hereof. Any additional or conflicting terms
in such Attachment(s), Amendment, Technical Guidance Letter, or Revision shall be
harmonized with this Contract to the extent possible. Unless such integrated Attachment,
Amendment, Technical Guidance Letter, or Revision specifically displays a mutual intent to
amend a particular part of this Contract, general conflicts in language shall be construed
consistently with the terms of this Contract.
8.19 PROPER AUTHORITY
Each Party hereto represents and warrants that the person executing this Contract on its
behalf has full power and authority to legally bind its respective entity. Grantee
acknowledges that this Contract is effective for the period of time specified in the Contract.
Any work performed by Grantee after the Contract terminates is performed at the sole risk
of Grantee.
8.20 COUNTERPARTS
This Contract may be executed in any number of counterparts, each of which shall be an
original, and all such counterparts shall together constitute but one and the same Contract.
GLO Contract No. 13- 238 -000 -7421
v4 42712
Page 20 of 21
8.21 SURVIVAL
The provisions of ARTICLES 5, 69 AND 7; AND SECTIONS 1.019 1.03.) 2.0492.05t 3.02, 3.049
8.02, 8.039 8.079 8.08, 8.099 8.102 8.119 8.139 8.149 8.159 8.169 AND 8.17 of this Contract,
and any other continuing obligations of Grantee shall survive the termination or
expiration of this Contract.
SIGNATURE PAGE FOLLOWS
GLO Contract No. 13 -238- 000 -7421
v442712
Page 21 of 21
SIGNATURE PAGE
FOR GLO CONTRACT No. 13 -238- 000 -7421
GRANTEE - ROUND 2.2
GENERAL LAND OFFICE CITY OF BAYTOWN
Larry L. Laine, Chief Clerk/
Deputy Land Commissioner
Date of execution:
�� LEGAL
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ATTACHMENTS TO Tius CONTRACT
By:
Title:
Date of execution:
ATTACHMENT A: Performance Statement and Implementation Schedule
ATTACHMENT B: Project Budget
ATTACHMENT C: Nonexclusive List of Applicable Laws, Rules, and Regulations
ATTACHMENT D: General Affirmations
ATTACHMENT E: Federal Assurances — Non - Construction Programs SF -424B (Rev.
7 -97,) and Certifications Regarding Lobbying Lower Tier Covered
Transactions (Form CD -512, Rev. 12 -04)
ATTACHMENT F: Special Conditions
ATTACHMENTS FOLLOW
Attachment A
GLO Contract No. 13-238-000-7421
Page 1 of 3
CITY OF BAYTOWN
Grantee shall carry out the following activities in the target area identified in its 2008 Texas
CDBG Disaster Recovery Supplemental Grant application to aid areas most impacted and
distressed by Hurricanes Ike or Dolly. The persons to benefit from the activities described in this
Performance Statement must be receiving service or a benefit from the use of the new or
improved facilities and activities for the contract obligations to be fulfilled. Grantee shall ensure
that the amount of funds expended for each activity described does not exceed the amount
specified for such activity in the Budget.
As a result of Hurricane Ike on September 13, 2008, the City's Wastewater Treatment Plant
(WWTP) failed to function. The failure to function was due to loss of normal electrical power
service for several days. The failure of the facility to function threatened the public health, safety
and welfare of all served by this facility due to build -up of untreated sewage. The City is in need
of an adequately -sized generator that will serve as a backup power supply to operate this facility.
In addition, the City's Lift Stations failed to function. The failure to function was due to loss of
normal electrical power service for several days. The failure of the facility to function threatened
the public health, safety and welfare of all served by this facility due to the build -up of untreated
sewage. The City is in need of an adequately -sized generator that will serve as a backup power
supply to operate this facility.
Sewer Facilities - I b
Central District Waste Water Service Area Im2rovements
Grantee shall purchase and install four (4) permanently- affixed generators ranging in size from
fifty to three hundred kilowatts (50 kW- 300 kW) with transfer switch, pad and associated
appurtenances, and three (3) pumps with piping required for connection that will be located
adjacent to the existing lift stations. Grantee shall also purchase and install a SCADA
communication system to monitor the Wastewater Treatment Plant (WWTP) and the eight (8)
wastewater lift stations. A receiver will be stationed at the WWTP and transmitters will be
located at each lift station throughout the City. Grantee shall elevate existing WWTP
components and appurtenances currently within floodplain to elevations above floodplain.
Grantee shall provide other associated appurtenances and perform site work associated with
construction. Proposed improvements will allow the City to provide continuous monitoring of
the wastewater system and uninterrupted sewage treatment.
Sewer Facilities:
Location_
HUD Performance
Measure:
Approximate Units:
Central District WWTP
1601 West Main Street
Public Facility
1
#35 Big Missouri
(Generator)
3312 Missouri Street
Public Facility
1
Attachment A
GLO Contract No. 13-238-000-7421
Page 2 of 3
Sewer Facilities:
Location:
HUD Performance
Approximate Units:
Measure:
#41 Texas
1300 West Texas Avenue
Public Facility
l
(Generator)
#43 Gulf Coast
899 %2 Spur 201
Public Facility
l
(Improvements)
#46 County Club
3911 Emmett Hutto
Public Facility
I
(Pump)
Boulevard
#47 Baker Road
3100 %2 Baker Road
Public Facility
1
(Generator)
#62 Rollingbrook
2442 %2 Rollingbrook
Public Facility
l
(Pump)
Drive
#45 North Main #1
3701 North Main Street
Public Facility
1
(Generator)
#73 Country Club Estates
3910 %2 Emmett Hutto
Public Facility
1
(Pump)
Boulevard
These activities shall benefit thirty-four thousand six hundred twenty -seven (34,627) persons, of
which nineteen thousand one hundred ninety-seven (19,197), or fifty -five percent (55 %), are of
low to moderate income.
Engineering - 30
Grantee shall ensure the amount of the funds expended for all eligible project - related engineering
services, including preliminary and final design plans and specifications, all interim and final
inspections, and all special services, does not exceed the amount specified for Engineering in the
Budget.
Protect Delivery - 33
Grantee shall ensure the amount of the funds expended for all eligible project- related "project
delivery" administration activities, including the required annual program compliance and fiscal
audit, does not exceed the amount specified for Project Delivery in the Budget.
Project Delivery (Environmental) - 35
Grantee shall ensure the amount of the funds expended for all eligible project - related "project
delivery" environmental activities does not exceed the amount specified for Environmental in the
Budget.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
Grantee: City of Baytown
Description
Gal 's
1 2 3 4 _5 6 7. 8 9. 10 11 12 13 14 15 16 17 18 19:20 21 22 23 2425 26 27 28 29 3031 32 33.34 35
Activity: lb Prolec : Central District W W Service Area Grantee shall purchase and install permanently- affixed generators with transfer switch. pad and
associated appurtenances and pumps with piping required for connection.
Engineering Prowrement/Conlracting
30
30% Design & Submittal
90
Environmental ProwrementlContracting'
30
Environmental ERR Preparation & Submittal
60
Environmental ERR Certification
60
Acquisition?
60% Design & Submillal'
90
100% Design & Submittal (Plans /Specs /Permits)°
90
Design Acceptance
14
Advertise
30
Bid Opening
30
Award
21
Constructions
540
Closeout Completions
30
' Environmental procuremenitcontracting is assumed to start the day following the 30% design submittal.
2 Acquisition is assumed to start the day following the 30% design submittal.
'60% design is assumed to start two (2) weeks after the 30% design submittal for review.
4 100% design is assumed to start two (2) weeks after the 60% design submittal for review.
Construction is assumed to start four (4) weeks after construction award or four (4) weeks after design completion if bidding /award Is not applicable.
6 Closeout completion is assumed to occur 30 calendar days after closeout documents are submitted for review/approval.
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Attachment B
GLO Contract No. 13- 238- 000 -7421
Page 1 of 1
CITY Or BAYTOWN
HUD,
Activity
Categories
Grant
Funds
To Grantee
Grant
Funds
to Service
Providers
Contracted
Other
Funds;
T otal
Funds
by GLO :.
I b
Sewer Facilities
$15,564.000
$0
$0
$15,564,000
30
Engineering/Architectural Services
$0
$0
$1,867,680
$1,867,680
33
Project Delivery
$129,898
$400,000
$0
$529,898
35
Environmental
$0
$9,000
$0
$9,000
Total
$15;693,898'
$409 066'
$1,867;680
$17,970,578
'Total Grant Funds = $16,102,898
REMAINDER OF PAGE INTEIN"110NAIA.Y LEI.-1' BLANK
Attachment C
Nonexclusive List of Laws, Rules,
and Regulations
Page 1 of S
NONEXCLUSIVE LIST OF APPLICABLE LAWS, RULES, AND REGULATIONS
If applicable to the Project, Grantee must be in compliance with the following laws,
rules, and regulations; and any other state, federal, or local laws, rules, and regulations as
may become applicable throughout the term of the Contract, and Grantee acknowledges
that this list may not include all such applicable laws, rules, and regulations.
Grantee and is deemed to have read and understands the requirements of each of
the following, if applicable to the Project under this Contract:
GENERALLY
The Act and Regulations specified in SECTION 1.03 of this Contract;
Consolidated Security, Disaster Assistance, and Continuing Appropriation Act (Public
Law 110 -329);
Cash Management Improvement Act regulations (31 C.F.R. Part 205);
Community Development Block Grants (24 C.F.R. Part 570);
Disaster Recovery Implementation Manual;
Plan for Disaster Recovery;
Guidance Documents: 2008 Supplemental Disaster Recovery Fund: Hurricanes Dolly
and Ike; and Non - Housing Activities Application Guide, issued by the Texas Department
of Housing and Community Affairs
CIVIL RIGHTS
Title VI of the Civil Rights Act of 1964, (42 U.S.C. § 2000d et seq.); 24 C.F.R. Part 1,
"Nondiscrimination in Federally Assisted Programs of the Department of Housing and
Urban Development - Effectuation of Title VI of the Civil Rights Act of 1964;"
Title VII of the Civil Rights Act of 1964, as amended by the Equal Employment
Opportunity Act of 1972 (42 U.S.C. § 2000e et seq.);
Title VIII of the Civil Rights Act of 1968, "The Fair Housing Act of 1968" (42 U.S.C.
3601 et seq.), as amended;
Executive Order 11063, as amended by Executive Order 12259, and 24 C. F.R. Part 107,
"Nondiscrimination and Equal Opportunity in Housing under Executive Order 11063."
The failure or refusal of Grantee to comply with the requirements of Executive Order
11063 or 24 C.F.R. Part 107 shall be a proper basis for the imposition of sanctions
specified in 24 C.F.R. 107.60;
The Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.);
Attachment C
Nonexclusive List of Laws, Rules,
and Regulations
Page 2 of S
Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794.) and "Nondiscrimination
Based on Handicap in Federally - Assisted Programs and Activities of the Department of
Housing and Urban Development ", 24 C.F.R. Part 8. By signing this Contract, Grantee
understands and agrees that the activities funded shall be performed in accordance with
24 C.F.R. Part 8; and the Architectural Barriers Act of 1968 (42 U.S.C. 4151 et seq.),
including the use of a telecommunications device for deaf persons (TDDs) or equally
effective communication system.
LABOR STANDARDS
The Davis -Bacon Act, as amended (40 U.S.C. 276a - 276a -5): 29 C.F.R. Part 5;
The Copeland "Anti- Kickback" Act (18 U.S.C. 874): 41 C.F.R. Part 3;
Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. §
327A and 330);
Labor Standards Provisions Applicable to Contracts Covering Federally Financed and
Assisted Construction (Also Labor Standards Provisions Applicable to Non - construction
Contracts Subject to the Contract Work Hours and Safety Standards Act) (29 C.F.R. Part
5);
Federal Executive Order 11246, as amended;
EMPLOYMENT OPPORTUNITIES
Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C.1701u): 24
C.F.R. §§ 1353(a)(2) and (a)(3);
The Vietnam Era Veterans' Readjustment Assistance Act of 1974 (38 U.S.C. § 4212);
Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 - 1688);
GRANT AND AUDIT STANDARDS
Single Audit Act Amendments of 1996, 31 U.S.C. § 7501;
Uniform Administrative Requirements for Grants and Agreements with Institutions of
Higher Education, Hospitals, and Other Non - profit Organizations (24 C.F.R. Part 84);
Administrative Requirements for Grants and Cooperative Agreements to State, Local and
Federally Recognized Indian Tribal Governments (24 C.F.R. Part 85);
OMB Circular A -87 (Cost Principles for State, Local, and Indian Tribal Governments);
OMB Circular A -133 — Revised as of June 27, 2007 (Audits of States, Local
Governments, and Non - Profit Organizations);
Attachment C
Nonexclusive List of Laws, Rules,
and Regulations
Page 3 of S
Uniform Grant and Contract Management Act (Texas Government Code Chapter 783)
and the Uniform Grant Management Standards issued by Governor's Office of Budget
and Planning;
Title 1 Texas Administrative Code § 5.167(c);
LEAD -BASED PAINT
Section 302 of the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4831(b));
HISTORIC PROPERTIES
The National Historic Preservation Act of 1966 as amended (16 U.S.C. 470 et seq.),
particularly sections 106 and 110 (16 U.S.C. 470 and 470h -2), except as provided in
§58.17 for Section 17 projects;
Executive Order 11593, Protection and Enhancement of the Cultural Environment, May
13, 1971 (36 FR 8921), 3 C.F.R. 1971 -1975 Comp., p. 559, particularly section 2(c);
Federal historic preservation regulations as follows: 36 C.F.R. part 800 with respect to
HUD programs;
The Reservoir Salvage Act of 1960 as amended by the Archeological and Historic
Preservation Act of 1974 (16 U.S.C. 469 et seq.), particularly section 3 (16 U.S.C. 469a-
1);
ENVIRONMENTAL LAW AND AUTHORITIES
Environmental Review Procedures for Recipients assuming HUD Environmental
Responsibilities (24 C.F.R. Part 58, as amended);
National Environmental Policy Act of 1969, as amended (42 U.S.C. §§ 4321 - 4347);
Council for Environmental Quality Regulations for Implementing NEPA (40 C.F.R. Parts
1500- 1508).
FLOODPLAIN MANAGEMENT AND WETLAND PROTECTION
Executive Order 11988, Floodplain Management, May 24, 1977 (42 FR 26951), 3 CFR,
1977 Comp., p. 117, as interpreted in HUD regulations at 24 C.F.R. part 55, particularly
Section 2(a) of the Order (For an explanation of the relationship between the decision -
making process in 24 C.F.R. part 55 and this part, see § 55.10.);
Executive Order 11990, Protection of Wetlands, May 24,1977 (42 FR 26961), 3 C.F.R.,
1977 Comp., p. 121 particularly Sections 2 and 5;
Attachment C
Nonexclusive List of Laws, Rules,
and Regulations
Page 4 of 5
COASTAL ZONE MANAGEMENT
The Coastal Zone Management Act of 1972 (16 U.S.C. 1451 et seq.), as amended, particularly
sections 307(c) and (d) (16 U.S.C. 1456(c) and (d));
SOLE SOURCE AQUIFERS
The Safe Drinking Water Act of 1974 (42 U.S.C. 201, 300(f) et seq., and 21 U.S.C. 349)
as amended; particularly section 1424(e)(42 U.S.C. 300h -3(e);
Sole Source Aquifers (Environmental Protection Agency -40 C.F.R. part 149.);
ENDANGERED SPECIES
The Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.) as amended, particularly section 7
(16 U.S.C. 1536);
WILD AND SCENIC RIVERS
The Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et seq.) as amended,
particularly sections 7(b) and (c) (16 U.S.C. 1278(b) and (c);
AIR QUALITY
The Clean Air Act (42 U.S.C. 7401 et seq. ) as amended, particularly sections 176(c) and
(d) (42 U.S.C. 7506(c) and (d);
Determining Conformity of Federal Actions to State or Federal Implementation Plans
(Environmental Protection Agency -40 C.F.R. parts 6, 51, and 93);
FARMLAND PROTECTION
Farmland Protection Policy Act of 1981 (7 U.S.C. 4201 et seq.) particularly sections
1540(b) and 1541 (7 U.S.C. 4201(b) and 4202);
Farmland Protection Policy (Department of Agriculture -7 C.F.R. part 658);
HUD ENVIRONMENTAL STANDARDS
Applicable criteria and standards specified in HUD environmental regulations (24 C.F.R.
part 51)(other than the runway clear zone and clear zone notification requirement in 24
C.F.R. 51.303(a)(3); and
HUD Notice 79 -33, Policy Guidance to Address the Problems Posed by Toxic Chemicals
and Radioactive Materials, September 10, 1979).
Attachment C
Nonexclusive List of Laws, Rules,
and Regulations
Page 5 of 5
ENVIRONMENTAL JUSTICE
Executive Order 12898 of February 11, 1994 --- Federal Actions to Address
Environmental Justice in Minority Populations and Low- Income Populations, (59 FR
7629), 3 CFR, 1994 Comp. p. 859.
OTHER REQUIREMENTS
Environmental Review Procedures for Entities Assuming HUD Environmental
Responsibilities (24 C.F.R. Part 58);
ACQUISITION /RELOCATION
The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(42 U.S.C. 4601 et seq.), 24 C.F.R. Part 42, and 24 C.F.R. Section 570.606.
FAITH -BASED ACTIVITIES
Executive Order 13279 of December 12, 2002 - Equal Protection of the Laws for Faith -
Based and Community Organizations, (67 FR 77141).
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
Attachment D
General Affirmations
Page 1 or 2
GENERAL AFFIRMATIONS
Grantee agrees without exception to the following affirmations:
1. The Grantee has not given, offered to give, nor intends to give at anytime
hereafter any economic opportunity, future employment, gift, loan, gratuity,
special discount, trip, favor, or service to a public servant in connection with this
Contract.
2. Pursuant to Title 10, Section 2155.004 of the Texas Government Code, the
Grantee has not received compensation from the GLO for preparing any part of
this Contract.
3. Under Section 231.006, Family Code, the vendor or applicant certifies that the
individual or business entity named in this contract, bid, or application is not
ineligible to receive the specified grant, loan, or payment and acknowledges that
this contract may be terminated and payment may be withheld if this certification
is inaccurate. Any Grantee subject to this section must include names and Social
Security numbers of each person with at least twenty -five percent (25 %)
ownership in the business entity named in this Contract. This information must
be provided prior to execution of any offer.
4. Grantee certifies that the individual or business entity named in this Contract: i)
has not been subjected to suspension, debarment, or similar ineligibility to receive
the specified contract as determined by any federal, state, or local governmental
entity; ii) is in compliance with the State of Texas statutes and rules relating to
procurement; and iii) is not listed on the federal government's terrorism watch list
as described in executive order 13224. Entities ineligible for federal procurement
are listed at http: / /www.epts.eov. Grantee acknowledges that this contract may be
terminated and payment withheld if this certification is inaccurate.
5. Grantee agrees that any payments due under this Contract will be applied towards
any debt, including, but not limited to, delinquent taxes and child support that is
owed to the State of Texas.
6. Grantee certifies that they are in compliance with Texas Government Code, Title
6, Subtitle B, Section 669.003, relating to contracting with the executive head of a
state agency. If this section applies, Grantee will complete the following
information in order for the bid to be evaluated:
Name of Former Executive:
Name of State Agency:
Date of Separation from State Agency:
Position with Grantee:
Date of Employment with Grantee:
7. Grantee agrees to comply with Texas Government Code, Title 10, Subtitle D,
Section 2155.4441, relating to the purchase of products produced in the State of
Texas under service contracts.
Attachment D
General Affirmations
Page 2 of 2
8. Grantee understands that acceptance of funds under this Contract acts as
acceptance of the authority of the State Auditor's Office, or any successor agency,
to conduct an audit or investigation in connection with those funds. Grantee
further agrees to cooperate fully with the State Auditor's Office, or its successor,
in conducting the audit or investigation, including providing all records requested.
Grantee will ensure that this clause is included in any subcontract it awards.
9. Grantee certifies that if it employs any former employee of the GLO, such
employee will perform no work in connection with this Contract during the
twelve (12) month period immediately following the employee's last date of
employment at the GLO.
10. The Grantee shall not discriminate against any employee or applicant for
employment because of race, disability, color, religion, sex, age, or national
origin. The Grantee shall take affirmative action to ensure that applicants are
employed and that employees are treated without regard to their race, color, sex,
religion, age, disability, or national origin. Such action shall include, but is not be
limited to, the following: employment, upgrading, demotion, or transfer;
recruitment or recruitment advertising; layoff or termination; rates of pay or other
forms of compensation; and selection for training, including apprenticeship. The
Grantee agrees to post notices, which set forth the provisions of this non-
discrimination article, in conspicuous places available to employees or applicants
for employment. The Grantee shall include the above provisions in all
subcontracts pertaining to the work.
11. Grantee understands that the GLO does not tolerate any type of fraud. The
agency's policy is to promote consistent, legal, and ethical organizational
behavior by assigning responsibilities and providing guidelines to enforce
controls. Any violations of law, agency policies, or standards of ethical conduct
will be investigated, and appropriate actions will be taken. Grantees are expected
to report any possible fraudulent or dishonest acts, waste, or abuse affecting any
transaction with the GLO to the GLO's Internal Audit Director at 512.463.5338 or
trace .hall @glo.state.tx.us
12. Grantee must take steps to avoid or mitigate occurrences of fraud, abuse, and
mismanagement, especially with respect to the financial management of the
Contract and pronouncements made under this Contract, whether so directed by
the GLO or at Grantee's initiative. Upon discovery of any alleged or suspected
fraud, abuse of power, kickbacks, the embezzlement or loss of funds under this
Contract, or the theft of any assets provided for under this Contract, the Grantee
immediately shall notify the GLO and appropriate law enforcement authorities
and cooperate in any investigation and enforcement action that follows.
Now: Information, documentation, and other material in connection with this
Contract may be subject to public disclosure pursuant to the "Public
Information Act," Chapter 552 of the Texas Government Code.
Attachment E
Federal Assurances
Page 1 of 5
OMB Approval No. 0348 -0040
ASSURANCES - NON - CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348 - 0040), Washington, DC 20503.
!PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. if you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such
is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capability
(including funds sufficient to pay the non - Federal share
of project cost) to ensure proper planning, management
and completion of the project described In this
application.
2. Will give the awarding agency, the Comptroller General
of the United States and, if appropriate, the Stale,
through any authorized representative, access to and
the right to examine all records, books, papers, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
S. Will comply with the Intergovernmental Personnel Act of 7.
1970 (42 U.S.C. § §47284763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88 -352)
which prohibits discrimination on the basis of race, color
or national orig €n; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. § §1681-
1683, and 1685 - 1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42
U.S.C. § §6101 - 6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92 -255), as amended,
relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91 -616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) § §523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. § §290 dd -3 and 290 ee-
3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title Vlll of the
Civil Rights Act of 1968 (42 U.S.C. § §3601 et seq.), as
amended, relating to nondiscrimination In the sale,
rental or financing of housing; (1) any other
nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
made; and, (j) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91 -646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally- assisted programs. These requirements apply
to all interests in real property acquired for project
purposes regardless of Federal participation in
purchases.
8. Will comply, as applicable, with provisions of the
Hatch Act (5 U.S.C. § §1501 -1508 and 7324 -7328)
which limit the political activities of employees whose
principal employment activities are funded in whole or
in part with Federal funds.
Previous Edition Usable Standard Form 4248 (Rev. 7.97)
Authorized for Local Reproduction Prescribed by OMB Circular A -102
9. Will comply, as applicable, with the provisions of the Davis.
Bacon Act (40 U.S.C. § §276a to 276a -7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874). and the Contract
Work Hours and Safety Standards Act (40 U.S.C. § §327-
333), regarding labor standards for federally- assisted
construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93 -234) which requires
recipients In a special flood hazard area to participate in the
program and to purchase flood Insurance if the total cost of
Insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) Institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and
Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards In
iloodplalns In accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal Zone Management
Act of 1972 (16 U.S.C. § §1451 at seq.); (f) conformity of
Federal actions to State (Clean Air) Implementation Plans
under Section 176(c) of the Clean Air Act of 1955, as
amended (42 U.S.C. § §7401 at seq.); (g) protection of
underground sources of drinking water under the Safe
Drinking Water Act of 1974, as amended (P.L. 93 -523);
and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-
205).
Attachment B
Federal Assurances
Page 2 of 5
12. Will comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. § §1271 at seq.) related to protecting
components or potential components of the national
wild and scenic rivers system.
13. Will assist the awarding agency In assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. §470). EO 11593
(identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a -1 at seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects Involved in research, development, and
related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of
1966 (P.L. 89 -544, as amended, 7 U.S.C. § §2131 at
seq.) pertaining to the care, handling, and treatment of
warm blooded animals held for research, teaching, or
other activities supported by this award of assistance.
16. Will comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 at seq.) which
prohibits the use of lead -based paint In construction or
rehabilitation of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A -133,
"Audits of States, Local Governments, and Non - Profit
Organizations."
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.
Standard Farm 4248 (Rev. 7 -97) Back
THIS FORM MUST BE EXECUTED
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Attachment R
Federal Certifications
Page 3 of 5
FORM CO412 U.S. CEFPMMENT OF COMMERCE
(REV 12-01)
CERTIFICATION REGARDING LOBBYING
LOWER TIER COVERED TRANSACTIONS
Appllpnts should review the instructions for certification included in the regulations before completing this form. Signature
on this form provides for compliance with certification requirements under 15 CFR Part 28, "New Restrictions on Lobbying.'
LOBBYING
As required by Section 1352, Title 31 of the U.S. Code, and
Implemented at 15 CFR Part 28, for persons entering Into a grant,
cooperative agreement or contract over $100.000 or a loan or ban
guarantee over $150.000 as defined at 15 CFR Part 28. Sections
28.105 and 28.110. the applicant certf es that to the best of his or her
knowledge and belief, that
(1) No Federal appropriated funds have been paid or will be paid,
by or on behalf of the undersigned, to any person for Influencing or
attempting to Influence an officer or employee of any agency. a
Member of Congress In connection with the awarding of any
Federal contract, the making of any Federal grant, the making of
any Federal ban. 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
pab 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 employes of a
member of Congress In connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shag complete and
submit Standard Form -Lt-L, "Disclosure Forth to Report Lobbying,"
in accordance with its Instructions.
(3) The undersigned shall require that the language of this
certification be Included in the award documents for an subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that an subreciplents
shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered Into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352. title 31. U.S.
Code. Any person who fails to tie 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 occurring on or before
October 23, 1996, and of not less than $11,000 and not more
than $110.000 for each such failure occurring after October 23,
1996.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge
and belief. that:
In any 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 commitment providing for the United
States to insure or guarantee a loan. the undersigned shall
complete and submit Standard Form -LLL, "Disclosure Form
to Report Lobbying," in accordance with its Instructions.
Submission of this statement 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 state-
ment shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure occurring
on or before October 23, 1996, and of not less than $11,000
and not more than $110,000 for each such failure occurring
after October 23, 1996.
As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the
above applicable certification.
OF APPLICANT
PRINTED NAME AND TITLE OF AUTHORIZED
AWARD NUMBER AND /OR PROJECT
THIS FORM MUST BE EXECUTED
Attachment E
Federal Certifications
Page 4 of 5
DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 034 8-0046
(See revarse fnr ntlhlir hi rrlpn rlicrincihro 1
1. Type of Federal Action:
2. Status of Federal Action:
3. Report Type:
( ' a. contract
la. bid /offer /application
I_ a. initial filing
l b. grant
- b. initial award
b. material change
c. cooperative agreement
c. post -award
For Material Change Only:
d. loan
year quarter
e. loan guarantee
date of last report
f. loan Insurance
4. Name and Address of Reporting Entity:
5. If Reporting Entity in No. 4 is a Subawardee, Enter Name
❑ Prime ❑ Subawardoo
and Address of Prime:
Tier if known:
Congressional District, if known: 4c
Congressional District, if known:
6. Federal Department/Agency:
7. Federal Program Name /Description:
CFDA Number, if applicable:
8. Federal Action Number, if known:
9. Award Amount, if known:
S �
10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if
( if individual, last name, lust name, Ml): different from No. 10a)
(las( name, first name, Ml):
I
11. lyd=Won 1000 °itwO INS form is mMonzed by bVe 31 U.S.C. section
Signature:
1352. This discloswo of lobbying octmUos is a matonal raprosentaGon of fad
upon which refanco was placed by ow tier above when 093 transaction was made
Print Name:
or entared into. This disclosure is required pursuant to 31 U.S.C. 1352. This
infoamthon w1i bo ay.'tdab'o for pubic lnspockon. any person vdio faib to Tile tho
rogwod t hscloswo shall bo subject to a dhrtl penatty of not tort: than $ 10.000 and
Title:
not more than S100.000 for each such facture.
Telephone No.: Date:
Federal Use =Only: `
2
Authorized for Local Reproduction
Standard Form LLL (Rev. 7 -97)
THIS FORM SHOULD BE EXECUTED ONLY WHEN REPORTING
LOBBYING ACTIVITIES UNDERTAKEN WITH GRANT FUNDS
Attacbment R
Federal Certifications
Page 5 of 5
INSTRUCTIONS FOR COMPLETION OF SF -LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardeeor prime Federal recipient. at the Initiation at receipt of a covered Federal
action. or a material change to a previous filing. pursuant to title 31 U.S.C. section 1352. The riling of a form Is required for each payment or agreement to make
payment to any lobbying entity for Influencing or attempting to influence an officer or employeeot any agency, a Member of Congress, an officer or employeeof
Congress, or an employeeof a Memberof Congress In connectionwflh a coveredFederalaction. Complete all Items that apply for both the Initial !Bing and material
change report. Refer to the Implementing guide= published by the Office of Management and Budget for additional Information.
1. Identify the type of covered Federal action for which lobbying activity Is and/or has been secured to Influence the outcome of a covered Federal action.
2. Identity the status of the covered Federal action.
3. Identify the appropriate classification of this report. II [his is a foflowup report caused by a material change to the information previouslyreported. enter
the yearand quarter M which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal
action.
4. Enter the full name, address, city. State and zip code of the reporting entity. Include Congressional District, If known. Check the appropriateclassiffcation
of the reporting entity that designates If It Is, or expects to be, a prime or subaward recipient. Identity the tier of the subawardee, e.g., the fast subawardee
of the prime Is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization fling the report In Item 4 checks 'Subawardee. then enter the full name, address. city. Slate and zip code of the prime Federal
recipient. Include Congressional District. It known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one arganizationallevel below agency name. If known. For
example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance
(CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8. Enter the most appropriate Federal Identifying number available for the Federal action Identified In Item 1 (e.g., Request for Proposal (RFP) number;
Invitation for Bid (IFS) number; grant announcement number. the contract, grant, or loan award number; the application/proposal control number
assigned by the Federal agency). Include prefixes, e.g..'RFP -0E- 90.001 '
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the awardfloan
commitment for the prime entity Identified in Item 4 or 5.
10. (a) Enter the full name. address, city, Stale and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting
entity Identified In Item 4 to influence the covered Federal action.
(b) Enter the full names of the Individual(s) performing services. and include full address It different from 10 (a). Enter Last Name, First Name, and
Middle Initial (MI).
11. The certtfying official shall sign and date the form, print hisfier name, tilde, and telephone number.
According to the PepwwcrkReducdon Ad, as amended, no persons are required to respond to a collection of Information unless it displays a valid OMB Control
Number. The valid OMB control number for this Information collection Is OMB No. 0348-0046. Public reporting burden for this collection of Information is
estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this coRec Lion of
Information, Including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington,
DC 20503.
Attachment F
Special Conditions
Page 1 or 5
SPECIAL CONDITIONS
IF APPLICABLE TO THE PROJECT, GRANTEE MUST BE IN COMPLIANCE WITH THE FOLLOWING SPECIAL
CONDITIONS AND ANY OTHER STATE, FEDERAL, OR LOCAL LAWS, RULES, AND REGULATIONS AS MAY BE
APPLICABLE, THROUGHOUT THE TERM OF THE CONTRACT, PRIOR TO THE RELEASE OF ANY GRANT FUNDS
FOR THE PROJECTS ANTICIPATED.
GRANTEE AND IS DEEMED TO HAVE READ AND TO UNDERSTAND THE REQUIREMENTS OF EACH OF
THE FOLLOWING, IF APPLICABLE TO THE PROJECT UNDER THIS CONTRACT:
A. REIMBURSEMENT, GENERALLY
As provided for in Public Law 110 -329, the Contract funds may not be used for activities that are
eligible to be reimbursed by, or for which funds are made available by, (a) the Federal Emergency
Management Agency (FEMA); (b) the Army Corps of Engineers (Corps); (c) any other federal funding
source; or (d) covered by insurance, and Grantee shall ensure compliance with all such requirements.
B. NATIONAL FLOOD INSURANCE PROGRAM COMPLIANCE
(1) Grantee must provide documentation which indicates that it has received approval from the
Texas Water Development Board (TWDB), the National Flood Insurance Program (NFIP)
State Coordinating Agency, that appropriate ordinances or orders necessary for Grantee to be
eligible to participate in the NF1P have been adopted.
(2) Where activities specified in Attachment A, Performance Statement, involve structures that
are located in Special Flood Hazard Areas (SFHA), flood insurance may be required, and
Grantee shall obtain such insurance, and shall maintain documentation evidencing
compliance with such requirements.
(3) Grantee acknowledges and agrees that if any property that is the subject of a Project under
this Contract located within a floodplain, that the following terms and conditions shall apply:
a. Under the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-
4128), Federal financial assistance for acquisition and construction purposes
(including rehabilitation) may not be used in an area identified by the Federal
Emergency Management Act (FEMA) as having special flood hazards, unless:
i. The community in which the area is situated is participating in the
National Flood Insurance Program ( "NFIP ") (44 CPR parts 59 through
79), or less than one (1) year has passed since the FEMA notification
regarding such hazards; and
ii. The community is participating in the NFIP, or that flood insurance
protection is to be obtained as a condition of the approval of financial
assistance to the property owner.
b. Where the community is participating in the NFIP and the recipient provides
financial assistance for acquisition or construction purposes (including
rehabilitation) for property located in an area identified by FEMA as having special
flood hazards, Grantee is responsible for ensuring that flood insurance under the
NFIP is obtained and maintained.
Attachment F
Special Conditions
Page 2 of 5
c. Under Section 582 of the National Flood Insurance Reform Act of 1994, 42 U.S.C.
515a, HUD disaster assistance that is made available in a special flood hazard area
may not be used to make a payment (including any loan assistance payment) to a
person for repair, or replacement or restoration for flood damage to any personal,
residential, or commercial property if:
The person had previously received Federal flood disaster assistance
conditioned on obtaining and maintaining flood insurance; and
ii. The person failed to obtain and maintain flood insurance.
d. Grantee understands and agrees that it has a responsibility to inform homeowners
receiving disaster assistance that triggers the flood insurance purchase requirement
of their statutory responsibility to notify any transferee of the requirement to obtain
and maintain flood insurance, and that the transferring owner may be liable if he or
she fails to do so.
C. PROJECT MAPPING/DESIGN INFORMATION
For construction projects, Grantee shall require and maintain copies in written and/or digital
format, of final Project record drawing(s) and engineering schematics, as constructed.
D. WATER SYSTEM IMPROVEMENTS
(1) Prior to the GLO's release of funds for the construction of any water system improvements,
Grantee shall provide certification to the GLO that plans, specifications, and related
documents for the specified water system improvements have been prepared by the engineer
selected for such activities, or the engineer's duly authorized representative, and that the
review of such plans, specifications, and related documents meet the applicable Texas
Commission on Environmental Quality (TCEQ) review requirements described in Title 30 of
the Texas Administrative Code.
(2) Prior to construction, Grantee shall provide documentation to the GLO that an approved new
or amended Certificate of Convenience and Necessity (CCN), or the equivalent permit or
authority for the area to be served has been issued by the TCEQ.
(3) Prior to Grantee submission of the Project Completion Report for any water system
improvements described in Attachment A, Grantee shall provide a letter from the TCEQ that
the constructed well is approved for interim use and may be temporarily placed into service
pursuant to 30 Texas Administrative Code, Chapter 290 — Rules and Regulations for Public
Water Systems.
E. SEWER SYSTEM IMPROVEMENTS
Prior to the construction of any sewer system improvements described, Grantee shall provide
certification that plans, specifications, and related documents for the specified sewer system
improvements have been prepared by the engineer selected for such activities, or the engineer's duly
authorized representative, and that the review of such plans, specifications, and related documents meet
the TCEQ review requirements described in 30 Texas Administrative Code, Chapter 217, Subchapter
D.
Attachment F
Special Conditions
Page 3 of 5
Further, prior to the construction of any sewer lines or additional service connections described in
Attachment A, Grantee shall provide notification of the start of construction on any sewer treatment
plant of other system - related improvements included in this Contract.
F. WASTEWATER TREATMENT CONSTRUCTION
Prior to incurring costs for any wastewater treatment construction in Attachment A, Grantee shall
provide documentation of an approved permit or amendment(s) to an existing permit for such activities
from the TCEQ's Water Quality Division.
In addition, Grantee shall provide documentation to the GLO that an approved new or amended
Certificate of Convenience and Necessity (CCN), or equivalent permit or authority for the area to be
served has been issued by the TCEQ.
G. SEPTIC SYSTEM IMPROVEMENTS
(1) Grantee shall provide documentation that final plans, specifications, and installation of its
septic system improvements have been reviewed and approved by the City or County Health
Department through authority granted by the TCEQ.
(2) Grantee shall mitigate all existing septic systems in accordance with 30 Texas Administrative
Code Chapter 285, Subchapter D. §285.36(b), which states, "All tanks, boreholes, cesspools,
seepage pits, holding tanks, and pump tanks shall have the wastewater removed by a waste
transporter, holding a current registration with the executive director. All tanks, boreholes,
cesspools, seepage pits, holding tanks, and pump tanks shall be filled to ground level with fill
material (less than three inches in diameter), which is free of organic and construction
debris."
(3) Prior to the selection of program recipients for proposed On -Site Sewer Facilities (OSSF),
Grantee shall provide a copy of its proposed program guidelines for GLO review . All
proposed OSSF programs must meet or exceed guidelines set forth in 30 Texas
Administrative Code Chapter 285 Subchapter D.
H. BUILDING CONSTRUCTION
Grantee shall provide documentation that the construction of a new building and facilities are in
compliance with the Texas Accessibility Standards (TAS) of the Architectural Barriers Act, Chapter
469, Texas Government Code, and the Texas Department of Licensing and Regulation (TDLR)
Architectural Barriers Administrative Rules, 16 Texas Administrative Code, Part 4, Chapter 68. If the
estimated construction costs exceed Fifty Thousand Dollars ($50,000.00), Construction Documents
must be submitted to the Texas Department of Licensing and Regulation (TDLR) for an accessibility
plan review.
I. BRIDGE CONSTRUCTION/REHABILITATION
Grantee shall use the minimum design requirements of the Texas Department of Transportation
(TxDOT) for bridge construction/rehabilitation. Final plans and specifications must be submitted to
TxDOT for review and approval prior to the start of construction, and documentation of such approval
must be provided to the GLO.
J. DISASTER SHELTERS
Grantee shall ensure that the primary purpose of the facility, as described in Attachment A, is to serve
as a disaster shelter, and shall ensure the facility is operated at all times in a manner that ensures that the
Attachment F
Special Conditions
Page 4 of 5
priority use is to serve as a disaster shelter regardless of any other scheduled uses or coin mit men ts that
existed at the time of the disaster or emergency situation. In addition Grantee shall prepare or be
incorporated into an approved emergency management plan, as prescribed by the Governor's Division
of Emergency Management, identifying the shelter as a facility that provides short -term lodging for
evacuees during and immediately after an emergency situation. Grantee shall submit a copy of
Grantee's Emergency Management PIan Annex for Shelter and Mass Care to the GLO.
K. DEKRIS REMOVAL
Grantee shall ensure that any debris to be removed consists primarily of vegetation, construction and
demolition materials from damaged or destroyed structures, and personal property. Only debris
identified as the responsibility of the local jurisdiction will be eligible for the reimbursement of cost of
removal.
Prior to beginning debris collection operations, Grantee shall address all pertinent environmental
concerns, adhere to all applicable regulations, and obtain all required permits. Further, Grantee shall
adhere to the methods described herein for the collection and storage of debris prior to proper disposal.
While construction and demolition debris may be collected and disposed of at an appropriately rated
landfill, woody and/or vegetative debris must be stored prior to disposal by use of temporary debris
storage and reduction sites (TDSR). Grantee will prepare and operate the TDSR sites, or local
jurisdictions choosing to conduct their own debris operations may review Chapter 7 of the FEMA
Debris Management Guide regarding the use of TDSR sites. This document may be obtained at
http://www.fema.go v /pdf/ government /grant/pa/demagcle.pdf.
In order to maintain the life expectancy of landfills, Grantees disposing of woody and /or vegetative
debris must choose burning, chipping, or grinding as the method of disposal. Any project disposing of
woody and /or vegetative debris must be approved in writing by the GLO.
L. USE. OF BONDS
Grantee must notify the GLO of its issuance and sale of bonds for completion of the project funded
under this Contract.
A HOUSING REHABILITATION ASSSSTANCi: PROGRAIW GUIDELINES
Prior to the selection of program recipients, Grantee shall provide a copy of its proposed housing
rehabilitation assistance program guidelines for GLO review and approval. The guidelines must include
provisions for compliance with the Federal Fire Prevention and Control Act of 1974 (which requires
that any housing unit rehabilitated with grant funds be protected by a hard -wired or battery- operated
smoke detector) and provisions for compliance with 24 CFR 35 (HUD lead -based paint regulation).
HOUSING REHABILITATION OR RECONSTRUCTION ASSISTANCE:
(1) The housing rehabilitation or reconstruction assistance provided by Grantee shall be in the
form of a five -year deferred payment loan (DPL), at zero interest. Provided all terms and
conditions under which the assistance was provided continue to be fulfilled, the DPL will be
forgiven at a rate of 20 percent per year, effective on the anniversary date of completion of
the Project, evidenced by the date of the Certificate of Final Completion or Final Completion
Form.
Attachment F
Special Conditions
Page S of 5
(2) The full amount of the assistance provided shall be secured by a fully executed promissory
note and Deed of Trust (DOT) filed against the property and recorded in the land records of
each applicable county. The DPL may be in a first position (no existing indebtedness) or in a
second position, subject or inferior only to an existing first mortgage.
(3) If the homeowner occupies the home for the full five -year term, the note expires and no
repayment is required, nor will any conditions be imposed relative to the disposition of the
property. If any of the terms and conditions under which the assistance was provided are
breached or if the property is sold, leased, transferred or vacated by the homeowner for any
consecutive thirty (30) day period during the five -year lien term, the repayment provisions of
the promissory note and DOT shall be enforced.
(4) If, during the five -year lien term, the homeowner vacates the unit for any consecutive thirty
(30) day period, the locality may forgive, as evidenced by city council or commissioner court
action, the remaining loan balance. Prior to forgiveness of all or any portion of the assistance
provided, the request for forgiveness must be approved by the local governing body and be
based on documented and justifiable conditions or circumstances that would result in an
unnecessary hardship to the homeowner and the determination that the national objective of
benefiting low to moderate - income persons was met.
(5) The national objective will be considered met only when the city council or county
commissioners court determines that a low to moderate4ncome person has occupied the
rehabilitated or reconstructed home for a time sufficient to meet the national objective.
Grantee is liable for repayment of an amount equal to the difference in the appraised value of
the home prior to reconstruction and the sales price when the home is sold during the term of
the five -year forgivable loan, if the national objective was not achieved.
(6) If the property is sold or transferred to a person other than an eligible LMI person, the
remaining pro-rated balance of the DPL must be repaid by the Grantee from the sales
proceeds. Notwithstanding the preceding, Grantee shall be held liable for any balance
remaining over and above the sales proceeds. In all instances, upon completion of the five -
year occupancy or repayment of the assistance (in full or in part), the Grantee shall prepare
and record a release of lien document in the land records of the applicable county.
(7) In instances where another occupant proposes to occupy a previously assisted unit, the
locality must document that the new applicant is income eligible and has been informed of
the terms and conditions under which the assistance is being provided. The new
homeowner(s) must acknowledge, in writing, that they have been informed of these terms and
conditions and that they are subject to all of the provisions for the full remaining term of the
DPL.
N. COASTAL MANAGEMENT
Grantee acknowledges and agrees that any Project that may impact a Coastal Natural Resource Area
must be consistent with the goals and policies of the Texas Coastal Management Program as described
in 31 Texas Administrative Code, Part 16, Chapter 501.
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