Backup Documents 03/23/2010 Item #16C 4
ORIGINAL DOCUMENTS CHECKLIST & ROUTING 8.\-I~
TO ACCOMPANY ALL ORIGINAL DOCUMENTS SENT TO! 0 C 4
THE BOARD OF COUNTY COMMISSIONERS OFFICE FOR SIGNATURE
Print on pink paper. Attach to original document Original documents should be hand delivered to the Board Office. The completed routing slip and original
documents are to be forwarded to the Board Office only after the Board has taken action on the item.)
ROUTING SLIP
Complete routing lines #1 through #4 as appropriate for additional signatures, dates, and/or infonnatioo needed. If the document is already complete with the
exceotion of the Chairman's si211ature, draw a line throu2h routin21ines #1 through #4, cDmolete the checklist, and forward to Sue Filson 'line #5).
Route to Addressee(s) Office luitials Date
(List in routimr order)
1.
2.
3.
4. JeffIGatzkow County Attorney I );)BW tr ~
5. Sue Filson, Executive Manager Board of County Commissioners I~ '?\ ~~ 110
6. Dwight E Brock Clerk of Court's Office
PRIMARY CONTACT INFORMATION
(The primary contact is the holder of the original document pending BCe approval. Normally the primary contact is the person who created/prepared the executive
summary. Primary contact information is needed in the event one of the addressees above, including Sue Filson, need to contact staff for additional or missing
information. All original documents needing the Bee Chairman's signature are to be delivered to the BCC office only after the BCC has acted to approve the
item.)
Name ofPrirnary Staff Bala M. Sridhar Phone Number 252-2539
Contact
Agenda Date Item was 3/23/1 0 Agenda Item Number 16Cl-f
Annroved bv the BCC
Type of Document Amendment # Ito SRF Loan Agreement Number of Original 3
, -?nfiienea ''WWJ9iT80 JJocuments Ana:Cnea~
1.
INSTRUCTIONS & CHECKLIST
Initial the Yes column or mark "N/A" in the Not Applicable column, whichever is
a r nate.
Original document has been signed/initialed for legal sufficiency. (All documents to be
signed by the Chainnan, with the exception of most letters, must be reviewed and signed
by the Office of the County Attorney. This includes signature pages from ordinances,
resolutions, etc. signed by the County Attorney's Office and signature pages from
contracts, agreements, etc. that have been fully executed by all parties except the BCC
Chairman and Clerk to the Board and ossibl State Officials.)
All handwritten strike-through and revisions have been initialed by the County Attorney's
Office and all other arties exc t the BCC Chairman and the Clerk to the Board
The Chainnan's signature line date has been entered as the date ofBCC approval of the
document or the final ne otiated contract date whichever is a licable.
"Sign here" tabs are placed on the appropriate pages indicating where the Chairman's
si ature and initials are re uired.
In most cases (some contracts are an exception), the original document and this routing slip
should be provided to Sue Filson in the BCC office within 24 hours ofBCC approval.
Some documents are time sensitive and require forwarding to Tallahassee within a certain
time frame or the BCC's actions are nullified. Be a are of our deadlines!
The document was approved by the BCC on .:l- Iv (enter date) and all changes
made during the meeting have been incorporat d i the attached document. The
Count Attorne 's Office has reviewed the chan es, if a Iicable.
Yes
(Initial)
N/A(Not
A licable)
2.
3.
4.
5.
6.
~~
'}
I: Forms/ County Forms/ Bee Forms! Original Documents Routing Slip WWS Original 9.03.04, Revised 1.26.05, Revised 2.24.05
16C4
MEMORANDUM
Date:
March 24, 2010
To:
Bala Sridhar, Sr. Mgt. & Budget Analyst
Utilities Finance Operations
From:
Ann Jennejohn, Deputy Clerk
Minutes & Records Department
Re:
Three (3) copies of Amendment #1 to State Revolving
Fund Loan Agreement No. WW597180 through FDEP
for Reclaimed Water Project #74030
Attached are the original documents referenced above, (Item #16C4)
approved by the Board of County Commissioners on March 23, 2010.
After further processing, please return a fully executed document to the
Board's Minutes & Record's Department for the Official Record.
If you have any questions, please contact me at 252-8406.
Thank you.
Attachments (3)
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Florida Department of
Environmental Protection
Bob MJrtinez Center
2&00 Blair Stone Road
Tallahassee, Florida 32399-2400
FED EX - DELIVERY CONfIRMATION REQUIRED
APR " 8 20\0
Mr. James W, DeLony, P,E,
Public Utilities Division Administrator
Collier County
3301 East Tamiami Trail, Third Floor, Building H
Naples, Florida 34112
Re: WW597180 - Collier County
Treatment Facilities
(ASR Well)
Dear Mr. DeLony:
Enclosed is one original of Amendment 1 to your proposed loan agreement under the
State Revolving Fund program. The amendment is now in effect. No further
amendments are anticipated. Please note that this amendment requires a s~parate
project-specific audit to be submitted to the Department within one year of the
amendment's effective date. The audit should be sent to Cindy Bonds at the above
address, Mail Station 3505,
We congratulate you and your staff on the completion of your project and are pleased
that we could work with you.
Sincerely,
/r-f~
Phil Coram, F.E., Deputy Director
Di vision of Vy' ater Resource Management
PC/lb
Enclosure(s)
cc: Mark A. Brewer - Angie Brewer & Associates, L.c.
Thomas G. Wides - Collier County
Abdul Ahmadi - FDEP, South District
"iHore Protection. Less Process"
www:dep.sta!c.lI.u5
Charlie Crisl
Governol-
lelT Kottkcuap
LL Governor
Michael W. Sole
Sccreta~y
16C 4
STXI:: eot,RD
OF i"D~'\iHISTRATIOH
2010 APR -9 PM~: 31
This amendment is executed by the FLORIDA WATER POLLUTION CONTROL FINANCING
CQRPQRATION (the "Corporation") and COLLIER COUNTY, FLORIDA, (the "Local
Borrower") existing as a Local Borrower agency under the laws of the State of Florida,
AMENDMENT 1 TO LOAN AGREEMENT WW597180
COLLIER COUNTY
WITNESSETH:
WHEREAS, the Corporation and the Local Borrower entered into a Clean Water State
Revolving Fund Loan Agreement, Number WW597180, as amended, authorizing a Loan
amount of $5,025,000, excluding Capitalized Interest; and
WHEREAS, revised provisions for audit and monitoring are needed; and
WHEREAS, the semiannual Loan Payment amount needs revision to reflect the five Loan
payments3c:~ved by the Department from the Local Government.
NOW, THEI\ORE, the parties hereto agree as follows:
1. Section 2,04 is hereby deleted and replaced as follows:
The Local Borrower agrees to the following audit and monitoring requirements.
(1) The financial assistance authorized pursuant to this Loan Agreement consists of the
following:
Federal Resources, Including State Match, Awarded to the Recipient Pursuant to this
Agreement Consist of the Following:
Federal
Program
Number
CS120001-050
66.458
CFDA Title
Capitalization Grants
for State Revolving
Funds
Funding
Amount
State
Appropriation
Categorv
Federal
Agencv
CFDA
Number
EPA
$4,208,762
140131
(2) Audits.
(a) In the event that the Local Borrower expends $500,000 or more in Federal awards in
its fiscal year, the Local Borrower must have a single or program-specific audit conducted in
accordance with the provisions of OMB Circular A-133, as revised. Subsection 2.03(1) of this
Agreement indicates that Federal funds are awarded through the Department by this
Agreement. In determining the Federal awards expended in its fiscal year, the Local Borrower
shall consider all sources of Federal awards, including Federal resources received from the
Department of Environmental Protection. The determination of amounts of Federal awards
expended should be in accordance with the guidelines established by OMB Circular A-133, as
revised. An audit of the Local Borrower conducted by the Auditor General in accordance with
the provisions of OMB Circular A-133, as revised, will meet the requirements of this part.
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(b) In connection with the audit requirements addressed in the preceding paragraph (aJ,
the Local Borrower shall fulfill the requirements relative to auditee responsibilities as provided
in Subpart C of QMB Circular A-133, as revised.
(c) lf the Local Borrower expends less than $500,000 in Federal awards in its fiscal year,
an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, is not
required. The Local Borrower shall inform the Department of findings and recommendations
pertaining to the State Revolving Fund in audits conducted by the Local Borrower in which the
$500,000 threshold has not been met. In the event that the Local Borrower expends less than
$500,000 in Federal awards in its fiscal year and elects to have an audit conducted in accordance
with the provisions of OMB Circular A-133, as revised, the cost of the audit must be paid from
non-Federal resources (i,e" the cost of such an audit must be paid from Local Borrower
resources obtained from other than Federal entities).
Cd) The Local Borrower may access information regarding the Catalog of Federal
Domestic Assistance (CFDA) via the internet at http://12.46,245.173/ cfda,hhnl.
(3) Report Submission.
Ca) Copies of reporting packages for audits conducted in accordance with OMB Circular
A-133, as revised, and required by Subsection 2.03(2) of this Agreement shall be submitted,
when required by Section .320 (d), OMB Circular A-133, as revised, by or on behalf of the Local
Borrower directly to each of the following:
(i) The Department at the following address:
Joe Aita, Audit Director
Office of the Inspector General
Florida Department of Environmental Protection
3900 Commonwealth Boulevard, MS 41
Tallahassee, Florida 32399-3123
(ii) The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised
(the number of copies required by Sections ,320 (d)(l) and (2), OMB Circular A-133,
as revised, should be submitted to the Federal Audit Clearinghouse), at the
following address:
Federal Audit Clearinghouse
Bureau of the Census
1201 East 10th Street
Jeffersonville, IN 47132
Submissions of the Single Audit reporting package for fiscal periods ending on or
after January 1, 2008, must be submitted using the Federal Clearinghouse's Internet
Data Entry System which can be found at http://harvester.census.gov/fac/
(iii) Other Federal agencies and pass-through entities in accordance with Sections
320(e) and (I), OMB Circular A-133, as revised,
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(b) Pursuant to Section .320(f), OMB Circular A-133, as revised, the Local Borrower shall
submit a copy of the reporting package described in Section ,320(c), OMB Circular A-133, as
revised, and any management letters issued by the auditor, to the Department at the twe
addresses listed under Subsection 2.03(3)(a) of this Agreement.
(c) Any reports, management letters, or other information required to be submitted to
the Department pursuant to this Agreement shall be sllbmitted timely in accordance with OMB
Circular A-133, Florida Statutes, or Chapters 10.550 (local governmental entities) or 10.650
(nonprofit and for-profit organizations), Rules of the Auditor General, as applicable.
(d) Local Borrowers, when submitting financial reporting packages to the Department
for audits done in accordance with OMB Circular A-133, or Chapters 10.550 (local
governmental entities) or 10,650 (nonprofit and for-profit organizations), Rules of the Auditor
General, should indicate the date that the reporting package was delivered to the Local
Borrower in correspondence accompanying the reporting package.
(4) Project-Specific Audit.
Within 12 months after the amendment establishing final Project costs, the Local
Borrower shall submit to the Department a Project-specific audit report for the Loan related
revenues and expenditures. The audit shall address Loan disbursements received, Project
expenditures, and compliance with Loan Agreement covenants, The Local Borrower shall
cause the auditor to notify the Department immediately if anything comes to the auditor's
attention during the examination of records that would constitute a default under the Loan
Agreement. The audit findings shall set aside or question any costs that are unallowable under
Chapter 62-503, Florida Administrative Code, A final determination of whether such costs are
allowed shall be made by the Department.
(5) Record Retention.
The Local Borrower shall retain sufficient records demonstrating its compliance with the
terms of this Agreement for a period of five years from the date the audit report is issued, and
shall allow the Department, or its designee, Chief Financial Officer, or Auditor General access
to such records upon request. The Local Borrower shall ensure that audit working papers are
made available to the Department, or its designee, Chief Financial Officer, or Auditor General
upon request for a period of five years from the date the audit report is issued, unless extended
in writing by the Department.
The Local Borrower is hereby advised that the Federal and/ or Florida Single Audit Act
Requirements may further apply to lower tier transactions that may be a result of this
Agreement. For federal financial assistance, the Local Borrower shall utilize the guidance
provided under OMB Circular A-133, Subpart B, Section _.210 for determining whether the
relationship represents that of a subrecipient or vendor.
The Local Borrower should confer with its chief financial officer, audit director or
contact the Department for assistance with questions pertaining to the applicability of these
requirements.
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16C4
In addition, the Local Borrower agrecs to complete and submit the Certification of
Applicability to Single Audit Act Reporting, Attachment A, attached hereto and made a part
hereof, within four (4) months following the end of the Local Borrower's fiscal year.
Attachment A should be submitted to the Department's Grants Development and Review
Manager at 3900 Commonwealth Boulevard, Mail Station 93, Tallahassee, Florida 32399-3000.
The Grants Development and Review Manager is available to answer any questions at (850)
245-2361,
(6) Monitoring.
In addition to reviews of audits conducted in accordance with OMB Circular A-133, as
revised (see audit requirements above), monitoring procedures may include, but not be limited
to, on-site visits by Department staff, limited scope audits as defined by OMB Circular A-133, as
revised, and/ or other procedures, By cntering into this Agreement, the Local Borrower agrees
to comply and cooperate with any monitoring procedures/processes deemed appropriate by
the Department. In the event the Department determines that a limited scope audit of the Local
Borrower is appropriate, the Local Borrower agrees to comply with any additional instructions
provided by the Department to the Local Borrower regarding such audit. The Local Borrower
further agrees to comply and cooperate with any inspections, reviews, investigations, or audits
deemed necessary by the Chief Financial Officer or Auditor General.
2. The Loan amount is hereby reduced by $816,238, and the adjusted total disbursed
amount for this loan is $4,208,762.
3. The Loan Service Fee is reduced by $16,325, and the adjusted total service fee for this
Loan is $84,175. The fee represents two percent of the Loan amount excluding Capitalized
lnterest; that is, two percent of $4,208,762. The Loan Service Fee will be assessed as of the
effective date of November 19, 2009.
4. The total amount to repay by the Local Borrower is $4,294,891,04, which consists of
$4,208,762.00 disbursed to the Local Borrower, $1,954.04 of accrued Capitalized Interest and
$84,175.00 of service fee charges.
5. The total amount remaining to repay which amount accounts for the Department's
receipt of five semiannual Loan Payments is $3,685,127.80, consisting of unpaid principal of the
Loan of $3,600,952.80 and an unpaid serviee fee charge of $84,175.00 both at a Financing Rate of
2.74 percent per annum (the interest fate is 1.37 percent per annum, and the Grant Allocation
_ Assessment rate is 1.37 percent per annum).
6. The semiannual Loan Payment amount, adjusted to account for repayments received
to date, is hereby revised and shall be in the amount of $133,246.97. Such payments shall be
received by the Trustee on May 15, 2010 and semiannually thereafter on November 15 and
May 15 of each year until all amounts due hereunder have been fully paid.
7. Project Costs are revised as follows:
The Local Borrower, the Corporation, and the Department acknowledge that changes in
Project costs may occur as a result of the Local Borrower's Project audit or a Department audit
4
16C 4
pursuant to Chapter 62-503 of the Florida Administrative Code. Unless this Agreement is
amended subsequent to an audit, the following Project disbursements shall be final.
CATEGORY
Construction and Demolition
Technical Services During Construction
SUBTQTAL (Total Disbursed)
Capitalized Interest
TOT AL (Loan Principal Amount)
DISBURSED ($)
3,782,668.00
426,094.00
4,208,762.00
1,954,04
4,210,716.04
8. The Project-specific audit required under Subsection 2.03(4) of the Agreement
shall be submitted within twelve months after the effective date of this amendment.
9. All other terms and provisions of the Loan Agreement shall remain in effect.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
5
16C4
This Amendment 1 to Loan Agreement WW597180 shall be executed in three or more
counterparts, any of which shall be regarded as an original and all of which constitute but one
and the same instrument.
IN WITNESS WHEREQF, the Corporation has caused this amendment to the Loan Agreement
to be executed on its behalf by its Chief Executive Qfficer and the Local Borrower has caused
this amendment to be executed on its behalf by its Authorized Representative and by its affixed
seal. The effective date of this amendment shall be as set forth below by the Chief Executive
Officer of the Corporation.
for
Revie
for
'.. ." . ~FtJo
',':"J'(":':"''''''...,.Chairman, Board of County C
,.,,,;;,,,',,,.'>""'."',- .
J"'\I,:.~S:L,." :-,,::': ....17'._ ", ~>,~
D\'V'~[r S.~Q~cifr((
, ~i;)!fi,::~' '-r"~~I~A ; "-, :
By: ; 7:," ,'0. (
STA;;;I: . i;'t:{~r:!~fl:;~!~::
COUNTY OF COLLIER '""",., ExpIres, AUG. 19, 2011
BONDEDTIIRUAl'LANTICBONDrnGCO ~
Sworn to and subSCrIbed before me this Iflll--day of ~ ,2010, by
--:s:.~. \'vHJ"'~ , who ~is personally known to me / D provided the
~!A . ~ 7f.~
N&7""'-Y
I attest to the opinion expressed in Section 2.03
of the Agreement, entitled Legal Authorization.
~~'l0~~
County Attorney
following identification:
APPROVED AND ACCEPTED BY THE STATE OF FLORIDA DEPARTMENT OF
ENVIRONMENTALPRQTECTIO?~ C ~
Director
Attachment included as part of this Agreement:
Attachment A - Certification of Applicability to Single Audit Act Reporting-
6
16C4
ATTACHMENT A
CERTIFICATION OF APPLICABILITY TO SINGLE AUDIT ACT REPORTING
Local Government's Name:
Local Government's Fiscal Year Period: FROM:
TO:
Total State Financial Assistance Expended during Local Government's most recently completed
Fiscal Year: $
Total Federal Financial Assistance Expended during Local Government's most recently
completed Fiscal Year: $
Please identify grants to be included in the Single Audit that are provided by the Department of
Environmental Protection
CSFA#CFDA# DEP LOAN AGREEMENT NUMBER
CERTIFICATION STATEMENT:
I hereby certify that the above information is correct:
Name
Date
Title
DEP Project Agreement No. Vv'W597! XO, Attachment A. Page I of I