Loading...
HomeMy WebLinkAbout2011-424 Solid Waste - NC Dept of Environment and Natural Resources - Grant Contract �Ieaseforeturn this copy to the Clerk to the Board's permanent agenda files GRANT CONTRACT NO 4119 STATE OF NORTH CAROLINA GRANTEE'S FEDERAL COUNTY OF WAKE IDENTIFICATION NUMBER: **-***0327 This Contract is hereby made and entered into this 1$'Day of July, 2011, 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. 4119 (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, 2011 and shall terminate on June 30, 2012. 5. Service Period: The Grantee begins providing services on July 01, 2011 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, 2012. 6. Grantee's Duties: The Grantee provides the services as described in Attachment C (Orange County) and in accordance with the approved budget in Attachment C. Page 1 of 7 . y GRANT CONTRACT NO 4119 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 TWENTY NINE THOUSAND NINE HUNDRED SIXTY EIGHT DOLLARS ($29,968.00). This amount consists of: Type of Funds Funding Source CFDA No. State Solid Waste Management Trust Fund NA Accounting Code Information: Dollars GL Company GL Account GL Center $29,968.00 1602 536961 6760 [ ] 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: In-Kind $ Cash $ Cash and In-Kind $ Cash and/or In-Kind $ Other/Specify: $ [ X ] c.The Grantee's matching requirement is $6,232.00, which shall consist of: In-Kind $ X Cash $ 6,232.00 Cash and In-Kind $ Cash and/or In-Kind $ Other/Specify: $ [ ] d. The Grantee has committed to an additional $18,400.00 in cash as Other Contributions 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$54,600.00 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 GRANT CONTRACT NO 4119 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. Page 3 of 7 GRANT CONTRACT NO 4119 Agency Contract Administrator: Robert Taylor Division of Pollution Prevention and Environmental Assistance 1639 Mail Service Center Raleigh, NC 27699 Telephone: 919-715-6528 Email: rob.taylor(@_ncdenr.gov Grantee Contract Administrator: Grantee Principal Investigator or Key Personnel Blair Pollock Same Orange County Post Office Box 17177 Chapel Hill, NC 27516 Telephone: 919-968-2800 ext 206 Fax: 919-968-2900 Email: br)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 solvent and reconcile the account monthly. 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: 1. 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; Page 4 of 7 GRANT CONTRACT NO 4119 (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 (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 Page 5 of 7 GRANT CONTRACT NO 4119 (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 (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 4119 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 NORTH CAROLINA DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES Dee Freeman, Secretary By BY Grantee's Signatur Depa ment a re orAut o 'Fed Agent Xwc�.I Michael G. Bryant ed' Pfinte Namg Type/ Printed Name Director, Division of Purchase & Services Title Title ORIGINAL 00 L.1.J y U� c� Page 7 of 7 Attachment A DENR Contract 4119 General Terms and Conditions Governmental Entities May 1,2011 DEFINITIONS does not include any non-State entity subject to the Unless indicated otherwise from the context, the following terms audit and other reporting requirements of the Local shall have the following meanings in this Contract. All definitions Government Commission. For other purposes in this are from 9 NCAC 3M.0102 unless otherwise noted. If the rule or Contract, "Grantee"shall mean the entity identified as statute that is the source of the definition is changed by the one of the parties hereto. For purposes of this adopting authority,the change shall be incorporated herein. contract, Grantee also includes other State agencies (1) "Agency" (as used in the context of the definitions such as universities. below) means and includes every public office, public (11) "Grantor" means an entity that provides resources, officer or official (State or local, elected or appointed), generally financial,to another entity in order to achieve institution, board, commission, bureau, council, a specified goal or objective. department,authority or other unit of government of the (12) "Non-State Entity" has the meaning in N.C.G.S. 143- State or of any county, unit, special district or other 6.2(a)(1): A firm, corporation, partnership, association, political sub-agency of government. For other county, unit of local government, public authority, or purposes in this Contract, "Agency" means the entity any other person,organization,group,or governmental identified as one of the parties hereto. entity that,is not a State agency, department, or (2) "Audit" means an examination of records or financial insta tii accounts to verify their accuracy. (13) "Pubic Authodq" haskthe, g'In 14*,&S. 143- (3) "Certification of Compliance" means a report provided 6.2(a)(3): A inunicipa4corporation that is not a unit of by the Agency to the Office of the State Auditor that local government,ors a' loca( p emmental authority, states that the Grantee has met the reporting board, commission,Cpiunbil,o1"a noy that(i)is not a requirements established by this Subchapter and municipal corporation and (ii) operates on an area, included a statement of certification by the Agency and regional, or multiunit basis, and the budgeting and copies of the submitted grantee reporting package. accounting systems of which are not fully a part of the (4) "Compliance Supplement" refers to the North Carolina budgeting and accounting systems of a unit of local State Compliance Supplement,maintained by the State government. and Local Government Finance Agency within the (14) "Single Audit" means an audit that includes an North Carolina Department of State Treasurer that has examination of an organization's financial statements, been developed in cooperation with agencies to assist internal controls,and compliance with the requirements the local auditor in identifying program compliance of Federal or State awards. requirements and audit procedures for testing those (15) "Special Appropriation" means a legislative act requirements. authorizing the expenditure of a designated amount of (5) "Contract" means a legal instrument that is used to public funds for a specific purpose. reflect a relationship between the agency,grantee,and (16) "State Funds" means any funds appropriated by the sub-grantee. North Carolina General Assembly or collected by the (6) "Fiscal Year" means the annual operating year of the State of North Carolina. State funds include federal non-State entity. financial assistance received by the State and (7) "Financial Assistance" means assistance that non- transferred or disbursed to non-State entities. Both State entities receive or administer in the form of Federal and State funds maintain their identity as they grants, loans, loan guarantees, property (including are sub-granted to other organizations. Pursuant to donated surplus property), cooperative agreements, N.C.G.S. 143-6.2(b),the terms"State grant funds"and interest subsidies, insurance,food commodities, direct "State grants"do not include any payment made by the appropriations, and other assistance. Financial Medicaid program,the Teachers'and State Employees' assistance does not include amounts received as Comprehensive Major Medical Plan, or other similar reimbursement for services rendered to individuals for medical programs. Medicare and Medicaid patient services. (17) "Sub-grantee" has the meaning in G.S. 143-6.2(b): a (8) "Financial Statement" means a report providing non-State entity that receives a grant of State funds financial statistics relative to a given part of an from a grantee or from another sub-grantee but does organization's operations or status. not include any non-State entity subject to the audit (9) "Grant" means financial assistance provided by an and other reporting requirements of the Local agency, grantee, or sub-grantee to cant'out activities Government Commission. whereby the grantor anticipates no programmatic (18) "Unit of Local Government has the meaning in G.S. involvement with the grantee or sub-grantee during the performance of the grant. 143-6.2(a)(2): A municipal corporation that has the (10) "Grantee" has the meaning in G.S. 143-6.2(b): a power to levy taxes, including a consolidated city- non-State entity that receives a grant of State funds county as defined by G.S. 160B-2(1), and all boards, from a State agency,department,or institution but Attachment A DENR Contract 4119 agencies, commissions, authorities, and institutions Indemnity thereof that are not municipal corporations. Indemnification: In the event of a claim against either party by Relationships of the Parties 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 Independent Contractor: The Grantee is and shall be deemed and any resulting liability,provided that a party may not waive the to be an independent contractor in the performance of this other party's sovereign immunity or similar defenses. The parties Contract and as such shall be wholly responsible for the work to agree to consult with each other over the appropriate handling of be performed and for the supervision of its employees. The a claim and, in the event they cannot agree, to consult with the Grantee represents that it has, or shall secure at its own Office of the Attorney General. expense, all personnel required in performing the services under this agreement. Such employees shall not be employees of, or Default and Termination have any individual contractual relationship with,the Agency. Termination by Mutual Consent: Either party may terminate Subcontracting: To subcontract work to be performed under this agreement upon thirty(30)days notice in writing from the this contract which involves the specialized skill or expertise other party. In that event, all finished or unfinished of the Grantee or his employees, the Grantee first obtains documents and other materials, at the option of the Agency, prior approval of the Agency Contract Administrator. In the shall be submitted to the Agency. If the contract is terminated event the Grantee subcontracts for any or all of the services as provided herein,the Grantee is paid in an amount which or activities covered by this contract: (a) the Grantee is not bears the same ratio to the total compensation as the relieved of any of the duties and responsibilities provided in services actually performed bear to the total services of the this contract; (b) the subcontractor agrees to abide by the Grantee covered by this agreement; for costs of work standards contained herein or to provide such information as performed by subcontractors for the Grantee provided that to allow the Grantee to comply with these standards, and; (c) such subcontracts have been approved as provided herein;or the subcontractor agrees to allow state and federal authorized for each full day of services performed where compensation is representatives access to any records pertinent to its role as based on each full day of services performed,less payment of a subcontractor. compensation previously made. The Grantee repays to the Agency any compensation the Grantee has received which is Sub-grantees: The Grantee has the responsibility to ensure that in excess of the payment to which he is entitled herein. all sub-grantees, if any, provide all information necessary to permit the Grantee to comply with the standards set forth in this Termination for Cause: If, through any cause, the Grantee Contract. fails to fulfill in timely and proper manner the obligations under this agreement, the Agency thereupon has the right to Assignment: The Grantee may not assign the Grantee's terminate this contract by giving written notice to the Grantee obligations or the Grantee's right to receive payment hereunder. of such termination and specifying the reason thereof and the However, upon Grantee's written request approved by the effective date thereof. In that event, all finished or unfinished issuing purchasing authority,the Agency may: documents, data, studies, surveys, drawings, maps, models, (a) Forward the Grantee's payment check(s)directly to any photographs, and reports prepared by the Grantee , at the person or entity designated by the Grantee,or option of the Agency, be submitted to the Agency, and the (b) Include any person or entity designated by Grantee as Grantee is entitled to receive just and equitable a joint payee on the Grantee's payment check(s). compensation for any satisfactory work completed on such documents and other materials. The Grantee is not relieved Such approval and action does not obligate the State to anyone of liability to the Agency for damages sustained by the other than the Grantee and the Grantee remains responsible for Agency by virtue of any breach of this agreement, and the fulfillment of all contract obligations. Agency may withhold payment to the Grantee for the purpose of set off until such time as the exact amount of damages due Beneficiaries: Except as herein specifically provided otherwise, the Agency from such breach can be determined. this Contract insures to the benefit of and is binding upon the parties hereto and their respective successors. It is expressly Waiver of Default: Waiver by the Agency of any default or understood and agreed that the enforcement of the terms and breach in compliance with the terms of this Contract by the conditions of this Contract,and all rights of action relating to such Grantee is not a waiver of any subsequent default or breach and enforcement, are strictly reserved to the Agency and the named is not a modification of the terms of this Contract unless stated to Grantee. Nothing contained in this document shall give or allow be such in writing,signed by an authorized representative of the any claim or right of action whatsoever by any other third person. Agency and the Grantee and attached to the contract. It is the express intention of the Agency and Grantee that any third person receiving services or benefits under this Contract is Availability of Funds: The parties to this Contract agree and an incidental beneficiary only. 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. Attachment A DENR Contract 4119 Force Majeure: Neither party is in default of its obligations following completion of the contract or until any audits begun hereunder if and it is prevented from performing such obligations during this period are completed and findings resolved, by any act of war, hostile foreign action, nuclear explosion, riot, whichever is later. strikes,civil insurrection,earthquake,hurricane,tomado,or other catastrophic natural event or act of God. Record Retention: The Grantee may not destroy, purge or dispose of records without the express written consent of the Survival of Promises: All promises, requirements, terms, Agency. State basic records retention policy requires all grant conditions, provisions, representations, guarantees, and records to be retained for a minimum of five years or until all warranties contained herein shall survive the contract expiration audit exceptions have been resolved,whichever is longer. If the or termination date unless specifically provided otherwise herein, contract is subject to Federal policy and regulations, record or unless superseded by applicable federal or State statutes of retention may be longer than five years since records must be limitation. retained for a period of three years following submission of the final Federal Financial Status Report,if applicable,or three years Intellectual Property Rights following the submission of a revised final Federal Financial Status Report. Also, if any litigation, claim, negotiation, audit, Copyrights and Ownership of Deliverables: Any and all disallowance action, or other action involving this Contract has copyrights resulting from work under this agreement shall started before expiration of the five-year retention period belong to the Grantee. The Grantee hereby grants to the described above,the records must be retained until completion of North Carolina Department of Environment and Natural the action and resolution of all issues which arise from it,or until Resources a royalty-free, non-exclusive, paid-up license to the end of the regular five-year period described above, use, publish and distribute results of work under this whichever is later. agreement for North Carolina State Government purposes only. Time Records: The Grantee will maintain records of the time and effort of each employee receiving compensation from this Compliance with Applicable Laws contract,in accordance with the appropriate OMB circular. Compliance with Laws: The Grantee understands and agrees Miscellaneous that is subject to compliance with all laws, ordinances, codes, rules, regulations,and licensing requirements that are applicable Choice of Law: The validity of this Contract and any of its terms to the conduct of its business, including those of federal, state, or provisions,as well as the rights and duties of the parties to this and local agencies having jurisdiction and/or authority. Contract, are governed by the laws of North Carolina. The Grantee,by signing this Contract,agrees and submits,solely for Equal Employment Opportunity: The Grantee understands matters concerning this Contract, to the exclusive jurisdiction of and agrees that it is subject to compliance with all federal and the courts of North Carolina and agrees,solely for such purpose, State laws relating to equal employment opportunity. that the exclusive venue for any legal proceedings shall be Wake County, North Carolina. The place of this Contract and all Confidentiality transactions and agreements relating to it, and their situs and forum,shall be Wake County, North Carolina,where all matters, Confidentiality: As authorized by law, the Grantee keeps whether sounding in contract or tort, relating to the validity, confidential any information, data, instruments, documents, construction, interpretation, and enforcement shall be studies or reports given to or prepared or assembled by the determined. Grantee under this agreement and does not divulge or make them available to any individual or organization without the prior Amendment: This Contract may not be amended orally or by written approval of the Agency. The Grantee acknowledges that performance. Any amendment must be made in written form and in receiving, storing, processing or otherwise dealing with any executed by duly authorized representatives of the Agency and confidential information it will safeguard and not further disclose the Grantee. the information except as otherwise provided in this Contract or without the prior written approval of the Agency. Severability: In the event that a court of competent jurisdiction holds that a provision or requirement of this Contract violates any Oversight 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 Access to Persons and Records: The State Auditor and the otherwise unenforceable and all other provisions and using agency's internal auditors shall have access to persons requirements of this Contract shall remain in full force and effect. and records as a result of all contracts or grants entered into by State agencies or political subdivisions in accordance with Headings: The Section and Paragraph headings in these General Statute 147-64.7 and Session Law 2010-194,Section General Terms and Conditions are not material parts of the 21 (i.e.,the State Auditors and internal auditors may audit the agreement and should not be used to construe the meaning records of the contractor during the term of the contract to thereof. verify accounts and data affecting fees or performance). The Contractor shall retain all records for a period of three years Attachment A DENR Contract 4119 Time of the Essence:Time is of the essence in the performance Safety,Cultural Resources,Environment and Natural Resources, of this Contract. Health and Human Services, Juvenile Justice and Delinquency Prevention, Revenue, Transportation, and the Office of the Care of Property: The Grantee agrees that it is responsible Governor). This prohibition covers those vendors and for the proper custody and care of any State owned property contractors who: furnished him for use in connection with the performance of his contract and will reimburse the State for its loss or (1) have a contract with a governmental agency;or damage. (2) have performed under such a contract within the past year;or Travel Expenses:All travel, lodging, and subsistence costs are (3) anticipates bidding on such a contract in the future. included in the contract total and no additional payments will be made in excess of the contract amount indicated in above. For additional information regarding the specific requirements and Contractor must adhere to the travel, lodging and subsistence exemptions, vendors and contractors are encouraged to review rates established in the Budget Manual for the State of North Executive Order 24 and G.S.Sec.133-32. Carolina. (hftp://www.osbm.state.nc.us/files/pdf files/BudgetManual.odfl Executive Order 24 also encouraged and invited other State Agencies to implement the requirements and prohibitions of the SaleslUse Tax Refunds: If eligible, the Grantee and all sub- Executive Order to their agencies. Vendors and contractors grantees shall: (a) ask the North Carolina Department of should contact other State Agencies to determine if those Revenue for a refund of all sales and use taxes paid by them in agencies have adopted Executive Order 24." 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 updates about the use of lobbyists if material changes occur in their use. By Executive Order 24,issued by Governor Perdue,and N.C. G.S.§ 133-32: It is unlawful for any vendor or contractor( i.e. architect, bidder, contractor, construction manager, design professional, engineer, landlord, offeror, seller, subcontractor, supplier, or vendor),to make gifts or to give favors to any State employee of the Govemor's Cabinet Agencies (i.e., Administration,Commerce, Correction,Crime Control and Public Attachment B DENR Contract 4119 g C 2011 Communi ty Waste Reduction and Recycling Grants FPAY$UTION REQUEST FOR PROPOSALS exnoN N.C.Department of Environment and Natural Resources Divisi on of Environmental Assistance and Outreach The purpose of this grant program is to assist local governments in expanding,improving and implementing waste reduction and recycling programs in North Carolina. The Division of Environmental Assistance and Outreach(DEAO)administers the Community Waste Reduction and Recycling Grant program through the Solid Waste Management Trust Fund. With the release of this Request for Proposals,DEAO is seeking proposals for the funding of equipment and other items that help initiate or expand public waste reduction programs within the state. Applicants should carefully read this entire RFP prior to submitting a proposal. Proposals must be received by DEAO by 5:00 p.m.on Friday,March 18,2011. Please address any questions to Rob Taylor at (919)715-6528,rob.taylor @ncdenr gov. Proiect Parameters and Ideas: The 2011 Community Waste Reduction and Recycling Grant Program seeks to fund projects that help communities build lasting capacity to divert materials from the waste stream and/or that increase public awareness of waste reduction and recycling. Projects that address the following are strongly encouraged, though any project increasing waste reduction will be entertained: • Projects that demonstrate a potential to significantly increase a community's overall diversion of materials from the solid waste stream; • Projects that improve recycling program efficiency while increasing waste reduction; • Projects that implement or expand public school recycling programs; • Projects intended to increase the diversion of materials that are banned from disposal in North Carolina such as plastic bottles,used oil filters,or wooden pallets; • Projects that facilitate away-from-home recycling efforts such as pedestrian recycling or recycling at public facilities such as parks or public venues; • Projects that implement or expand recycling service to government buildings or underserved community sectors such as multifamily housing units or businesses; • Projects that implement or expand construction and demolition recycling programs in general or asphalt shingle recycling programs in particular; • Projects that implement or expand food waste recycling programs; • Projects that implement or expand electronics recycling programs in response to the impending disposal ban on these items that becomes effective on July 1,2011. A county seeking grant funds related to electronics recycling must include information in its proposal on whether the county was eligible for funds distributed from the State's Electronics Management Program in 2011. If a county was eligible for funds during the 2011 distribution, the grant proposal must speck how those funds will be spent. If a county did not make itself eligible for the 2011 distribution, then it will be required to update its comprehensive solid waste management plan and make itself eligible for Electronics Management Program funding on or before December 31,2011 as a precondition of receipt of Community Waste Reduction and Recycling Grant funds. Projects in the above list that are indicated by this symbol(*)will be eligible for bonus points as outlined in the scoring criteria section. Please contact Rob Taylor at(919)715-6528 for more information or to discuss your project ideas. 1 Attachment B DENR Contract 4119 Available Funding and Cash Match Requirement: • Grant Award:Applicants are eligible for a standard grant award of up to$30,000. 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 DEAO must spend an additional $4,000 on the project. • Calculating Grant Award and Cash Match: To determine the maximum award amount and necessary cash match for any project,determine the total project budget then 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. Distributions from the$2 per ton tip fee tax may be used to cover cash match requirements. • Typically the annual Community Waste Reduction and Recycling Grant cycle receives funding requests exceeding available funds. However,it is a priority for DEAO to support as many projects as possible. After close examination of the requested funding and subject to agreement with the applicant,DEAO may award grant amounts lower than the original request. For any amount awarded,grantees must still provide the required 20 percent cash match. Examples of uses of Grant Funds: • Site development costs • Public awareness programs/public • Equipment purchases and installation education Examples of activities for which Grant Funds may NOT be used: • Administrative expenses such as overhead • Employee salaries costs • Contracted collection costs • Land acquisition costs 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 not 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@ncdenr.gov. 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 DEAD grants(e.g.,extended projects from grant cycles prior to 2010 still under contract)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(DWM)prior to any grant being awarded. Applicants with outstanding NOVs are 2 Attachment B DENR Contract 4119 responsible for providing DEAD with information from DWM indicating that the community is in compliance and that the NOVs have been corrected before a grant contract can be initiated. • As a condition of grant award DEAO may work with applicants to revise initially submitted proposals before entering into a contract. All initial proposals must be received by the due date. Changes to proposals may include adjustments to project scope,project budget,project time line and/or other elements of the proposal. Any changes to initial proposals must approved by DEAD and the applicant and the resultant Final CWRAR Proposal will become an attachment to the Grant Contract. 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 1,2011 and end June 30,2012. Any funds expended prior to the start of the contract will not be reimbursed. Due Date: Proposals MUST be received by DEAO by 5:00 p.m.on Friday,March 18,2011.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 the section of this document titled"What Must Proposals Include"). 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 the final reporting format: http://p2pays.orp/Iocaleov/Financial.asp. A link to the final report format can be found on the page. If you do not have internet access,please contact Rob Taylor at(919)715-6528. 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 documents to rob.taylor(2ncdenr.gyov. Please submit electronic versions as Microsoft Word(preferred)or Adobe(PDF)attachments. Hard copy proposals mailed to DEAO 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. If a community is not able to submit an electronic proposal then hard copy proposals should be sent to: 2011 COMMUNITY WASTE REDUCTION AND RECYCLING GRANT ROUND ATTENTION: ROB TAYLOR DIVISION OF ENVIRONMENTAL ASSISTANCE AND OUTREACH 1639 MAIL SERVICE CENTER RALEIGH,NC 27699-1639 3 Attachment B DENR Contract 4119 For hand-delivery of proposals,the physical address is: 2728 Capital Boulevard,Raleigh NC,27604-1500,Room 1H 201 Please check in with Customer Service for directions to DEAO's offices. Proposals must be received by 5:00 p.m.on Friday,March 18,2011. Proposals postmarked but not received by 5:00 p.m.on March 18,2011 will not be accepted. What Must Proposals Include: The following list describes what applicants must include in their proposal for their application to be considered complete. Proposals that fail to provide all the required information will be deemed inadequate and not considered for funding: • Project Title • Contact Information,including: ✓ Name and title of main contact ✓ Organization ✓ Address ✓ Phone number ✓ Fax number ✓ E-mail address • Date of Proposal Submittal—this must be the date of submission of proposal to DEAO • Detailed Description of Proposed Grant Project • Bulleted list showing project milestones and general implementation dates(note:project must be complete in one year). • Project Budget showing: ✓ Itemized intended expenditures ✓ Funds requested from the state ✓ Matching funds from the applicant ✓ Please submit your budget in a table following the example below: State Grant Applicant Cash Sample Project Budget Award Match Project Total Recycling Carts for County Office Buildings(50 units @ $45 each) $ 1,875 $375 $2,250 Labels for Carts and Signs for Recycling Stations $343 $69 $412 Program Brochures(Design and Printing) $ 161 $32 $ 193 Total $ 2,379 $476 $2,855 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 April,2011. Applicants are encouraged to consider the award criteria as they develop their grant proposals. A total of 86 points is available. 4 Attachment B DENR Contract 4119 Award Criteria: 1. Innovation/Creativity (0-15 Points) 5. Efficiency (0-10 points) Is the project innovative?Does the project set a Will the project improve the efficiency or cost- strong 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 6. Joint Effort (0 or 6 points) and backed by valid facts and assumptions?Will Individual party proposals receive zero points; the proposal have a significant impact for its multi-party proposals(involving cash match category? from all participants)receive six points. 3.Sustainability/Commitment (0-I5 points) 7. Preferred Sector or Commodity* (0-10 Will the project be ongoing and sustained in points) subsequent annual budgets?Does it have the To what extent does the project serve a targeted support of the governing body? sector such as government buildings, multifamily housing units or businesses,to what 4. Impact on the Waste Stream (0-10 points) extent does the project expand access to away- Will the project contribute substantially toward from-home recycling,or to what extent does the reduction of the local waste stream? project divert a targeted commodity such as C&D materials,asphalt shingles,food waste,or electronics? If Your Proposal is Selected for Funding: DEAO anticipates that applicants selected for funding will be notified by April 29. DEAO 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. • DEAO 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. • Successful applicants will also be required to register with the state's e-procurement system using the same address provided in the applicant's proposal. To register in the state's e-procurement system please visit the following link: http://eprocureinent.nc.gov/. • DEAO will submit a 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. Other General Terms and Conditions: 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 cash match of at least of 20 percent of the grant award. 5 Attachment B DENR Contract 4119 • Final reports—a draft final report is required to be submitted to DEAO by 30 days prior to the contract end date and a final report is required to be submitted by the contract end date. Final reports and drafts should be submitted electronically. If necessary to submit hard copy,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 DEAO. • 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—distribution of DEAO grant funds is on a reimbursement basis. Requests for reimbursement must be submitted on letterhead,must include proof that the funds were spent,and must have the term"invoice"clearly stated on the request. • Final 10 Percent of Funds—DEAO 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 DEAD. 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 fewer 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. UNA 6 NCDENR Attachment C DENR Contract 4119 Community Waste Reduction and Recycling Grant Proposal Roofing Shingle Recycling Program and New Recycling Baler in Orange County NC Submitted by: Blair L.Pollock For: Orange County Solid Waste Management Department P.O. BOX 17177 Chapel Hill NC 27516 (919)968-2788 (919)932-2900 bpollock(aco.oran e.nc.us Submittal Date: March 18,2011 Attachment C OENR Contract 4119 Detailed Description of Proposed Grant Project There are two independent parts to this proposal labeled as project A for the shingle recycling rolloffs and project B for the horizontal baler with in-feed conveyor. If funds are available for both,the County can provide matching funds, if its solid waste management budget is passed as submitted for FY 11-12. If funds are limited, our preference is to fund the shingle recycling rolloffs first as those would divert new materials. If the baler can be partially funded in addition to the shingle rolloff funding,the County would endeavor to provide all additional matching funds to enable us to purchase the baler as well as the rolloffs. If all funds can be provided for both projects requested,the County would match the request if its budget is passed as submitted. Project A This project is for collecting roofing shingles at the Orange County landfill for reUclin into nto paving material rather than landfilling them, as is currently done. The program will include using a set of 20 cubic yard roll-off containers to transport the segregated tear off shingles to those paving contractors that have been permitted by NC DENR to include tear off shingles in their hot mix. We will get the requisite landfill permit modifications. Roofers and builders will be offered a significantly reduced tipping fee of estimated between $20.00 to $30.00 per ton (final figure not yet determined)to deliver segregated roofing shingles, free of non-shingle material to the Orange County Landfill. Those shingles will be dumped by haulers and inspected and managed by landfill staff at the existing area of the landfill already used for source-separated construction materials that are prohibited from landfilling by County ordinance. Once shingles are loaded into the roll-off containers,they would be delivered by County truck to the nearest permitted roofing shingle recycling facility for a negotiated price. ST Wooten and Orange County are discussing possible arrangements, assuming ST Wooten receives their permits for facilities in both Chatham and Alamance Counties. They have stated they are pursuing those.Another potential market is the Greencycle facility in Durham if it is permitted. Wooten has agreed to pay hauling costs for clean material to their facilities. While roofing shingles will not be made a prohibited material under Orange County's Regulated Recyclable Materials Ordinance,the County believes that the lowered tipping fee will be an inducement to roofers to bring segregated shingles. This belief has been tentatively confirmed through several telephone interviews with area roofers who reacted positively to the ideas of a lowered tipping fee and recycling the shingles. One roofer contacted said that he would use the fact that shingles were to be recycled as a marketing tool specifically in this region. We project that the program may divert between 375 and 1,900 tons of shingles a year when fully implemented.This is based on two potential estimates of roofing shingles available:If 10% of current C&D landfill totals: are shingles then that is 750 tons out of 7,500 tons annually landfilled and we may capture one half of those at 375 tons and a high end estimate of 1,900 tons based on capturing about '/2 of the state's estimate of prorated share of shingles generated in Orange County of 3,800 tons.That lowered tipping fee on the incoming shingles would result in a loss of revenue to the landfill, so we will also be marketing this lowered fee to other roofers who do not now use the Orange County landfill. The new tons would make the program fiscally sustainable. 2 Attachment C DENR Contract 4119 Bulleted list showing project milestones and detailed implementation plan dates for Project A: • July 2011: Prepare and issue bid for roll-off containers. • August 2011: Award bid for containers and prepare area at landfill to receive shingles.Finalize arrangement with paving companies or others to accept shingles. • September 2011: Begin education, outreach and marketing with select roofers for pilot project. • October 2011: Receive roll off containers,begin accepting shingles from pilot project roofers. • November 2011: Continue pilot and conduct demonstration and/or training as necessary for area roofers to enable delivery of clean materials. • December 2011: Mass marketing program for all area roofers. • January 2012: Begin accepting tear off shingles from any roofer or repair company. • February 2012: Evaluate project and fine-tune. • March 2012: Continue project and present results at SWANA and/or CRA if appropriate. • June 30: 2012: Prepare and submit final report to state. Grant Budget for Project A State Grant Orange Co. Cash Item Award Match Project Total Three each 20 cubic yard Roll-Off containers for roofing shingles $ 11,968 $ 2,632 $14,600 Total $ 11,968 1 $2,632 $14,600 Project B• This project is to expand and improve efficiency in recyclable baling operation Detailed Description of Project Orange County currently bales mixed paper and rigid [non- bottle] plastics, separately, at the recycling operations area at the Orange County landfill. To do this we use an Orange County-owned vertical baler and a leased horizontal baler. Neither of these machines is ideal for the materials we are handling. Considerable manual labor is required when baling,and the resultant bales, particularly the rigid plastics bales, are light and this limits the county's ability to market this material. To improve operational efficiency and safety, and to increase the options for marketing rigid plastics, Orange County proposes to purchase a horizontal baler and in-feed conveyor. This machine will be installed in the location currently occupied by the leased horizontal baler and the county-owned vertical baler. The horizontal baler will be returned to its owner, saving Orange County$3,000 each year, and the vertical baler will be modified and installed in our electronics recycling facility for baling computer plastics. 3 • Attachment C DENR Contract 4119 A new baler will create a safer work environment for employees. It will have an in-feed conveyor as opposed to the current process in which employees manually feed material down the mouth of the baler and then have to manually make and tie each bale,threading wire through the bales. Orange County anticipates that this new baler will save considerable money on labor,and may be able to market the rigid plastics for greater revenue due to heavier bale weight or at least make fewer trips to market, saving fuel. Bulleted list showing project milestones and general implementation dates(note: project must be complete in one year). • November 30,2011 —Complete purchase, acquisition and installation of horizontal baler and associated facility improvements. Begin operations using new baler.NOTE: We plan not to have to bid this baler, as Alamance County recently purchased the same piece of equipment for about the same cost. • June 30, 2012—Prepare and submit final report to State. Grant Budget for Proiect B State Orange Co. Grant Orange Co. Other Item Award Cash Match Contributions Project Total Horizontal Baler and In-feed Conveyor $ 18,000 $ 3,600 $ 18,400 $ 40,000 Combined Proiect Timeline October 31,2011—Purchase roll-offs and initiate asphalt shingle recycling program November 30, 2011—Purchase, install,and initiate processing using new horizontal baler June 30,2012—Prepare and submit grant final report to state Combined Grant Budget for Proiect A and Proiect B Orange Co. State Grant Orange Co. other Item Award Cash Match contributions Project Total Three each 20 cubic yard Roll-Off containers for roofing shingles $ 11,968 $ 2,632 -- $14,600 Horizontal Baler and In-feed Conveyor $18,000 $3,600 $18,400 $40,000 Total $ 29,968 $6,232 1 $18,400 1 $54,600 4