HomeMy WebLinkAboutS Contract - Solid Waste & NCDOENR 06-16-2009-4qSTATE OF NORTH CAROLINA
COUNTY OF WAKE
'1(
GRANT CONTRACT NO. 2333 Y
GRANTEE'S FEDERAL
IDENTIFICATION
NUMBER: ** ** *0327
This Contract is hereby made and entered into this 1st Day of July, 2009, by and between the NORTH
CAROLINA DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES, (the "Agency ") and
Orange County (the "Grantee ") (referred to collectively as the "Parties ").
1. Contract Documents: This Contract consists of the Grant Contract and its attachments, all of
which are identified by name as follows:
2. Grant Contract No. 2333
(1) General Terms and Conditions (Attachment A)
(2) Agency's Request for Proposal (RFP) (Attachment B)
(3) Grantee's Response to Agency's RFP, including line item budget and budget narrative and
if applicable, indirect cost documentation (Attachment C)
These documents constitute the entire agreement between the Parties and supersede all prior oral
or written statements or agreements. The Parties may enter into Contract Amendments in
accordance with the General Terms and Conditions as described in Attachment A.
3. Precedence Among Contract Documents: In the event of a conflict between terms of the
Contract Documents, the term in the Contract Document with the highest relative precedence
prevails. The order of precedence is established by the order of documents in Paragraph 1,
above, with the first - listed document having the highest precedence and the last- listed document
having the lowest precedence. If there are multiple Contract Amendments, the most recent
amendment has the highest precedence and the oldest amendment has the lowest precedence.
4. Contract Period: This Contract shall be effective on July 01, 2009 and shall terminate on June
30, 2010.
5. Service Period: The Grantee begins providing services on July 01, 2009. The Grantee
undertakes and completes its services in a sequence that assures expeditious completion in
light of the purposes of this agreement. Grantee completes its services on June 30, 2010.
6. Grantee's Duties: The Grantee provides the services as described in Attachment C
(Orange County Solid Waste) and in accordance with the approved budget in Attachment C.
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GRANT CONTRACT NO. 2333
7. Agency's Duties: The Agency shall pay the Grantee in the manner and in the amounts specified
in the Contract Documents.
The total amount paid by the Agency to the Grantee under this Contract shall not exceed Fifteen
Thousand DOLLARS ($15,000.00).
This amount consists of:
Type of Funds I Funding Source I CFDA No
State Solid Waste Management Trust Fund I NA
Accounting Code Information:
Dollars
GL Company
GL Account
GL Center
15, 000.00
1602
536961
16760
[ ] a. There are no matching requirements from the Grantee.
[ ] b. There are no matching requirements from the Grantee; however, the Grantee has
committed the following match to this project:
[ X ] c. The Grantee's matching requirement is $24,400.00, which shall consist of:
In -Kind
$
X
Cash
$
Cash and In -Kind
$
Cash and /or In -Kind
$
X
Other / Specify:
$
[ X ] c. The Grantee's matching requirement is $24,400.00, which shall consist of:
[ ] d. The Grantee has committed to an additional $ to complete the project as described in
Attachment C.
The contributions from the Grantee shall be sourced from non - federal funds.
The total contract amount is $ 39,400.00.
8. Reversion of Unexpended Funds
Any unexpended grant funds shall revert to the Agency upon termination of this Contract.
9. Reporting Requirements:
Any Grantee receiving at least $15,000 but less than $500,000 in state funds from the Agency
within any fiscal year is required to file with each funding state agency a sworn accounting of
receipts and expenditures of state funds in the format approved by the State Auditor. This
Page 2 of 7
In -Kind
$
X
Cash
$ 3,000.00
Cash and In -Kind
$
Cash and /or In -Kind
$
X
Other / Specify: Other Contributions
$ 21,400.00
[ ] d. The Grantee has committed to an additional $ to complete the project as described in
Attachment C.
The contributions from the Grantee shall be sourced from non - federal funds.
The total contract amount is $ 39,400.00.
8. Reversion of Unexpended Funds
Any unexpended grant funds shall revert to the Agency upon termination of this Contract.
9. Reporting Requirements:
Any Grantee receiving at least $15,000 but less than $500,000 in state funds from the Agency
within any fiscal year is required to file with each funding state agency a sworn accounting of
receipts and expenditures of state funds in the format approved by the State Auditor. This
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GRANT CONTRACT NO. 2333
accounting must be attested to by the Grantee fiscal officer and one other authorizing officer of
the Grantee. This accounting must be filed with each funding state agency within six months
after the end of the Grantee's operating year. If the Grantee receives STATE funds of
$500,000 or more during its fiscal year, it must file with the State Auditor and each funding
agency its audited financial statements in accordance with the standards and formats
prescribed by the State Auditor in Memorandum NGO -2 "Grantee Audit Reports." If the
Grantee receives $500,000 or more in FEDERAL awards during its fiscal year from any source,
including federal funds passed through the State or other grantors, it must obtain a single audit
or program- specific audit conducted in accordance with the Federal Office of Management and
Budget's Circular A -133 "Audits of States, Local Government and Non - Profit Organizations." If
the above amounts are not met by one single funding agency, but rather any combination of
funding agencies, then the appropriate reports shall be sent to the Office of the State Auditor
and to the Agency. Also, a corrective action plan for any audit findings and recommendations
must be submitted along with the audit report or within the period specified by the applicable
OMB Circular or Memorandum.
10. Payment Provisions:
The Agency reimburses the Grantee for actual allowable expenditures with the Agency retaining a
minimum of ten percent (10 %) of the Agency's funds until all required activities are completed and
reports /deliverables are received and accepted by the Agency. An allowable expenditure is
defined as one associated with work performed to meet the milestones that have been addressed
during the specific reporting period. The Agency may withhold payment on invoices when the
Grantee fails to accomplish the milestones stated in Attachment C.
11. Invoices: The Grantee submits invoices to the Agency Contract Administrator as needed. The
final invoice must be received by the Agency within 45 days after the end of the contract period.
Amended or corrected invoices must be received by the Agency's Office of the Controller within six
months after the end of the contract period. The Agency will not pay any invoice received more
than 6 months after the end of the effective period.
12. Contract Administrators: Each Party submits notices, questions and correspondence to the
other Party's Contract Administrator. The name, address, telephone number, fax number, and
email address of the Parties' initial Contract Administrators are set out below. Either Party may
change the name, address, telephone number, fax number, or email address of its Contract
Administrator or Principal Investigator or Key Personnel by giving timely written notice to the other
Party.
Any changes in the scope of the contract which increase or decrease the Grantee's compensation
are not effective until approved in writing by the Agency's Head or Authorized Agent.
Aaencv Contract Administrator: i
Scott Mouw
Division of Pollution Prevention and Environmental Assistance
1639 Mail Service Center
Raleigh, NC 27699
Telephone: 919- 715 -6512
Fax:
Email: scott.mouw @ncdenr.gov
Physical Address / Zip:
Page 3 of 7
GRANT CONTRACT NO. 2333
Grantee Contract Administrator:
Grantee Principal Investigator or Key Personnel
Blair Pollack
Same
Orange County Solid Waste
Post Office Box 17177
Chapel Hill, NC 27516
Telephone: 919- 932 -2900
Fax:
Email: b ollock co.orange. nc.us
13. Grantee Principal Investigator or Key Personnel: The Grantee shall not substitute the
Principal Investigator or key personnel assigned to the performance of this contract without
prior approval by the Agency Contract Administrator.
14. Disbursements: As a condition of this Contract, Grantee acknowledges and agrees to make
disbursements in accordance with the following requirements:
a. Implement adequate internal controls over disbursements;
b. Pre -audit all vouchers presented for payment to determine:
• Validity and accuracy of payment
• Payment due date
• Adequacy of documentation supporting payment
• Legality of disbursement
c. Assure adequate control of signature stamps /plates;
d. Assure adequate control of negotiable instruments; and
e. Implement procedures to insure that account balance is
monthly.
solvent and reconcile the account
15. Outsourcing: The Grantee certifies that it has identified to the Agency all jobs related to the
Contract that have been outsourced to other countries, if any. Grantee further agrees that it will not
outsource any such jobs during the term of this Contract without providing notice to the Agency
and obtaining written approval from the Agency Contract Administrator prior to outsourcing.
16. Assurances For Non - Federally Funded Contracts: The GRANTEE certifies that with regard to:
Debarment And Suspension - To the best of its knowledge and belief that it and its principals:
(a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any Federal, State, or local government
agency;
(b) have not within a 3 -year period preceding this proposal been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State, or local)
transaction or contract under a public transaction; violation of Federal or State antitrust
statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, or receiving stolen property;
(c) are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State, or local) with commission of any of the offenses enumerated in
paragraph (1)(b) of this certification; and
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GRANT CONTRACT NO. 2333
(d) have not within a 3 -year period preceding this application /proposal had one or more public
transactions (Federal, State, or local) terminated for cause or default.
2. Lobbying - To the best of his or her knowledge and belief, that:
(a) No Federal, State or local government 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 Federal, State or local government agency; a member of
Congress, North Carolina's General Assembly or local government body; an officer or
employee of Congress, North Carolina's General Assembly or local government body, or an
employee of a member of Congress, North Carolina's General Assembly or local government
body, in connection with the awarding of any Federal, State or local government contract, the
making of any Federal, State or local government grant, the making of any Federal, State or
local government loan, the entering into of any Federal, State or local government
cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal, State or local government contract, grant, loan, or cooperative
agreement.
(b) If any funds other than Federal, State or local government appropriated funds have been
paid or will be paid to any person for influencing or attempting to influence an officer or
employee of any agency; a member of Congress, North Carolina's General Assembly or
local government body; an officer or employee of Congress, North Carolina's General
Assembly or local government body; or an employee of a member of Congress, North
Carolina's General Assembly or local government body in connection with the Federal, State
or local government contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying" in
accordance with its instructions.
3. Drug -Free Work Place Requirements - It will comply by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession or use of a controlled substance is prohibited in the grantee's
workplace and specifying the actions that will be taken against employees for violation of
such prohibition;
(b) Establishing a drug -free awareness program to inform employees about -
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs;
and
(4) The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant
be given a copy of the statement required by paragraph (a) above;
(d) Notifying the employee in the statement required by paragraph (a), above, that, as a
condition of employment under the grant, the employee will -
(1) Abide by the terms of the statement; and
Page 5 of 7
GRANT CONTRACT NO. 2333
(2) Notify the employer of any criminal drug statue conviction for a violation occurring in
the workplace no later than five days after such conviction;
(e) Notifying the agency within ten days after receiving notice under subparagraph (d)(2), above,
from an employee or otherwise receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice under subparagraph
(d)(2), above with respect to any employee who is so convicted -
(1) Taking appropriate personnel action against such an employee, up to and including
termination; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local
health, law enforcement, or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free workplace through
implementation of paragraphs (a), (b), (c), (d), (e), and (f), above.
4. Will comply with the provisions of the Equal Employment Practices Act set out in Article 49A of
Chapter 143 of the North Carolina General Statutes.
5. Will comply, as applicable, with the provisions of the Wage and Hour Act, Occupational Safety and
Health Act of North Carolina, Controlled Substance Examination Regulation, Retaliatory
Employment Discrimination, Safety and Health Programs and Committees, Workplace Violence
Prevention, and other applicable provisions of Chapter 95 of the North Carolina General Statutes
regarding labor standards.
6. Will comply with all applicable requirements of all other federal, state and local government laws,
executive orders, regulations and policies governing this program.
Page 6 of 7
GRANT CONTRACT NO. 2333
17. Signature Warranty: The undersigned represent and warrant that they are authorized to bind their
principals to the terms of this agreement.
IN WITNESS WHEREOF, the Grantee and the Agency execute this agreement in three (3)
originals, one (1) of which is retained by the Grantee and two (2) of which are retained by the
Agency, the day and year first above written.
Orange County Solid Waste
By
Grantee's Signature
I '►
Typed / Printed Name
. ?)6
C.
Title
NORTH CAROLINA DEPARTMENT OF
ENVIRONMENT AND NATURAL
RESOURCES
, e� Freeman, Secretary
By
Dep met na re or A thorized Agent
Michael G. Bryant
Type / Printed Name
Director Division of Purchase & Services
Title
ORIGINAL
Page 7 of 7
General Terms and Conditions
Governmental Entities
DEFINITIONS
Unless indicated otherwise from the context, the
following terms shall have the following meanings in
this Contract. All definitions are from 9 NCAC
3M.0102 unless otherwise noted. If the rule or
statute that is the source of the definition is changed
by the adopting authority, the change shall be
incorporated herein.
(1) "Agency" (as used in the context of the
definitions below) means and includes every
public office, public officer or official (State
or local, elected or appointed), institution,
board, commission, bureau, council,
department, authority or other unit of
government of the State or of any county,
unit, special district or other political sub-
agency of government. For other purposes
in this Contract, "Agency" means the entity
identified as one of the parties hereto.
(2) "Audit" means an examination of records or
financial accounts to verify their accuracy.
(3) "Certification of Compliance" means a report
provided by the Agency to the Office of the
State Auditor that states that the Grantee has
met the reporting requirements established by
this Subchapter and included a statement of
certification by the Agency and copies of the
submitted grantee reporting package.
(4) "Compliance Supplement" refers to the North
Carolina State Compliance Supplement,
maintained by the State and Local
Government Finance Agency within the
North Carolina Department of State
Treasurer that has been developed in
cooperation with agencies to assist the local
auditor in identifying program compliance
requirements and audit procedures for testing
those requirements.
(5) "Contract" means a legal instrument that is
used to reflect a relationship between the
agency, grantee, and sub - grantee.
(6) "Fiscal Year" means the annual operating
year of the non -State entity.
(7) "Financial Assistance" means assistance that
non -State entities receive or administer in the
form of grants, loans, loan guarantees,
property (including donated surplus
property), cooperative agreements, interest
ATTACHMENT A
subsidies, insurance, food commodities,
direct appropriations, and other assistance.
Financial assistance does not include
amounts received as reimbursement for
services rendered to individuals for Medicare
and Medicaid patient services.
(8) "Financial Statement" means a report
providing financial statistics relative to a
given part of an organization's operations or
status.
(9) "Grant" means financial assistance provided
by an agency, grantee, or sub -grantee to carry
out activities whereby the grantor anticipates
no programmatic involvement with the
grantee or sub - grantee during the
performance of the grant.
(10) "Grantee" has the meaning in G.S. 143 -
6.2(b): a non -State entity that receives a grant
of State funds from a State agency,
department, or institution but does not
include any non -State entity subject to the
audit and other reporting requirements of the
Local Government Commission. For other
purposes in this Contract, "Grantee" shall
mean the entity identified as one of the
parties hereto. For purposes of this contract,
Grantee also includes other State agencies
such as universities.
(11) "Grantor" means an entity that provides
resources, generally financial, to another
entity in order to achieve a specified goal or
obj ective.
(12) "Non -State Entity" has the meaning in
N.C.G.S. 143- 6.2(a)(1): A firm, corporation,
partnership, association, county, unit of local
government, public authority, or any other
person, organization, group, or governmental
entity that is not a State agency, department,
or institution.
(13) "Public Authority" has the meaning in
N.C.G.S. 143- 6.2(a)(3): A municipal
corporation that is not a unit of local
government or a local governmental
authority, board, commission, council, or
agency that (i) is not a municipal corporation
and (ii) operates on an area, regional, or
multiunit basis, and the budgeting and
accounting systems of which are not fully a
part of the budgeting and accounting systems
of a unit of local government.
(14) "Single Audit" means an audit that includes
an examination of an organization's financial
statements, internal controls, and compliance
with the requirements of Federal or State
awards.
(15) "Special Appropriation" means a legislative
act authorizing the expenditure of a
designated amount of public funds for a
specific purpose.
(16) "State Funds" means any funds appropriated
by the North Carolina General Assembly or
collected by the State of North Carolina.
State funds include federal financial
assistance received by the State and
transferred or disbursed to non -State entities.
Both Federal and State funds maintain their
identity as they are sub - granted to other
organizations. Pursuant to N.C.G.S. 143 -
6.2(b), the terms "State grant funds" and
"State grants" do not include any payment
made by the Medicaid program, the Teachers'
and State Employees' Comprehensive Major
Medical Plan, or other similar medical
programs.
(17) "Sub- grantee" has the meaning in G.S. 143-
6.2("): a non -State entity that receives a
grant of State funds from a grantee or from
another sub - grantee but does not include any
non -State entity subject to the audit and other
reporting requirements of the Local
Government Commission.
(18) "Unit of Local Government has the meaning
in G.S. 143- 6.2(a)(2): A municipal
corporation that has the power to levy taxes,
including a consolidated city - county as
defined by G.S. 160B -2(1), and all boards,
agencies, commissions, authorities, and
institutions thereof that are not municipal
corporations.
Relationships of the Parties
Independent Contractor: The Grantee is and shall
be deemed to be an independent contractor in the
performance of this Contract and as such shall be
wholly responsible for the work to be performed and
for the supervision of its employees. The Grantee
represents that it has, or shall secure at its own
expense, all personnel required in performing the
services under this agreement. Such employees shall
not be employees of, or have any individual
contractual relationship with, the Agency.
ATTACHMENT A
Subcontracting: To subcontract work to be
performed under this contract which involves the
specialized skill or expertise of the Grantee or his
employees, the Grantee first obtains prior approval
of the Agency Contract Administrator. In the
event the Grantee subcontracts for any or all of the
services or activities covered by this contract: (a)
the Grantee is not relieved of any of the duties and
responsibilities provided in this contract; (b) the
subcontractor agrees to abide by the standards
contained herein or to provide such information as
to allow the Grantee to comply with these
standards, and; (c) the subcontractor agrees to
allow state and federal authorized representatives
access to any records pertinent to its role as a
subcontractor.
Sub - grantees: The Grantee has the responsibility to
ensure that all sub - grantees, if any, provide all
information necessary to permit the Grantee to
comply with the standards set forth in this Contract.
Assignment: The Grantee may not assign the
Grantee's obligations or the Grantee's right to receive
payment hereunder. However, upon Grantee's
written request approved by the issuing purchasing
authority, the Agency may:
(a) Forward the Grantee's payment check(s)
directly to any person or entity designated by
the Grantee, or
(b) Include any person or entity designated by
Grantee as a joint payee on the Grantee's
payment check(s).
Such approval and action does not obligate the State
to anyone other than the Grantee and the Grantee
remains responsible for fulfillment of all contract
obligations.
Beneficiaries: Except as herein specifically
provided otherwise, this Contract insures to the
benefit of and is binding upon the parties hereto and
their respective successors. It is expressly understood
and agreed that the enforcement of the terms and
conditions of this Contract, and all rights of action
relating to such enforcement, are strictly reserved to
the Agency and the named Grantee. Nothing
contained in this document shall give or allow any
claim or right of action whatsoever by any other third
person. It is the express intention of the Agency and
Grantee that any third person receiving services or
benefits under this Contract is an incidental
beneficiary only.
Indemnity
Indemnification: In the event of a claim against
either party by a third party arising out of this
contract, the party whose actions gave rise to the
claim is responsible for the defense of the claim and
any resulting liability, provided that a party may not
waive the other party's sovereign immunity or similar
defenses. The parties agree to consult with each
other over the appropriate handling of a claim and, in
the event they cannot agree, to consult with the
Office of the Attorney General.
Default and Termination
Termination by Mutual Consent: Either party may
terminate this agreement upon thirty (30) days
notice in writing from the other party. In that
event, all finished or unfinished documents and
other materials, at the option of the Agency, be
submitted to the Agency. If the contract is
terminated as provided herein, the Grantee is paid
in an amount which bears the same ratio to the
total compensation as the services actually
performed bear to the total services of the Grantee
covered by this agreement; for costs of work
performed by subcontractors for the Grantee
provided that such subcontracts have been
approved as provided herein; or for each full day of
services performed where compensation is based
on each full day of services performed, less
payment of compensation previously made. The
Grantee repays to the Agency any compensation
the Grantee has received which is in excess of the
payment to which he is entitled herein.
Termination for Cause: If, through any cause, the
Grantee fails to fulfill in timely and proper manner
the obligations under this agreement, the Agency
thereupon has the right to terminate this contract
by giving written notice to the Grantee of such
termination and specifying the reason thereof and
the effective date thereof. In that event, all
finished or unfinished documents, data, studies,
surveys, drawings, maps, models, photographs, and
reports prepared by the Grantee , at the option of
the Agency, be submitted to the Agency, and the
Grantee is entitled to receive just and equitable
compensation for any satisfactory work completed
on such documents and other materials. The
Grantee is not relieved of liability to the Agency
for damages sustained by the Agency by virtue of
any breach of this agreement, and the Agency may
ATTACHMENT A
withhold payment to the Grantee for the purpose of
set off until such time as the exact amount of
damages due the Agency from such breach can be
determined.
Waiver of Default: Waiver by the Agency of any
default or breach in compliance with the terms of this
Contract by the Grantee is not a waiver of any
subsequent default or breach and is not a
modification of the terms of this Contract unless
stated to be such in writing, signed by an authorized
representative of the Agency and the Grantee and
attached to the contract.
Availability of Funds: The parties to this Contract
agree and understand that the payment of the sums
specified in this Contract is dependent and contingent
upon and subject to the appropriation, allocation, and
availability of funds for this purpose to the Agency.
Force Majeure: Neither party is in default of its
obligations hereunder if and it is prevented from
performing such obligations by any act of war,
hostile foreign action, nuclear explosion, riot, strikes,
civil insurrection, earthquake, hurricane, tornado, or
other catastrophic natural event or act of God.
Survival of Promises: All promises, requirements,
terms, conditions, provisions, representations,
guarantees, and warranties contained herein shall
survive the contract expiration or termination date
unless specifically provided otherwise herein, or
unless superseded by applicable federal or State
statutes of limitation.
Intellectual Property Rights
Copyrights and Ownership of Deliverables: Any
and all copyrights resulting from work under this
agreement shall belong to the Grantee. The
Grantee hereby grants to the North Carolina
Department of Environment and Natural Resources
a royalty -free, non - exclusive, paid -up license to
use, publish and distribute results of work under
this agreement for North Carolina State
Government purposes only.
Compliance with Applicable Laws
Compliance with Laws: The Grantee understands
and agrees that is subject to compliance with all laws,
ordinances, codes, rules, regulations, and licensing
requirements that are applicable to the conduct of its
business, including those of federal, state, and local
agencies having jurisdiction and/or authority.
Equal Employment Opportunity: The Grantee
understands and agrees that it is subject to
compliance with all federal and State laws relating to
equal employment opportunity.
Confidentiality
Confidentiality: As authorized by law, the Grantee
keeps confidential any information, data, instruments,
documents, studies or reports given to or prepared or
assembled by the Grantee under this agreement and
does not divulge or make them available to any
individual or organization without the prior written
approval of the Agency. The Grantee acknowledges
that in receiving, storing, processing or otherwise
dealing with any confidential information it will
safeguard and not further disclose the information
except as otherwise provided in this Contract or
without the prior written approval of the Agency.
Oversight
Access to Persons and Records: The State Auditor
has access to persons and records as a result of all
contracts or grants entered into by State agencies or
political subdivisions in accordance with N.C.G.S
147 -64.7. Additionally, as the State funding
authority, the Agency has access to persons and
records as a result of all contracts or grants entered
into by State agencies or political subdivisions.
Record Retention: The Grantee may not destroy,
purge or dispose of records without the express
written consent of the Agency. State basic records
retention policy requires all grant records to be
retained for a minimum of five years or until all audit
exceptions have been resolved, whichever is longer.
If the contract is subject to Federal policy and
regulations, record retention may be longer than five
years since records must be retained for a period of
three years following submission of the final Federal
Financial Status Report, if applicable, or three years
following the submission of a revised final Federal
Financial Status Report. Also, if any litigation,
claim, negotiation, audit, disallowance action, or
other action involving this Contract has started
before expiration of the five -year retention period
described above, the records must be retained until
completion of the action and resolution of all issues
which arise from it, or until the end of the regular
five -year period described above, whichever is later.
ATTACHMENT A
Time Records: The GRANTEE will maintain
records of the time and effort of each employee
receiving compensation from this contract, in
accordance with the appropriate OMB circular.
Miscellaneous
Choice of Law: The validity of this Contract and
any of its terms or provisions, as well as the rights
and duties of the parties to this Contract, are
governed by the laws of North Carolina. The
Grantee,. by signing this Contract, agrees and
submits, solely for matters concerning this Contract,
to the exclusive jurisdiction of the courts of North
Carolina and agrees, solely for such purpose, that the
exclusive venue for any legal proceedings shall be
Wake County, North Carolina. The place of this
Contract and all transactions and agreements relating
to it, and their situs and forum, shall be Wake
County, North Carolina, where all matters, whether
sounding in contract or tort, relating to the validity,
construction, interpretation, and enforcement shall be
determined.
Amendment: This Contract may not be amended
orally or by performance. Any amendment must be
made in written form and executed by duly
authorized representatives of the Agency and the
Grantee.
Severability: In the event that a court of competent
jurisdiction holds that a provision or requirement of
this Contract violates any applicable law, each such
provision or requirement shall continue to be
enforced to the extent it is not in violation of law or is
not otherwise unenforceable and all other provisions
and requirements of this Contract shall remain in full
force and effect.
Headings: The Section and Paragraph headings in
these General Terms and Conditions are not material
parts of the agreement and should not be used to
construe the meaning thereof.
Time of the Essence: Time is of the essence in the
performance of this Contract.
Care of Property: The Grantee agrees that it is be
responsible for the proper custody and care of any
State owned property furnished him for use in
connection with the performance of his contract
and will reimburse the State for its loss or damage.
Ownership of equipment purchased under this
contract rests with the Agency. Upon approval of the
Agency Contract Administrator, such equipment may
be retained by the Grantee for the time the Grantee
continues to provide services begun under this
contract.
Travel Expenses: All travel, lodging, and
subsistence costs are included in the contract total
and no additional payments will be made in excess of
the contract amount indicated in above. Contractor
must adhere to the travel, lodging and subsistence
rates established in the Budget Manual for the State
of North Carolina.
Sales/Use Tax Refunds: If eligible, the Grantee and
all sub - grantees shall: (a) ask the North Carolina
Department of Revenue for a refund of all sales and
use taxes paid by them in the performance of this
Contract, pursuant to G.S. 105- 164.14; and (b)
exclude all refundable sales and use taxes from all
reportable expenditures before the expenses are
entered in their reimbursement reports.
Advertising: The Grantee may not use the award of
this Contract as a part of any news release or
commercial advertising.
Recycled Paper: The Grantee ensures that all
publications produced as a result of this contract are
printed double -sided on recycled paper.
Sovereign Immunity: The Agency does not waive
its sovereign immunity by entering into this contract
and fully retains all immunities and defenses
provided by law with respect to any action based on
this contract.
Gratuities, Kickbacks or Contingency Fee(s): The
parties certify and warrant that no gratuities,
kickbacks or contingency fee(s) are paid in
connection with this contract, nor are any fees,
commissions, gifts or other considerations made
contingent upon the award of this contract.
Lobbying: The Grantee certifies that it (a) has
neither used nor will use any appropriated funds
for payments to lobbyist; (b) will disclose the
name, address, payment details, and purpose of any
agreement with lobbyists whom the Grantee or its
sub -tier contractor(s) or sub - grantee(s) will pay
with profits or non - appropriated funds on or after
December 22, 1989; and (c) will file quarterly
ATTACHMENT A
updates about the use of lobbyists if material
changes occur in their use.
Attachment B
FOPAY$ 2009 Comm uni Waste Reduction and Rec clin Grants
ty Y g vncN REQUEST FOR PROPOSALS
ENTION N.C. Department of Environment and Natural Resources
Division of Pollution Prevention and Environmental Assistance
The purpose of this grant cycle is to assist local governments in expanding, improving and implementing waste
reduction programs in North Carolina. The Division of Pollution Prevention and Environmental Assistance
administers the Community Waste Reduction and Recycling Grants through the Solid Waste Management Trust
Fund.
With the release of this Request for Proposals, DPPEA is seeking proposals for the funding of equipment and other
items that help initiate or expand waste reduction programs within the state. Applicants should carefully read
this entire RFP prior to submitting a proposal. Proposals must be received by DPPEA by 5:00 p.m. on
Friday, February 13, 2009. Please address any questions to Jim Hickman at (919) 715 -6528 or
jim.hickman@ncmail.net.
Available Fundine and Cash Match Requirement:
Grant awards will be broken into two categories for the 2009 CWRAR grant round: standard grant award and large
purchase grant award. The details on each type of award are provided below. Projects that propose to divert a
significant amount of materials from the waste stream will be given strong consideration. Additionally, projects that
improve program efficiency while increasing waste reduction are strongly encouraged. Projects that address
recently -passed legislation banning rigid plastic bottles, used oil filters, oyster shells or pallets, or projects that
address recently passed legislation requiring ABC permit holders to recycle beverage containers will be eligible for
bonus points as outlined in the scoring criteria section. Please contact Jim Hickman at (919) 715 -6528 for more
information or to discuss your project ideas.
After close examination of the requested funding and subject to agreement with the applicant, DPPEA may award
grant amounts lower than the original request. For any amount awarded, grantees must still provide the required
level of cash match.
Standard Grant Award:
Applicants are eligible for a standard grant award of up to $25,000. Grant winners must provide a cash match
equivalent to 20 percent of the requested grant funding — for example, a grantee under this program receiving
$20,000 from DPPEA must spend an additional $4,000 on the project. Distributions from the $2 per ton tip fee tax
may be used to cover cash match requirements.
Large Purchase Grant Award:
Applicants planning on making substantial capital investments in waste reduction are eligible for a maximum award
of $40,000. In order to be eligible for this award, the total project budget must exceed $50,000.
Calculating Cash Match:
To determine the award amount and cash match from an overall project budget use the following equation: grant
award amount = total project cost - 1.2. The difference between the total project cost and the grant award amount
equals the cash match.
Attachment B
Eligible Entities:
• Counties, municipalities, councils of governments and solid waste authorities in North Carolina are eligible
to apply for funding.
• Federal and state agencies are not eligible for funding through this grant program.
• Public universities, community colleges and private colleges and universities are not eligible for funding
through this grant program.
• Not - for - profit entities are no longer eligible for funding through this grant program; however, these
entities are eligible for funding through the Recycling Business Development Grant Round. For more
information about the Recycling Business Development Grant round, please contact Matt Todd at (919)
715 -6522 or matthew.todd @ncmail.net.
Conditions on Submittals:
• ONLY ONE PROPOSAL PER ELIGIBLE ENTITY WILL BE ACCEPTED.
• Multi -party initiatives (such as by two or more local governments) are strongly encouraged.
• Any group participating in a regional or multi -party project proposal may not submit additional proposals.
• Applicants with delinquencies on existing DPPEA grants (e.g., failure to submit final report) will not be
considered for funding.
• All applicants selected for funding will undergo a compliance review to ensure that they do not have any
outstanding notices of violation related to North Carolina solid waste statutes and rules. Outstanding NOVs
must be corrected to the satisfaction of the N.C. Division of Waste Management prior to any grant being
awarded. DPPEA will be notified by DWM when NOVs are corrected.
Examples of Uses of Grant Funds:
- Site development costs
- Equipment purchases and installation
- Public awareness programs /public education
Examples of activities for which Funds may NOT be used:
- Administrative expenses such as overhead costs - Employee salaries
- Land acquisition costs - Contracted collection costs
Funding Period:
The applicant must expend funds within one year of contract execution unless the time is extended by written
agreement between the applicant and the N.C. Department of Environment and Natural Resources. Extensions
are possible but not guaranteed. It is anticipated that grant contracts will begin July 1, 2009 and end June 30,
2010.
Due Date:
Proposals MUST be received by DPPEA by 5:00 p.m. on Friday, February 13, 2009. Any proposals received
after the deadline will not be considered. Applicants must submit an electronic copy of their proposal by the
submittal deadline preferably in MS Word format. If electronic submission is not possible, the applicant may
submit a single hard copy of their proposal (for detail on what is required in the proposal, see page three of this
document). Receipt of all proposals will be acknowledged by e -mail or other correspondence.
Local governments requiring board approval should plan to procure that approval before the submittal deadline.
Other Obligations:
All applicants are strongly encouraged to visit the following Web site to review reporting and auditing
requirements: http: / /www.p2i)ays.ore /Localeov /assistance /financial.asp. A link to the new guidelines is in
the upper right hand corner. If you do not have Internet access, please contact Jim Hickman at (919) 715-
6528.
2
Attachment B
How to Submit Proposals:
One electronic copy of the proposal must be submitted. One double -sided hard copy may be submitted if an
electronic submission is not feasible. Receipt of all acceptable proposals will be acknowledged by letter or e-
mail. Submit electronic versions tojim.hickman@ncmail.net. Please submit electronic versions as Microsoft
Word (preferred) or Adobe attachments.
Hard copy proposals mailed to DPPEA should be printed double -sided on at least 30 percent POST - CONSUMER
CONTENT RECYCLED PAPER. All major office supply companies and copy companies provide 30 percent
post- consumer content paper. Thirty percent post- consumer content paper is also available on state term contract.
If you have trouble finding recycled paper, please contact Rachel Eckert for help — (919) 715 -6505.
Send hard copy proposals to:
2009 COMMUNITY WASTE REDUCTION AND RECYCLING GRANT ROUND
ATTENTION: JIM HICKMAN
DIVISION OF POLLUTION PREVENTION AND ENVIRONMENTAL ASSISTANCE
1639 MAIL SERVICE CENTER
RALEIGH, NC 27699 -1639
For hand - delivery of proposals, the physical address is:
2728 Capital Boulevard, Raleigh NC, 27604 -1500, Room 1G 220
Please check in with Customer Service for directions to DPPEA's offices.
Proposals must be received by 5:00 p.m. on Friday, February 13, 2009. Proposals postmarked but not
received by 5:00 p.m. on February 13, 2009 will not be accepted.
What Must the Proposal include?
The following table describes what applicants must submit for their proposal to be considered complete.
Proposals that fail to provide all the required information will be deemed inadequate and not considered for
funding:
Local Government Applicants
1. Contacts page, including:
✓ Name and title of main contact
✓ Organization
✓ Address
✓ Phone number
✓ Fax number
✓ E -mail address
2. One page description of proposed grant project.
3. One page bulleted list showing project milestones and general implementation dates
(note: project must be complete in one year).
4. Budget page, showing:
✓ Itemized intended expenditures
✓ Funds requested from the state
✓ Matching funds from the applicant
Attachment B
Grant Selection Process:
Through a blind vote process, a selection committee will use the pre - established criteria below to rank proposals
and make award decisions. The review process is expected to be completed and preliminary award
announcements made during March, 2009. Applicants are encouraged to consider the award criteria as they
develop their grant proposals. A total of 86 points is available.
Award Criteria
1. Innovation/Creativity (0 -20 Points) 5. Efficiency (0 -10 points)
Is the project innovative? Does the project set a strong Will the project improve the efficiency or cost -
example for other communities to replicate? effectiveness of the local waste reduction program?
2. Planning (0 -20 points)
Is the proposal well thought -out, well - researched and
backed by valid facts and assumptions? Will the
proposal have a significant impact for its category?
3 Sustainability /Commitment (0 -10 points)
Will the project be ongoing and sustained in subsequent
annual budgets? Does it have the support of the
governing body?
4. Impact on the waste stream (0 -10 points)
Will the project contribute substantially toward
reduction of the local waste stream?
6. Joint Effort (0 or 6 points)
Individual party proposals receive zero points; multi-
party proposals (involving cash match from all
participants) receive six points.
7 Recently Passed Legislation (0 -10 points)
To what extent does the project address the
reduction of used oil filters, pallets, rigid plastic
bottles or pallets, or does the project address the
implementation of recycling services for ABC
permit holders?
If Your Proposal is Selected for Funding:
DPPEA anticipates that applicants selected for funding will be notified in March 2009. DPPEA will notify the
applicant with a formal offer by U.S. Mail or by e-mail. The applicant must accept or decline the offer. The
following will occur once the offer is accepted.
• DPPEA will conduct a compliance review with the Division of Waste Management (this may occur
before offer is accepted).
• Where appropriate, the applicant must (within 15 business days after notification) submit a revised project
description and budget signed by an authorized representative reflecting the accepted offer. Applicants
who fail meet this requirement will not be awarded funding.
• Successful applicants will be required to provide their federal tax ID number.
• DPPEA will submit request through the DENR contract processing system for a grant contract.
NOTE: Successful applicants that make purchases before a grant contract is signed by both DENR and the
grant recipient will not be reimbursed.
Attachment B
Other General Terms and Conditions:
In addition to any terms and conditions addressed at the following link:
http://www.p2pUs.orWLocalgov/assistance/grants.asp all grantees are subject to the following terms and
conditions. Most of these terms and conditions will be outlined in the grant contract.
• Publications — all documents and publications associated with a grant contract should be printed on
recycled paper containing at least 30 percent post- consumer content.
• Cash match — grantees are required to provide at least 20 percent cash match.
• Final reports — a draft final report is required to be submitted to DPPEA by 30 days prior to the contract
end date and a final report is required to be submitted by the contract end date. All hard copies submitted
should be double -sided and on recycled paper as stated above. Final reports for government grantees will
follow a standard format provided by DPPEA.
• Extensions — no -cost time extensions are possible but not guaranteed for grant contracts. Grantees
seeking no -cost time extensions must submit a request for a time extension 60 days prior to the contract
end date. The request for extension must indicate how long the grantee is seeking to extend the project
and the reason that the extension is being requested (i.e., why the project cannot be completed on- time).
Any request for an extension must include a new timeline of project milestones and payments, as well as
a new budget (if budget changes are also being requested).
• Reimbursement — all DPPEA grants are on a reimbursement basis. Requests for reimbursement must
include proof that the funds were spent and must have the term "invoice" clearly stated on the request.
• Final 10 Percent of Funds — DPPEA will continue to reimburse grantees until 90 percent of the award
amount has been expended. The final 10 percent will be held until an acceptable final report has been
received by DPPEA. The report must be received and approved prior to the end date of the contract. All
final requests for reimbursement must be received within 45 days of the contract end -date or all remaining
grant funds will be forfeit.
A Final Word on Grant Writing:
Proposals often receive low scores because applicants fail to follow instructions, leading to uncertainty about the
project goals and intended results The clearer the details are, the less questions a reviewer will have about the
validity /feasibility of a proposal. Applicants also stand a better chance of success if they adhere to the required
components of a proposal and if they carefully review the grant award criteria in their proposal.
eIA
NCDENR
Attachment C
DENR Contract 2333
Local Government Applicants
Contacts page, including:
✓ Name and title of main contact
✓ Blair L Pollock, Solid Waste Planner
✓ Organization
✓ Orange County Solid Waste Management Department
✓ Address
✓ P.O. Box 17177, Chapel Hill NC 27516
✓ Phone number
✓ (919) 968 -2788
✓ Fax number
✓ (919) 932 -2900
✓ E -mail address
✓ bvollockaco.oranae.nc.us
Attachment C
DENR Contract 2333
2. One page description of proposed grant project.
The project is to increase recycling opportunities at drop off and convenience center sites in Orange
County to include all rigid plastic containers such as large buckets, tubs, lawn furniture, cups, flower
pots and similarly made rigid plastics e.g. some toys made from acceptable plastics. These materials
would be placed in separate containers to facilitate effective materials marketing. Most processors do
not want rigid plastics mixed with bottles. Plastics delivered this way are downgraded and many non -
bottle items are discarded.
This recycling opportunity would be created by placing one each 30 cubic yard closed top roll off
containers with side openings at each of the County's five unstaffed dropoff sites or a minimum of
two each 6 cubic yard open top dumpsters at each of the County's five staffed convenience centers.
That would enable the public easy access to recycle these types of plastics. There is a high demand
for non -bottle plastic recycling collection in our community and markets are emerging in our region
e.g. Blue Ridge Plastics, able to consistently accept and process these materials. Orange County will
continue to research all markets in an ongoing, dynamic way to determine optimal ways to process
and deliver material to maximize efficient diversion and, secondarily, increase revenues.
Orange County would use existing equipment and personnel to haul the plastics collected from drop
off locations back to its recycling processing facility at Eubanks Road or possibly to a third party
baler. We want to compare the effectiveness of collecting from dumpsters in front loaders v. in
rolloffs and we have open -top dumpsters we can repurpose but need to purchase rolloffs and the grant
funds will be used to support this capital acquisition. We will utilize existing front - loading trucks and
rolloff trucks to collect with. The collected materials will be delivered to our facility where we would
dump, pick over the loads to further improve quality, as is our general custom with drop off materials,
then bale the materials using the existing downstroke baler. While not the most efficient equipment
available, this vertical baler is County -owned and has functioned adequately for almost ten years
densifying steel cans and more recently also used for the scrap plastics that have fallen off recycled
electronics, to make shipment to market more efficient at a relatively low cost. We have also
informally explored trucking unbaled rigid plastics to a third -party such as SONOCO and paying a
toll baling cost or selling them the unbaled plastics for them to bale and resell. This option may still
be considered as an alternative approach depending on market and operating conditions.
Once the project is established, Orange County would conduct a public education campaign using
picture -based large signs on containers, point -of -use /one -to -one education by trained recycling
assistants during the first two weekends containers are set out, PSA's, news releases, articles, local
radio, our web site and other means commonly employed to inform the public about our programs.
The only other county we are aware of collecting mixed rigid plastics in NC is Iredell and they use a
large two -ram baler they already had to bale garbage. We are using this project to test and evaluate
several approaches to handling these materials that might be suitable to those who do not have a two -
ram baler. There are an estimated 4,500 tons of non - bottle, non film plastic in the Orange County
waste stream, so if 5% were captured in this program, that could be an estimated 225 tons per year,
These materials are typically light and bulky thus representing a potentially very high landfill volume
diverted. Orange County is trying very hard to conserve air space as our landfill reaches capacity in
2011. This program would continue after the landfill filled and we convert to a transfer station.
Attachment C
DENR Contract 2333
3. One page bulleted list showing project milestones and general
implementation dates (note: project must be complete in one year).
August 2009
Refurbish and repaint existing dumpsters and rolloffs.
September 2009:
Purchase roll -offs from manufacturer, install signs on all
$15,000
containers.
October 2009
Begin collection of materials, conduct public outreach and
$1,400
publicity.
April 2010
Prepare and submit final report to DPPEA.
4. Budget
Item
State Grant Funds
Local Grant Match
Six rolloff containers
$15,000
$18,000
Signs for all containers
$1,400
Repainting /refurbishing ten
dum sters and three rolloffs
$5,000
TOTAL
$15,000
$24,400
C�AL_ S (6 Nq�qf
June 26, 2009
Blair Pollack
Orange County Solid Waste
Post Office Box 17177
Chapel Hill, NC 27516
Dear Blair Walker,
Enclosed is a fully executed copy of Contract No. 2333 between Orange County Solid
Waste and the Department of Environment and Natural Resources for the Orange County
2009 CWRARG.
Invoices or matters regarding work to be performed should be directed to the Contract
Administrator, Scott Mouw, , as indicated on Page three (3) of the contract document.
Please include Contract No. 2333 on each invoice submitted for payment.
Should you have any questions regarding the contract, you may contact me at (919) 715-
8852.
Sincerely,
NO / no,
Purchasing Agent
Purchase and Contract Section
Enclosure
cc: Scott Mouw, DENR Division of PPEA
Jackie J. Moore, DENR Office of the Controller
1605 Mail Service Center: Raleigh. "forth Carolina 276699 -1605
Phone: 919-733-9!46',, FAX: 919-715-0684, Internet: www.enr. state. nc,uslpurchase
An Equal Opportunity •. A ":native Action Employer
One
NorthCarofina
AVatunilly