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HomeMy WebLinkAboutEnvironmental Protection Agency-1/30/2012Mayor BUCK CLARK COUNCIL MEMBERS CITY OF WATERLOOS IOWA COMMUNITY PLANNING AND DEVELOPMENT 715 Mulberry Street o Waterloo, Iowa 50703-5783 (319) 29'-4366 Fax (319) 291-4262 NOEL C. ANDERSON, Cmnnu,o4y Planning & Development Director CITY OF WATERLOO Council Communication City Council Meeting: ianuary 27. 2012 Prepared: January 25, 2012 Dept. Head Signature: # of Attachments, T , `f dlffni At610-1-101 09 """ SUBJECT: Approval of contract with EPA for the 2010 US 63 City Wide Petroleum and Hazardous DAVID Material Assessment Grant. JONES Ward t Submitted by: Noel Anderson -Community, Planning and Development Director CAROLYN COLE Ward 2 HAROLD GEIIY Ward 3 QUENTIN HART The goals of the Assessment Grants are to inventory brownfield sites, conduct environmental assessments Ward 4 on priority sites, create remediation and redevelopment plans for selected sites, and utilize community RON involvement and input throughout the process. VELPER 'While the scope of the project is community -wide, the projects will likely focus on the US 63 Corridor and fVard s the neighborhoods located in the east -side of the City of Waterloo. The ESA's will investigate properties BOB potentially impacted by hazardous substances and petroleum products to determine adverse impacts and GREENWOOLpotential risks to human health and/or the environment. If contaminants are present, the city will work At -Large with EPA, and the Iowa Department of Natural Resources to address the issues through programs such as the Iowa Land Recycling program. The City of Waterloo will use its experience in brownfield reclamation STEVE to attract developers to the respective projects. This includes creating redevelopment plans for the vacant SCHMITT Al-La,ge school sites, former Schultz Manufacturing site and buildings, auto service stations, and other vacant and/or underutilized warehouse sites scattered throughout the targeted area. Expenditure Required: N/A Source of Funds: In September 2011 the City of Waterloo was awarded two (2) EPA Brownfield Assessment Grants. One grant in the amount of $200,000 is for hazardous material contamination, and the second, in the amount of $200,000 is for petroleum contamination. Policy Issue: Brownfield Redevelopment Alternative N/A Background Information: Recommended City Council Action: We recommend that the City Council except and authorize Mayor and City Clerk to sign necessary documents as it pertains to the 2010 US 63 City Wide Petroleum and Hazardous Material Assessment Grant. Summary Statement: In September 2011 the City of Waterloo was awarded two (2) EPA Brownfield Assessment Grants. One grant in the amount of $200,000 is for hazardous material contamination, and the second, in the amount of $200,000 is for petroleum contamination. CITY WEBSITE: www.ci.waterloo.ia.us WE'RE WORKING FOR YOU! An Equal Opportunity/Affirmative Action Employer BF-97731101- SEP 3 0 311 ASSISTANCE ID NO. U.S. ENVIRONMENTAL PRG (... DOC ID 'AMENDS .DATE OF AWARD PROTECTION AGENCY BF 97731901 p 09/18/2111 • TYPE OF ACTION New MAILING DATE 09/23/2011 Cooperative Agreement PAYMENT METHOD: ACH ACID 775534 RECIPIENT TYPE: Municipal • Send Payment Request to: U.S. Environmental Protection Agency - Las Vegas FC P.O. Box 90515, Las Vegas, NV 89193-8515 Phone #702-798-2426, Fax: #702-798-2423 RECIPIENT: PAYEE: City of Waterloo 715 Mulberry Street Waterloo, IA 50703 EIN: 42-6005327 Same as Recipient 715 Mulberry Street Waterloo, IA 50703 PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST Chris Western 715 Mulberry Street Waterloo, IA 50703Kansas E-Mail: chdo4 s.westem@waterloa.org Phone: 319-291-4366 Jennifer Monis 901 North Fifth Street, SUPR/STAR City, KS 68101 E-Mail: Monis.Jennlfegepamail.epagw Phone: 913-551-7341 Connie Allen Grants Management Office, PLMGIRFMB/GRM$ E-Mail: Allen.Connie@epama8.epa.gw Phone: 913-551-7363 PROJECT TITLE AND DESCRIPTION Waterloo Hazardouse Substance Fiscal Year 2011 Assessment This award provides funding to the City of Waterloo, Iowa'to be used to conduct community wide environmental assessments at potential brownffeld Stas cantaminated'with hazardous substances and other the polutants. The grant recipient will conduct site prionlizaUon, then Phase I and Phase 11 assessments at selected sites. Funds will also be used for public outreach and community Involvement/public participation processes and cleanup planning. BUDGET PERIOD 10/01/2011 - 09/30/2014 PROJECT PERIOD 10/01/2011 - 09/30/2014' TOTAL BUDGET PERIOD COST $200,000.00 TOTAL PROJECT PERIOD COST $200,000.00 NOTICE OF AWARD Based on your application dated 04/20/2011, Including all modifications and amendments, the United States acting by and through the US Environmental Protection Agency (EPA), hereby awards $200,000. EPA agrees to cost-share 100.00% of all approved budget period costs Incurred, up to and not exceeding total federal funding of $200,000. Such award maybe terminated by EPA without further cause If the recipient fails to provide timely affirmation of the award by signing under the Affirmation of Award section and returning a pages of this agreement to the Grants Management Office listed below within 21 days after receipt, or any extension of time, as may be granted by EPA. This agreement D sutxject to onpika6le EPA sfahnory provisions Thn Aonblaoegulahxy provisions-are.40 CFR-Chapter-1 Subchapter 6, and all terms and conditions of this agreement and any attachments. ISSUING OFFICE (GRANTS MANAGEMENT OFFICE) AWARD APPROVAL OFFICE ORGANIZATION 1 ADDRESS ORGANIZATION 1 ADDRESS Grants Management Office • 901 Nbrih Fifth Street Kansas City, KS 66101 U.S. EPA, Region 7 Superfund Division 901 North Fifth Street Kansas City, KS 66101 THE UNITED STATES OF AMERICA BY THE u.S. ENVIRONMENTAL PROTECTION AGENCY' • SIGNATURE OF AWARD OFFICIAL Digital signature applled by EPA Award Official TYPED NAME AND TITLE Karen L Sherrill, Grants Management Officer DATE 09/16/2011 AFFIRMATION OF AWARD BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION - S TURE7 TYPED NAME AND TITLE DATE Ernest G. Clark, Mayor 07A d/ SEP 3 0 311 EPA Funding Information BF -97731101-0 Paget FUNDS ... FORMER AWARD .- ... - - THIS ACTION. '. AMENDED TOTAL EPA Amount This Action $ $ 200.000 $ 200,000 EPA In -Kind Amount $ $ $ 0 Unexpended Prior Year Balance $ $ $0 Otter Federal Funds $ $ $ 0 Recipient Contdbutlon • $ $ $0 State Contribution $ $ $0 Local Contribution $ _ $ $ 0 Otter Contribution - $ $ $ 0 Allowable Project Cost $ 0 $ 200,000 $ 200,000 Assistance Program(CFDA) Statutory Authority Regulatory Authority _60.818- Brownfldds Assessment and Cleanup Cooperative Agreane is CERCLA: Sec. 101(39) CERGt A: Sec. 104(k)(2) 40 CFR PART 31 Fiscal Site Name Req No FY Approp. Code Budget Organization FRC .Object Class Site/Project Cost Organization Obligation 1 Deobligatton WATERLOO 1107W31017 11 E4C 0700AG7 402079E 4114 G700OJ00 - 200,000 200.0011 Budget Summary P BF -97/31101-0 Page 3 Tabu A -Object Class Category ' (Won -construction) Total Approved Allowable' Budget Petted Cost 1. Personnel $36,660 2. Fringe Benefits $5,350 3. Travel $1,500 4. Equipment $0 5. Supplies $475 6. Contractual $0 7. Construction $156.015 8. Other $0 9. Total Direct Charges $200,000 10. Indirect Costs: % Base $0 11. Total (Share: Recipient 0_00 % Federal 100.00 %.) $200,000 12. Total Approved Assistance Amount - $200,000 13. Prdgram Income $0 14. Total EPA Amount Awarded This Action 5200,000 15. Total EPA Amount Awarded To Date5200,000 BF -97731101-0 Page n Administrative Conditions 1. I. Central Contractor Registration and Universal Identifier Requirements. A. Requirement for Central Contractor Registration (CCR). Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of yourinformation in the CCR until you'submit the final financial report required under this award or receive the final payment, whichever is later., This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. B. Requirement for Data Universal Numbering System (DUNS) numbers. If you are authorized to make subawards under this award, you: 1.Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) May receive a subaward from you unless the entity has provided its DUNS number to you. 2. May not make a subaward to ah entity unless the entity has provided Its DUNS number to you. C. Definitions. Forpurposes of this award term: 1.Central Contractor Registration (CCR) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the CCR Internet site (currently at httpi/www.ccr.gov). 2. Data Universal Numbering System (DUNS) number means the nine -digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely Identify business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet (currently at http://fedaov.d nb. corn/webform). 3. Entity, as It is used in this award term, means all of the following, as defined at 2 CFRpart25, subpart C: a:A Governmental organization, which is a State, local government, or Indian tribe; b.A foreign public entity; c. A domestic or foreign nonprofit organization; d.A domestic or foreign for-profit organization; and e.A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal entity. - 4.Subaward: a.This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b.The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec._.210 of the attachment to OMB Circular A-133, "Audits of States, Local Governments, and Non -Profit Organizations"). c.A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5.Subrecipient means an entity that: a.Receives a subaward from you under this award; and b.ls accountable to you for the use of the Federal funds provided by ute subaward. 2. Reporting Subawards and Executive Compensation a.Reportino of first-tier subawards. 1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e of this award term). 2. Where and when to report. L You must report each obligating action described in paragraph a.1. of this award term to www.fsrs.gov. - 11 For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.) 3. What to report. You must report the information about each obligating. action that the submission Instructions posted at www.fsrs.gov specify. b.Reoortina Total Compensation of Recipient Executives. 1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, If – I. the total Federal funding authorized to date under this award is $25;000 or more; 11. In the preceding fiscal year, you received— (A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal me ••n ac s (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.) 2. Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term: i. As part of your registration profile at www.ccr.gov. ii. By the end of the month following the month in which this award is made, and annually thereafter. • • 1 c. Reporting of Total Compensation of Subreciplent Executives. 1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if – i. in the sub recipients preceding fiscal year, the subrecipient received— (A) 80 percent or more of its annual gross revenues from Federal. procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170320 (and subawards); and (8) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commisslon total compensation filings at http://www.sec.gov/answers/execomp.htm.) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term: 1 To the recipient. ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (Ie., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. d.Exemotions - If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report: I. subawards, and; il.the total compensation of the five most highly compensated executives of any subrecipient. • e. Definitions. For purposes of this award term: 1.Entity means all of the following, as defined in 2 CFR part 25: 1. A Governmental organization, which is a State, local government, • 1 .r 1 11.A foreign public entity; iii. A domestic or foreign nonprofit organization; iv. A domestic or foreign for-profit organization; v.A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal entity. 2. Executive means officers, managing partners, or any other employees in management positions. 3. Subaward: i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subreclpienL ii. The term does not include your procurement of property and services needed to carryout the project or program (for further explanation, see Sec. —210 of the attachment to OMB Circular 4133:Audits of States, Local Governments, and Non -Profit Organizations") . IIIA subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 4. Subreclpient means an entity that i. Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of u,e Federal funds provided by the subaward. S.Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)): L Salary and bonus . 11. Awards of stock, stock options, and stock appreciation rights . Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. iii.Eamings for services under non -equity incentive plans . This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are availablegenerally to all salaried employees. vi.Change in pension value. This is the change In present value of defined benefit and actuarial pension plans. v. Above -market earnings on deferred compensation which is not tax - qualified . vii. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000. 3. Recipient agrees to submit the Federal Financial Report (FFR) form SF -425 to EPA no later than ninety (90) days after the end of the grant budget/project period. The EPA requires only the information requested on FFR lines 10d through 100. A blank FFR is available for completion on the Las Vegas Finance Center's (LVFC) website: http://www.eoa.gov/ocfo/finservices/forms.htm The Final FFR form SF -425 must be submitted to: U.S. EPA -Las Vegas FC, P.O. Box 98515, Las Vegas, NV 89193-8515. 4. Recipient agrees to submit, at a minimum, a quarterly billing (payment) request(s) to the EPA for all eligible, allowable, allocable, necessary and reasonable costs which are incurred for this project/program. A payment request is not required to be submitted in the event that the recipient has not incurred such costs during the quarterly period, but more frequent payments may be requested as costs are incurred. 5 The Recipient agrees that none of the funds provided under this agreement may be used for subawards/subgrants or contracts to the Association of Community Organizations for Reform Now (ACORN) or any of its subsidiaries. Congress has prohibited the EPA from using its FY 2010 and/or FY 2011 appropriations to provide funds to ACORN or its subsidiaries. Recipients should direct any questions about this prohibition to the EPA Grants Management Specialist listed on the first page of this award document. 6. Management fees or similar charges in excess of the direct costs and approved indirect rates are not allowable. The term "management fees or similar charges" refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar costs which are not allowable under this assistance agreement. Management fees or similar charges may not be used to improve or expand the project funded under this agreement, except to the extent authorized as a direct cost of carrying out the scope of work. 7. Pursuant to EPA's annual Appropriations Act, the chief executive offlcer,of this recipient agency shall require that no grant funds have been used to engage in lobbying of the Federal Government or In litigation against the United States unless authorized under existing law. Recipient agrees to comply with the respective OMB Circular (A-21, A-87, or 4122), which prohibits the use of federal grant funds for litigation against the United States. Recipients subject to the requirements of 40 CFR Part 30 agree to comply with the respective OMB Circular (A-21 or A-122), which prohibits the use of Federal grant funds to participate in various forms of lobbying or other political activities. 8. Recipient agrees to comply with the Anti -Lobbying Act, Section 319 of Public Law 101-121, effective December 23, 1989. Recipient acknowledges that if any expenditure is made as prohibited by the Act, that he shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure. Recipient further acknowledges that failure to file or amend the disclosure form, if required, shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Recipient also agrees to include in all solicitation documents the following: "Sub recipients who request or receive from the grant recipient a subgrant, contract, or subcontract exceeding $100,000, at any tier under a federal grant shall comply with the Anti -Lobbying Act, Section 319 of Public Law 101-121, and file an Anti -Lobbying Certification form, and the Disclosure of Lobbying Activities form, if required, to the next tier above." 9. Recipient agrees to fully comply with Subpart C of 2 CFR Part 180 and 2 CFR Part 1532, entitled Responsibilities of Participants Regarding Transactions. Recipient must ensure that any lower tier covered transaction, as described in Subpart B of 2 CFR Part 180 and 2 CFR Part 1532, entitled Covered Transactions, includes a term or condition requiring compliance with Subpart C. Recipient agrees to include a similar term or condition In any subsequent lower tier covered transactions. Recipient agrees that failing to disclose the required information in 2 CFR 180.335 may result in the delay or negation of this assistance agreement, or pursuance of legal remedies, including suspension and debarment. Recipient may access the Excluded Parties List System at www.epls.qov. 10. The recipient agrees to an ongoing, good faith effort to maintain a drug-free work place rpu scant to the specific requirements set forth In Title 40 CFR 36.200 - 36.230. Additionally; in accordance with these regulations, the recipient must identify all known workplaces under its federal awards, and keep this information on file during the performance of the award.- Recipients ward: Recipients classified as individuals must comply with the drug-free provisions set forth In Title 40 CFR 36.300. Details concerning violation of this condition may be found under Title 40 CFR 36.510. 11. Recipient agrees to ensure that all space for conferences, meetings, conventions or training funded in whole or in part with Federal funds comply with the Hotel and Motel Fire Safety Act of 1990. 12. The Recipient agrees if $500,000 or more in total Federal funds is expended In any fiscal year, they will obtain a single audit from an independent auditor according to the guidance provided in OMB Circular A-133. The Recipient agrees that within nine months after the fiscal year end or 30 days after receiving the report from the auditor. they will electronically submit a copy of the data collection form SF -SAC and a Single Audit Report Package to the Federal Audit Clearinghouse Internet Data Entry System. For complete instructions for electronic submission of the SF -SAC and the Single Audit Report Package are located at the Federal Audit Clearinghouse Web site: http: /1 harya ster. ce n su s. oov /f a c/ 13. To implement requirements of Section 106 of the Trafficking Victims.Protection Act of 2000, as amended, the following provisions apply to this award: a. We, as the Federal awarding agency may unilaterally terminate this award, without penalty, if a sub -recipient that is a private entity: (1) is determined to have violated an applicable prohibition in the Prohibition Statement below, or (2) has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in the Prohibition Statement below through conduct that is either: (a) associated with performance under this award; or (b) Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2.CFR part 180, "OMB Guidelines to Agencies on Government wide Debarment and Suspension (Non -procurement)," as implemented by our agency at 2 CFR part 1532. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in the Prohibition Statement below. b. Our right to terminate unilaterally that is described in paragraph a of this award term: (1) implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and (2) is in addition to all other remedies for noncompliance that are available to us under this award. c. You must include the requirements of the Prohibition Statement below in any subaward you make to a private entity. Prohibition Statement - You as the recipient, your employees, sub -recipients under this award, and sub -recipients' employees may not engage in severe forms of trafficking in persons during the period of time that the award is in effect; procure a commercial sex act during the period of time that the award is in effect; or use forced labor in the performance of the award or sub -awards under the award. 14. The Recipient agrees, in accordance with EPA Order 1000.25 and Executive Order 13423, Strengthening Federal Environmental, Energy and Transportation Management (January 24, 2007), the recipient agrees to use recycled paper and double sided printing for all reports which are prepared as a part of this agreement and delivered to EPA. This requirement does not apply to reports prepared on forms supplied by EPA, or to Standard Forms, which are printed on recycled paper and are available through thw€enera ation. The Recipient agrees to follow the requirements set out in Section 6002 of the Resource Conservation and Recovery Act (RCRA) (42 U.S.C. 6962). RCRA Section 6002 that preference be given In procurement programs to the purchase of specific products containing recycled materials identified in the guidelines contained in 40 CFR 247. 15. GENERAL COMPLIANCE, 40 CFR, Part 33 - The recipient agrees to comply with the requirements of EPA's Program for Utilization of Minority and Women's Business Enterprises (MBEIWBE) In procurement under assistance agreements, contained In 40 CFR, Part 33. FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D - A recipient must negotiate with the appropriate EPA award official, or his/her designee, Fair share objectives for MBE and WBE participation in procurement under the financial assistance agreement. Current Fair Share Objective/Goal - The dollar amount of this assistance agreement is $250,000, or more; or the total dollar amount of all of the recipient's assistance agreements from EPA in the current fiscal year is $250,000, or more. The lowa Department of Natural Resources (IDNR) has negotiated the following, applicable MBEIWBE fair share objectives/goals with EPA as follows: Iowa MBE WBE Supplies 0.6% 05.6% Equipment 2.5% 10.4% Services 2.5% 1L3% Construction .1.7% 02.2% Negotiating Fair Share Objectives/Goals, 40 CFR, Section 33.404 - If the recipient has not yet negotiated its MBEIWBE fair share objectives/goals, the recipient agrees to submit proposed MBE/WBE objectives/goals based on an availability analysis, or disparity study, of qualified MBEs and WBEs in their relevant geographic buying market for construction, services, supplies and equipment. The recipient agrees to submit proposed fair share objectives/goals, together with the supporting availability analysis or disparity study, to the Regional MBEIWBE Coordinator within 120 days of its acceptance of the financial assistance award. EPA will respond to the proposed fair share objective/goals within 30 days of receiving the submission. If proposed fair share objective/goals are not received within the 120 day time frame, the recipient may not expend its EPA funds for procurements until the proposed fair share objective/goals are submitted. SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C - Pursuant to 40.CFR, Section 33.301, the recipient agrees to make the following good faith efforts whenever procuring construction, equipment, services and supplies under an EPA financial assistance agreement, and to ensure that sub -recipients, loan recipients, and prime contractors also comply. Records documenting compliance with the six good faith efforts shall be retained: • (a) Ensure Disadvantaged Business Enterprises (DBEs) are made aware of contracting opportunities tothe fullest extent practicable through outreach and recruitment activities. For Indian Tribal, State, and local government recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are potential sources. (b) Make information on forthcoming opportunities available to DBEs and arrange time frampe fnr rgntra erKschedules, mberelherequirements-permitrin a way that encourages and facilitates participation by DBEs in the competitive process. This includes, whenever possible, posting solicitations for bids or proposals for a minimum of 30 calendar days before the bid or proposal closing date. (c) Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs. For Indian Tribal, State and local government recipients, this will include dividing total requirements when economically feasible into smaller tasks or quantities to permit maximum participation by DBEs in the competitive process. (d) Encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually. (e) Use the services and assistance of the Small Business Administration and the Minority Business Development Agency of the Department of Commerce in finding DBEs. - (f) If the prime contractor awards subcontracts, require the prime contractor to take the steps In paragraphs (a) through (e) of this section. MBE/YVBE REPORTING, 40 CFR, Part 33, Sections 33.502 and 33.503 - The recipient agrees to complete and submit EPA Form 5700-52A, "MBE/WBE Utilization Under Federal Grants, Cooperative Agreements and Interagency Agreements" beginning with the. Federal fiscal year reporting period the recipient receives the award, and continuing until the project is completed. Only procurements with certified MBE/WBEs are counted toward a recipient's MBEIWBE accomplishments. ine reports must be submitted semiannually for the periods ending March 31 and September 30. The reports are due within 30 days of the end of the semiannual reporting periods (April 30 and October 30). Reports should be sent to ATTN: Grant Assistant. Final MBEIWBE reports must be submitted within 90 days after the project period of the grant ends. Your grant cannot be officially closed without all MBEIWBE reports. EPA Form 5700-52A may tie obtained from the EPA Office of Small Business Program's Home Page on the Internet at www.epa.cov/osbp. CONTRACT ADMINISTRATION PROVISIONS, 40 CFR, Section 33.302 - The recipient agrees to comply with the contract administration provisions of 40 CFR, Section 33.302. BIDDERS LIST, 40 CFR, Section 33.501(b) and.(c) - Recipients of a'Continuing Environmental Program Grant or other annual reporting grant, agree to create and maintain a bidders list: Recipients of an EPA financial assistance agreement to capitalize a revolving loan fund also agree to require entities receiving identified loans to create and maintain a bidders list if the recipient of the loan is subject to, or chooses to follow, competitive bidding requirements. Please see 40 CFR, Section 33.501 (b) and (c) for specific requirements and exemptions. Programmatic Conditions 1. 1. GENERAL FEDERAL REQUIREMENTS NOTE: For the purposes of these Terms and Conditions the term "assessment' includes, eligible activities under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) 104(k)(2)(A)(1) such as activities involving the inventory, characterization, assessment, and planning relating to brownfield sites as described In the EPA approved work plan. A. Federal Policy and Guidance 1. a. Cooperative Agreement. Recipients: By awarding this cooperative agreement, EPA has approved the proposal for the Cooperative Agreement Recipient (CAR) submitted in the Fiscal 017 competif. • ; •„ - , -n cooperative agreements. However, the CAR may not expend ("draw down") funds to carry out this agreement until EPA's award official approves the final work plan. b. In implementing this agreement, the CAR shall ensure that work done with cooperative agreement funds complies with the requirements of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)104(k). The CAR shall also ensure that assessment activities supported with cooperative agreement funding comply with all applicable Federal and State laws and regulations. c. The recipient must comply with Federal crass -cutting requirements. These requirements include but are not limited to, MBE/WBE requirements found at 40 CFR Part 33; OSHA Worker Health & Safety Standard 29 CFR 1910.120; the Uniform Relocation Act; National Historic Preservation Act; Endangered Species Act and Permits required by Section 404 of the Clean Water Act; Executive Order 11246, Equal Employment Opportunity, and implementing regulations at 41 CFR 60-4; Contract Work Hours and Safety Standards Act, as amended (40 USC 327-333) the Anti Kickback Act (40 USC 276c) and Section 504 of the Rehabilitation Act of 1973 as implemented by Executive Orders 11914 and 11250. d. The CAR must comply with Davis -Bacon Act prevailing wage requirements and associated U.S. Department of Labor (DOL) regulations for alt construction, alteration and repair contracts and subcontracts awarded with funds provided under this agreement Activities conducted under assessment grants generally do not involve construction, alteration and repair within the meaning of the Davis -Bacon Act The recipient must contact EPA's Project Officer if there are unique circumstances (e.g. removal of an underground storage tank or another structure and restoration of the site) which indicate that the Davis -Bacon Act applies to an activity the CAR intends to carry out with funds provided under this agreement. The Agency will provide guidance on Davis -Bacon Act compliance ifnecessary. B. Eligible Browntietds Site Determinations 1. a. The CAR must provide Information to EPA about site-specific work prior to incurring any costs under this cooperative agreement for sites that have not already been pre -approved in the CAR's work plan by the EPA. The information that must be provided includes whether or not the site meets the definition of a brownfield site as defined in §101(39) of CERCLA, the identity of the owner, and the date of acquisition. b. If the site is excluded from the general definition of a brownfield, but is eligible for a property -specific funding determination, then the CAR must provide inforination sufficient for EPA to make a property -specific funding determination. The CAR must provide sufficient information on how financial assistance will protect human health and the environment, and either promote economic development or enable the creation of, preservation of, or addition to parks, greenways, undeveloped property, other recreational property, or other property used for nonprofit purposes. The CAR must not incur costs for assessing sites requiring a property -specific funding determination by EPA until the EPA Project Officer has advised the CAR that the Agency has determined that the property is eligible. 2. a. For any petroleum contaminated brownfleld site that is not included in the CAR's EPA approved work plan, the CAR shall provide sufficient documentation to the EPA prior to incurring costs under this cooperative agreement which includes (see the latest version of EPA's Propose/ Guidelines forBrownfle/ds Assessment Grants dated August 2010 for discussion of this element) documenting that (1) a State has determined that the petroleum site is of relatively low risk, as compared to other petroleum -only sites in the State, (2) the State determines there is "no viable responsible party" for the site; (3) the State determines that the person assessing or investigating the site is a person who is not potentially liable for cleaning up the site; and (4) the site Is not subject to any order issued under section 9003(h) of the Solid Waste Disposal Act This documentation must be prepared by the CAR or the State following contact and discussion with the appropriate petroleum program official. b. Documentation must include (1) the identity of the State program official contacted, (2) the State official's telephone number, (3) the date of the contact, and (4) a summary of the discussion relating to the state's determination that the site is of relatively low risk, that there is no viable responsible patty and that the person assessing or investigating the site is not potentially liable for cleaning up the site. Other documentation provided by a State to the recipient relevant to any of the determinations by the State must also be provided to the • EPA Project Officer. c. If the State chooses not to make the determinations described in 2.a. above, the CAR must contact the EPA Project Officer and provide the information necessary for EPA to make the requisite determinations. d. EPA will make all determinations on the eligibility of petroleum -contaminated brownfields sites located on tribal lands (Le., reservation lands or lands otherwise in Indian country, as defined at 18 U.S.C. 1151). Before incurring costs for these sites, the CAR must contact the EPA Project Officer and provide the information necessary. for EPA to make the determinations described in 2.a. above. 11. GENERAL COOPERATIVE AGREEMENT ADMINISTRATIVE REQUIREMENTS A. Tenn of the Agreement 1. The term of this agreement is three years from the date of award, unless otherwise extended by EPA at the CAB's request 2. If after 18 months from the date of award, EPA determines that the CAR has not made sufficient progress in implementing its cooperative agreement, the recipient must implement a corrective action plan approved by the EPA PO or EPA may terminate this agreement for material non-compliance with its terms. For Purposes of assessment grants, the recipient demonstrates "sufficient progress" when 35% of funds have been drawn down and obligated to eligible activities; for assessment coalition grants °sufficient progress" Is demonstrated when a solicitation for services has been released, sites are prioritized or an inventory has been initiated if necessary, community involvement activities have been initiated and a Memorandum of Agreement is in place. 3. The recipient agrees that EPA may terminate this assistance agreement for failure to continually make sufficient progress so as to reasonably ensure completion of the project within the project period Including any extensions. The EPA Project Officer will measure sufficient progress by • examining the performance required under the workplan in conjunction with the milestone schedule, the time remaining for performance within the project period, and/or the availability of funds necessary to complete the project. 4. Assessment funding for an eligible Brownfield site may not exceed $200,000 unless a waiver has been granted by EPA. Following the granting of a waiver, funding is not to exceed $350,000 at the site. B. Substantial Involvement 1. The EPA may be substantially involved in overseeing and monitoring this cooperative agreement. a. Substantial involvement by EPA generally Includes administrative activities such as monitoring, reviewing project phases, and.approving substantive terms included in professional services contracts. -•r.e I. m • vement also includes brownhelds property -specific funding determinations described in I.B. under Eligible Srownfe/ds Site Detenninatlons above. If the CAR awards a subgrant for site assessment, the CAR must obtain technical assistance from EPA on which sites qualify as a brownfieid site and determine whether the statutory prohibition found In section 104(k)(4)(B)(i)(IV) of CERCLA applies. This prohibition precludes the subgrantee from using EPA funds to assess a site for which the subgrantee is potentially liable under §107 of CERCLA. (See Section ILC.3 for more information on subgrants.) c. Substantial EPA involvement may include reviewing financial and environmental status reports; and monitoring all reporting, record-keeping, and other program requirements. d. EPA may waive or modify any of the provision's in term and condition i1.B.1., with the exception of property-speclfic funding determinations, through advice to the recipient v 2. Effect of EPA's substantial involvement includes: a. EPA's review of any project phase, document, or cost incurred under this cooperative agreement, will not have any effect upon CERCLA §128 Eligible Response Sitedeterminations or rights, authorities, and actions under CERCLA or any Federal statute. b. The CAR remains responsible for ensuring that ail assessments are protective of human health and the environment.and comply with all applicable Federal and State laws. c. The CAR and its subgrantees remain responsible for incurring 'costs that are allowable under the applicable OMB Circulars. C. Cooperative Agreement Recipient Roles and Responsibilities 1. The CAR must acquire the services of a qualified environmental professional(s) to coordinate, direct, and oversee the brownfields assessment activities at a particular site, if they do not have such a professional on staff. 2. The CAR is responsible for ensuring that contractors and subgrant recipients comply with the terms of their agreements with the CAR, and that agreements between the CAR and subgrant recipients and contractors comply with the terms and conditions of this agreement. 3. Subgrants are defined at 40 CFR 31.3. The CAR may not subgrant to for-profit organizations. The CAR must obtain commercial services and products necessary to carry out this agreement under competitive procurement procedures as described in 40 CFR 31.36. in addition, EPA policy encourages awarding subgrants competitively and the CAR must consider awarding subgrants through competition. 4. The CAR is responsible for assuring that EPA's Brownfields Assessment Grant funding received under this grant, or in combination with any other previously awarded Brownfields Assessment grant does not exceed the $200,000 assessment grant funding limitation for an individual brownfield site. Waiver of this funding limit for a brownfields site must be approved by EPA prior to the expenditure of funding exceeding $200.000. in no case may. EPA funding exceed $350,000 on a site receiving a waiver. 5. CARs expending funding from a community -wide assessment grant on a particular site must include such funding amount in any total funding expended on the site. D. Quarterly Progress Reports 1 The ARmustsubmitprog "1116 "NiHl ✓• 11 .1 -I-1 1. 1 1 " • . • 1 - N Officer. Quarterly progress reports must include: a. Summary of approved activities performed during the reporting quarter, summary of the performance outputsfoutcomes achieved during the reporting quarter, a description of problems encountered during the reporting quarter that may affect the project schedule and a discussion of meeting the performance outputs/outcomes. b. An update on project schedules and milestones. c. A list of the properties where assessment activities were performed and/or completed during the reporting quarter. d. A budget recap summary table with the following information: current approved project budget costs incurred during the reporting quarter; costs incurred to date (cumulative expenditures); total remaining funds and draws submitted during the reporting quarter. 2. The CAR must maintain records that will enable it to report to EPA on the amount of funds expended on specific properties under this cooperative agreement 3. In accordance with 40 CFR 31.40(d), the CAR agrees to inform EPA as soon as problems, delays, or adverse conditions become known which will materially impair the ability to meet the outputs/outcomes specified -in the approved work plan. E. Property Profile Submission The CAR must report on interim progress (i.e., assessment started) and any final accomplishments (i.e., assessment completed, cleanup required, contaminants, institutional Controls, Engineering Controls) by completing and submitting relevant portions of the current approved Property Profile Form using the Brownfields Program on-line reporting system, known as Assessment, Cleanup and Redevelopment Exchanue System (ACRES). The CAR must enter Lire data in ACRES as soon as the interim action or final accomplishment has occurred, or within 30 days after the end of each reporting quarter. EPA will provide the CAR with training prior to obtaining access to ACRES. The training is required to obtain access to ACRES. The CAR must use the ACRES system unless approval is obtained from the regional Project Officer to submit data using the Property Profile Form . F. Final Report The CAR must submit a final performance report electronically within 90 days after the end of the project period. The final report may be submitted In lieu of a final quarterly report with the approval of the EPA project officer. The final report shall include the site names, the work performed at each site and how much was spent at each site. it should also provide Information that documents the outreach efforts by the CAR and other activities that explain how the funding was expended. G. Work Product and Report Submission Format • Work products and reports provided to EPA in accordance with this agreement shall be submitted in an electronic format acceptable to EPA, unless otherwise approved by the EPA project officer. Current acceptable formats include Microsoft WORD, Microsoft EXCEL or Portable Document Format (PDF). III. FINANCIAL ADMINISTRATION REQUIREMENTS A. Eligible Uses of the Funds for the Cooperative Agreement Recipient 1. To the extent allowable under the work plan, cooperative agreement funds may be used for eligible programmatic expenses to inventory, characterize, assess, and conduct planning and outreach. Eligible programmatic expenses include activities described in Section IV of these Terms and Conditions. In addition, such eligible programmatic expenses may include: a. Determining whether assessment activities at a particular site are authorized by CERCLA 104(k); b. Ensuring that an assessment complies with applicable requirements under Federal and State laws, as required by CERCLA 104(k);. • i a grant to purchase environmental insurance for the characterization or assessment of the site. Funds may not be used to purchase insurance intended to provide coverage for any of the Ineligible Uses under Section III.B. d. Any other eligible programmatic costs Including direct costs Incurred by the recipient in reporting to EPA; procuring and managing contracts; awarding and managing subgrants to the extent allowable under III. B. 2.; and carrying out community involvement pertaining to the assessment activities. B. Ineligible Uses of the Funds for the Cooperative Agreement Recipient 1. Cooperative agreement funds shall not be used by the CAR for any of the following activities: a. Cleanup activities; b. Development activities that are not brownfields assessment activities (e.g., construction of a new facility); c. Job training unrelated to performing a specific assessment at a site covered by the grant; d. To pay for a penalty or fine; e. To pay a federal cost share requirement (for example, a cost -share required by another Federal grant) unless there is specific statutory authority; f. To pay for a response cost ata brownfields site for which the recipient of the grant or subgram is potentially liable under CERCLA §107; g. To pay a cost of compliance with any federal law, excluding the Dost of compliance with laws applicable to the assessment; and h. Unallowable costs (e.g., lobbying and fund raising) under applicable OMB Circulars. 2. tinder CERCLA 104(k)(4)(B), administrative costs are prohibited costs under this agreement. Prohibited administrative costs include all indirect costs under applicable OMB Circulars. a. Ineligible administrative costs include costs incurred in the form of salaries, benefits, contractual costs, supplies, and data processing charges, incurred to comply with most provisions of the Uniform Administrative Requirements for Grantscontalned In 40 CFR Part 31. Direct costs for grant administration, with the exception of costs specifically Identified as eligible programmatic costs, are Ineligible even If the grant redplent Is required to carry out the activity under the grant agreement. b. Ineligible grant administration costs include direct costs for: (1) Preparation of applications for brownfields grants; (2) Record retention required under 40 CFR 31.42; (3) Record-keeping associated with supplies and equipment purchases required under 40 CFR 31.32 and 31.33; (4) Preparing revisions and changes in the budgets, scopes of work, program plans and other activities required under40 CFR 31.30; (5) Maintaining and operating financial management systems required under 40 CFR 31; (6) Preparing payment requests and handling payments under 40 CFR 31.21; (7) Non-federal audits required under 40 CFR 31.26 and OMB Circular A-133; and (8) Close out under 40 CFR 31.50. 3. Cooperative agreement funds may not be used for any of the following properties: a. Facilities listed, or proposed for listing, on the National Priorities List (NPL); b. Facilitiessubject to unilateral administrative orders, court orders, administrative orders on consent or judicial consent decree issued to or entered by parties under CERCLA; • c. Facilities that are subject to the jurisdiction, custody or control of the United States government except for land held in trust by the United States government for an Indian tribe; or d. A site excluded from the definition of a brownfields site for which EPA has not made a property -specific funding determination. 4. The CAR must not include management fees or similar charges in excess of the direct costs or at the rate provided for by the terms of the agreement negotiated with EPA. The term "management fees or similar charges" refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar costs that are not allowable under EPA assistance agreements. Management fees or similar charges may not be used to improve or expand the project funded under this agreement, except to the extent authorized as a dire.t cost of canying out the scope of work. C. Interest -Bearing Accounts and Program Income 1. 1n accordance with 40 CFR 31.25(8)(2), the CAR is authorized to add program income to the funds awarded by the EPA and use the program income under the same terms and conditions of this agreement Program income for the assessment CAR shall be defined as the gross income received by the recipient, directly generated by the cooperative agreement award or earned during the period of the award. Program income includes, but is not limited to, fees charged for conducting assessment, site characterizations, clean up planning or other activities when the costs for the activity is charged to this agreement . 2. The CAR must deposit advances of grant funds and program income (Le. fees) in an interest bearing account. a. For interest eamed on advances, CARs are subject to the provisions of 40 CFR §31.21(i) to remitting interest on advances to EPA on a quarterly basis. b. Interest earned on program income is considered' additional program income. c. The CAR must disburse program income (including interest earned on program income) before requesting additional payments from EPA as required by 40 CFR 31.21(9. IV. ASSESSMENT ENVIRONMENTAL REQUIREMENTS A. Authorized Assessment Activities Prior to conducting or engaging in any on-site activity with the potential to impact historic properties (such as invasive sampling), the CAR shall consult with EPA regarding potential applicability of the National Historic Preservation Act and, if applicable, shall assist EPA in complying with any requirements of the Act and implementing regulations. B. Quality Assurance (QA) Requirements .mn - r w = • _ +� _ - . • s .a o the brownhelds assessment, the 'CAR shall comply with 40 CFR Part 31.45 requirements to develop and implement quality assurance practices sufficient to produce data adequate to meet project objectives and to minimize data loss. State law may impose additional QA requirements. 2. Individual or generic Quality Assurance Project Plans (QAPPs) for activities within the scope of this agreement must be submitted for EPA approval prior to the collection of environmental data and samples. EPA may request assistance from a state program with the review and approval of QAPPs for non -state EPA CARs. For this to occur, the state program must be authorized through an approved Quality Management Plan (QMP), to review and approve QAPPs in lieu of EPA. Review and appmval of non -state EPA brownfields CAR QAPPs by a state program will be limited to those instances where there Is mutual agreement among the parties involved (the state, EPA, and the CAR), and the non -State EPA CAR agrees, to participate in and follow the guidelines established within the State Response Program. Oversight of the state's QAPP approval process for Brownfields will be part of the Management Systems Review (MSR) process- described rocessdescribed in EPA Region 7s QMP. All QA documents will be prepared in accordance with current EPA requirements as defined in EPA Requirements for Quality Assurance Project Plans: EPA QA/R-5 (EPA/240/5-01/003, March 2001) and Guidance for Quality Assurance Project Plans: EPA QA/G-5 (EPN240/R-02/009, December 2002) or their subsequent revision. C. Completion of Assessment Activities The CAR shall properly document the completion of all activities described in the EPA approved work plan. This must be done through a final report or letter from a qualified environmental professional, or other documentation provided by a State or Tribe that shows assessments are complete. D. All Appropriate Inquiry 1; As required by CERCLA §104(k)(2)(B)(I1) and CERCLA §101(35)(B), the CAR shall ensure that a Phase I site characterization and assessment carried out under this agreement will be performed in accordance with EPA's standard for all appropriate inquiries. The CAR shall utilize the practices in ASTM standard E1527-05 "Standard Practices for Environmental Site Assessment: Phase I Environmental Site Assessment Process," or EPA's All Appropriate Inquiries Final Rule "All Appropriate Inquiries Rule: Reporting Requirements and Suggestions on Report Content", (Publication Number. EPA 560-F-06-244). This does not preclude the use of grant funds for additional site characterization and assessment activities that may be necessary to characterize the environmental impacts at the site or to comply with applicable State standards. 2. All Appropriate Inquiries (AAI) final reports produced with funding from this agreement must comply with 40 C.F.R. Part 312 and must, at a minimum, include the information below. The recipient must complete, sign and date a "Reporting Requirements Checklist for each AAI report conducted under this agreement. All MI reports submitted to EPA Project Officers as work products under this agreement should be accompanied by a completed checklist. The EPA's Project Officer will provide a copy of the checklist to the recipient The checklist also is available to grantees on the EPA website at www.epa.gov/brownfields. 1. An opinion as to whether the inquiry has identified conditions indicative of releases or threatened releases of hazardous substances, and as applicable, pollutants and contaminants, petroleum or petroleum products, or controlled substances, on, at, In, or to the subject property. 2. An Identification of 'slgnifrcant"datagaps (as defined in 40 C.F.R. 312.10), if any, in the information collected for the inquiry. Significant data gaps Include missing or unattainable information that affects the ability of the environmental professional to identify conditions indicative of releases or threatened releases of hazardous substances, and as applicable, pollutants and contaminants, petroleum or petroleum products, or controlled substances, on, at, in, or to the subject property. The documentation of significant data gaps must include information regarding the significance of these data gaps 3. Qualifications and signaturoof the environmental professional(s). The environmental professional must place the following statements in the document and sign the document [!, Wei declare that to the best of[my, ourlprofessional knowledge and belief, [I, weJmeet the definition of Environmental Professional as defined in §312.10 of this part." (l, WeJ have the specific qualifications based on education, training, and experience to assess a property of the nature, history, and setting of the subject property. [i, WeJ have developed and performed the all appropriate inquiries In conformance with the standards and practices set forth in 40 CFR Part 312." Note: Please use either 'I" or "We." 4. In compliance with §312.31(b), the environmental professional must include in the final report an opinion regarding additional appropriate investigation, if the environmental professional has such an opinion. EPA may review checklists and AAI final reports for.compliance with the AAI regulation documentation requirements at 40 CFR part 312 (or comparable requirements for those using ASTM Standard 1527-05). Any deficiencies identified during an EPA review of these documents must be corrected by the recipient within 30 days of notification. Failure td correct any identified deficiencies may result in EPA disallowing the costs for the entire AAI report as auttiorized by 40 CFR 31.43(a)(2). If a ,ecipient willfully fails to correct the deficierw,es the Agency may consider other available remedies under 40 CFR 31.43 and 2 CFR Part 180. V. Conflict of interest Appearance of lack of Impartiality A. Conflict of Interest 1. The CAR shall establish and enforce conflict of interest provisions that prevent the award of subgrants that create real or apparent personal conflicts of interest, or the CAR's appearance of lack of impartiality. Such situations include, but am not limited to, situations in which an employee, official, consultant, contractor, or other individual associated with the CAR (affected party) approves or administers a grant or subgrant to a subgrant recipient in which the affected party has a financial or other interest, Such a conflict of interest or appearance of lack of impartiality may arise when: (i) The affected party, (ii) Any member of his immediate family, (iii) His or her partner, or (iv) An organization which employs, or is about to employ, any of the above, has a financial or other interest in the subgrant recipient. Affected employees will neither solicit nor accept gratuities, favors, or anything of monetary value from subgrant recipients. Recipients may set minimum rules where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. To the extent permitted by State or local law or regulations, such standards of conduct will provide for penalties, sanctions, or other disciplinary actions for violations of such standards by affected parties. VI. PAYMENT AND CLOSEOUT A. Payment Schedule 1. The CAR may request payment from EPA pursuant to 40 CFR §31.21(c). Payment information is provided to the CAR by the Las Vegas Finance Center. The CAR shah contact the EPA Las Vegas Finance Center, P.O. Box 98515, Las Vegas, Nevada 89193-8515, (702) 798-2426, FAX (702) 798-2423 for answers to questions regarding forms utilized to drawdown funds under this cooperative agreement. B. Schedule for Closeout 1. Closeout will be conducted In accordance with 40 CFR 31.50. EPA will closeout the award when it determines that all applicable administrative actions and all required work of the grant have been completed. 2. The CAR, within 90 days after the expiration or termination of the grant, must submit all financial, performance, and other reports required as a condition of the grant. a. The CAR must submit the following documentation: 1. The Final Report as described in II.F. 2. A Final Federal Financial Report (FFR - SF425)., Submitted to: U.S. EPA Las Vegas Finance Center P.O. Box 98,515 Las Vegas, NV 89193-8515 Fax: (702) 798-2423 http://www.epa.gov/ocfo/finservicestpayinfo.html - 3. A Final MBEIWBE Report (EPA Form 5700-52A). Submitted to the regional office. b. The CAR must ensure that all appropriate data has been entered into ACRES or all Property Profile Forms are submitted to the Region. c. The grantee must immediately refund to the Federal agency any balance of unobligated (unencumbered) cash advanced that is not authorized to be retained for use on other grants. 2. Recipient agrees to comply with the following when selecting sub -recipients and establishing sub -awards: a) to establish all sub -award agreements in writing; b) to maintain primary responsibility for ensuring successful completion of the EPA -approved project (this responsibility cannot be delegated or transferred to a sub -recipient); c) to ensure that any sub-award(s) comply with the standards in Section 210(a) -(d) of OMB Circular A-133 and will not be used to acquire commercial goods or services for the recipient; d) to ensure that any sub-award(s) are awarded to eligible sub-recipient(s) and that proposed sub -award costs are necessary, reasonable, and allocable; e) to ensure that any sub-award(s) to 501(c)(4) organizations do not involve lobbying activities; f) to monitor the performance of the sub-recipient(s) and ensure that they comply with all applicable regulations, statutes, and terms and conditions which flow down in the sub -award; ppropriate_consentfromthe EPA Project Officer prior t0 making a sub -award to a foreign or international organization, or a sub -award to be performed in a foreign country; and . ••r 1 „- to obtain prior approval from the EPA Project Officer for any new sub - award work that is not outlined in the approved work plan in accordance with 40 CFR Parts 30.25 and 31.30, as applicable. Recipient agrees that any questions about the eligibility of a sub -recipient or other issues pertaining to the sub-award(s) will be addressed to the recipient's EPA Project Officer listed on the first page of your assistance award or assistance amendment document. Recipient agrees to be responsible for selection of any sub-recipient(s) and, if applicable, for conducting sub -award competitions. Additional information regarding sub -awards may be found at: http: //www.epa.gov/ogd/g uide/su baward-policy-part-2.pdf. Guidance for distinguishing between vendor and sub -recipient relationships and ensuring -compliance with Section 210(a) -(d) of OMB Circular A-133 may be found at http://www.epa.govioqd/quide/subawards-appendix-b.pdf http://www.whitehouse.uov/omb/financial fin single audit -orw,<ar- IW L ASSISTANCE ID NO. • dteD atilitb U.S. ENVIRONMENTAL PRG - 1 DOC ID IAMEND# DATE OF AWARD PROTECTION AGENCY BF - 97731201 - 0 09)27/2011 TYPE OF ACTION New MAILING DATE 10/04/2011 Cooperative Agreement PAYMENT METHOD:ACIM ACH 77534 RECIPIENT TYPE: Markle -al Send Payment Request to: U.S. Environmental Protection Agency- Las Vegas FC P.O. Box 90515, Las Vegas, NV 89193-8515 Phone #702-798-2428, Fac #702-79842423 RECIPIENT: PAYEE: City of Waterloo 715 Mulberry Street Waterloo, IA 50703 EIN: 42-6005327 City of Waterloo 715 Mulberry Street Waterloo, IA 50703 PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST Chris Western 715 Mulberry Stoat Waterloo, I 50 ater . Jennifer Monis 901 North Fifth Street, SUPR/STAR 55101 Connie Alien Grants Management OfIIce, PLMG/RFM6/GRMS E -Mail: Men.0 nnieaepama6,epa.gw . E-Mail:�a org Phone: 319-291-4301 EKansaa -Mail:City. Phone: 913.551-7�341�I.epa.gw Phone: 913551-7363 PROJECT TITLE AND DESCRIPTION Bravnields Pehcleum Assessment This award provides funding to the City of Waterloo, lava to be used to conduct community wide environmental assessments et potential brownfeldsites contaminated whh petroleum products'. The grant recipient will conduct site prioritization, then Phase 1 and Phase II assessments at selected sites. Funds will also be used for public outreach and comment)* Irw0Nement/pubge participation processes and cleanup planning. BUDGET PERIOD 10/01/2011 - 09/30/2014 PROJECT PERIOD 10/01/2011 - 09/30/2014 TOTAL BUDGET PERIOD COST $200,000.00 TOTAL PROJECT PERIOD COST $200,000.00 NOTICE OF AWARD Based on your application dated 04202011, Including all modifications and amendments, the United Stales acting by and through the US Environmental Protection Agency (EPA), hereby awards $200,000. EPA agrees to cost -share 100.0054 01 all approved budget period costs Incurred, up to and not exceutlirrg total federal funding of $200000. Such award may be terminated by EPA without further cause if the redplant falls to provide timely affnnadon of the award by signing under the Affirmation of Award section and returning all pages of this agreement to the Giants Management Office listed belay within 21 days after receipt, or any edenslon of is-by-EPA.s(Ardery-previsions: TheapPiicableregulatoryorovisi Subchapter B, and al terms and conditions of this agreement and any aifachmerds. ISSUING OFFICE (GRANTS MANAGEMENT OFFICE) • AWARD APPROVAL OFFICE ORGANIZATION /ADDRESS ORGANIZATION 1 ADDRESS Grants Management Office 901 Nath Fifth Street Kansas City, l(5 58101 U.S. EPA, Region 7 Superfund Division 901 North Fifth Street Kansas City, KS 66101 TIE UMTED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY SIGNATURE OF AWARD OFFICIAL Digital signature applied by EPA Award Official TYPED NAME AND TITLE - Karen L Sherrill, Grants Management Officer DATE 09272011 AFFIRMATION OF AWARD BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION S _. O TYPED NAME AND TITLE DATE Emelt G. Clark, Mayor , ' �' 1 IW L EPA Funding Information BF -97731201-0 Paget FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL EPA Amount This Action $ $ 200,000 $ 200,000 EPA In -Kind Amount $ $ $ 0 Unexpended Prior Year Balance $ $ $ 0 Otter Federal Funds $ $ $0 Recipient Contribution$ $ $ 0 Stats Contribution $ $ $ 0 Local contribution ' $ $ $ 0 Other Contribution ' 5 $ $0 Allowable Project Cost $ 0 $ 200,000 $ 200,000 Assistance Program (CFDA) Statutory Aulhority Regulatory Authority _88.818 - Brownldds Assessment and Cleanup CooperalNeAg CERCLA: Sec. 101(39) CERCLA: Sec. 104{k)(2) 40 CFR PART 31 Fiscal Site Name Req No FY Approp. Code Budget Organisation PRC Object Class Site/Project Cost Organization Obligation / Deobligation WATERLOO 1107W3101B 11 E4C 0700AG7 402079E8P 4114 G7230T00 - 200,000 • 200,004 Bud BF -97731201-0 Page 3 Table A -.Object Class Category_ (Non -construction) Total Approved Allowable Budget Period Cost 1. Personnel $36,660 2. Fringe Benefits $5.359 3. Travel $1,500 4. Equipment $0 5. Supplies $475 & Contractual $150,015 T. Construction - $0 8.Other $0 9, Total Direct Charges $200,000 10. Indirect Costs: % Base $0 11. Total (Share: Recipient 0_00% Federal 100.00 %) $200,000 12. Total Approved Assistance Amount $200,100 13. Program Income $9 14. Total EPA Amount Awarded Thls Action ' $200,000 15. Total EPA Amount Awarded To Date 5200,000 BF - 97731201- o Page Administrative Conditions 1. 1, Central Contractor Reaistration and Universal Identifier Requirements. A. Reauirement for Central Contractor Registration (CCR). Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the CCR until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the Information at least annually after the Initial registration, and more frequently if required by changes in your information or another award term. • B. Requirement for Data Universal Numbering System (DUN )numbers. If you are authorized to make subawards under.this award, you: 1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its DUNS number to you. 2.May not make a subaward to an entity unless the entity has provided its DUNS number to you. C. Definitions. For purposes of this award term: 1. Central Contractor Realstration (CCR) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the CCR Internet site (currently at http://www.ccr.gov). 2.Data Universal Numberina System (DUNS) number means the nine -digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet (currently at htto://fedgov.dnb.com/webform). 3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C: a.A Governmental organization, which Is a State, local govemment, or Indian hibe; b.A foreign public entity; c. A domestic or foreign nonprofit organization; d.A domestic or foreign for-profit organization; and e.A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal entity. 4.Sutiaward: a.This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b.The term does not include your procurement of property and services needed to cavy out the project or program (for further explanation, see Sec.__.210 of the attachment to OMB Circular 4133, °Audits of States, Local Governments, and Non -Profit Organizations"). c.A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subrecioient means an entity that a.Receives a subaward from you under this award; and b.ls accountable to you for the use of the Federal funds provided by the subaward. 2.- Reporting Subawards and Executive Compensation a. Reportina of first-tier subawards. 1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not Include Recovery funds (as defined In section 1512(aX2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e of this award term). 2. Where and when to report. i. You must report each obligating action described in paragraph a.1. of this award term to www.fsrs.gov. i1. For subaward information, report nb later than the end of the month following the month in which the obligation was made. (For example, If the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.) 3. W hat to report. You must report the information about each obligating action that the submission instructions posted at www.fsrs.gov specify. b.Reportina Total Compensation of Recipient Executives. 1, Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, iif— I. the total Federal funding authorized to date under this award Is $25,000 or more; ii. in the preceding fiscal year, you received— (A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and Iii. The public does not have access to Information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at htto://www.sec.gov/answers/execomp,htm.) 2. Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term: 1. As part of your registration profile at www.ccr.gov. ii. By the end of the month following the month In which this award is made, and annually thereafter. c. Reporting of Total Compensation of Subreclpient Executives. 1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if — 1 in the subrecipient's preceding fiscal year, the subreciplent received— (A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject ba the Transparency Act (and subawards); and iL The public does not have access to information about the compensation of the executives through periodic reports fled under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation Information, see the U.S. Security and Exchange Commission total compensation filings at httpi/www.sec.gov/answerstexecomp.htm.) 2. Where and when to report. You must report subreclpient executive total compensation described in paragraph c.1. of this award term: 1 To the recipient. ii. By the end of the month following the month during which you make the subaward. For example, I a subaward Is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. d.Exemotions - If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report i. subawards, and; lithe total compensation of the five most highly compensated executives of any subrecipient. e. Definitions. For purposes of this award term: 1.Entiti means all of the following, as defined In 2 CFR part 25: I. A Governmental organization, which Is a State, local government, or Indian tdbe; IA foreign public entity; - iii. A domestic,or foreign nonprofit organization; iv. A domestic or foreign for-profit organization; v.A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal entity. 2. Executive means officers, managing partners, or any other employees In management positions. 3. Subaward: 1 This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. ii. The term does not include your procurement of property and services needed to carryout the project or program (for further explanation. see Sec. —210 of the attachment to OMB Circular A-133,11Audits of States, Local Governments, and Non -Profit Organizations") . iii.A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 4. Subrecipient means an entity that: 1 Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of the rederal funds provided by the subauward. 5.Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(cX2)): L Salary and bonus . 11 Awards of stock, stock options, and stock appreciatioir rights . Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. iii.Eamingsfor services under non -equity Incentive piens . This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. vi. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. v. Above -market earnings on deferred compensation which is not tax - qualified . vii. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000. 2. Recipient agrees to submit the Federal Financial Report(FFR) form SF -425 to EPA no later than ninety (90) days after the end of the grant budget/project period. The EPA requires only the information requested on FFR lines 10d through 100. A blank FFR is available for completion on the Las Vegas Finance Center's (LVFC) website: htto://www.eoa.00v/ocfo/finservices/forms.htm The Final FFR form SF -425 must be submitted to: U.S. EPA -Las Vegas FC, P.O. Box 98515, Las Vegas, NV 89193.8515. --3. Recipientagrees-to-submit,-ata-minimum; a quarterly-biiling{paymentj requests}to-the-EPA, for all eligible, allowable, allocable, necessary and reasonable costs which are incurred for this project/program. A payment request Is not required to be submitted in the event that the recipient has not incurred such costs during the quarterly period, but more frequent payments may be requested as costs are incurred. 4. The Recipient agrees that none of the funds provided under this agreement may be used for subawards/subgrants or contracts to the Association of Community Organizations for Reform Now (ACORN) or any of its subsidiaries. Congress has prohibited the EPA from using its FY 2010 and/or FY 2011 appropriations to provide funds to ACORN or its subsidiaries. Recipients should direct any questions about this prohibition to the EPA Grants Management Specialist listed on the first page of this award document. 5. Management fees or similar charges in excess of the direct costs and approved Indirect rates are not allowable. The term "management fees or similar charges" refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar costs which are not allowable under this assistance agreement. Management fees or similar charges may not be used to improve or expand the project funded under this agreement, except to the extent authorized as a direct cost of carrying out the scope of work. 6. Pursuant to EPA's annual Appropriations Act, the chief executive officer of this recipient agency shall require that no grant funds have been used to engage in lobbying of the Federal Government or in litigation against the United States unless authorized under existing law. Recipient agrees to comply with the respective OMB Circular (A-21, A-87, or 4122), which prohibits the use of federal grant funds for litigation against the United States. Recipients subject to the requirements of 40 CFR Part 30 agree to comply with the respective OMB Circular (421 or A-122), which prohibits the use of Federal grant funds to participate in various forms of lobbying or other political activities. 7. Recipient agrees to comply with the Anti -Lobbying Act, Section 319 of Public Law 101-121, effective December 23, 1989. Recipient acknowledges that if any expenditure is made as prohibited by the Act, that he shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure. Recipient further acknowledges that failure to file or amend the disclosure form, if required, shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Recipient also agrees to include in all solicitation documents the following: "Sub recipients who request or receive from the grant recipient a subgrant, contract, or subcontract exceeding $100,000, at any tier under a federal grant shall comply with the Anti -Lobbying Act, Section 319 of Public Law 101-121, and file an Anti -Lobbying Certification form, and the Disclosure of Lobbying Activities form, if required, to the next tier above." 8. Recipient agrees to fully comply with Subpart C of 2 CFR Part 180 and 2 CFR Part 1532, entitled Responsibilities of Participants Regarding Transactions. Recipient must ensure that any lower tier covered transaction, as described in Subpart B of 2 CFR Part 180 and 2 CFR Part 1532, entitled Covered Transactions, Includes a term or condition requiring compliance with Subpart C. Recipient agrees to include a similar term or condition in any subsequent lower tier covered transactions. Recipient agrees that failing to disclose the required information In 2 CFR 180.335 may result in the delay or negation of this assistance agreement, or pursuance of legal remedies, including suspension and debarment. Recipient may access the Excluded Parties List System at www.epis.00v. 9. The recipient agrees to an ongoing, good faith effort to maintain a drug-free work -place -pursuant -te-the specific requirements in -The -40 -CFR -36:200 36.230. Additionally, in accordance with these regulations, the recipient must identify all known workplaces under its federal awards, and keep this information on file during the performance of the award. Recipients classified as individuals must comply with the drug-free provisions set forth in Title 40 CFR 36.300. Details concerning violation of this condition may be found under Tide 40 CFR 36.510. 10. Recipient agrees to ensure that all space for conferences, meetings, conventions or training funded in whole or in part with Federal funds comply with the Hotel and Motel Fire Safety Act of 1990. 11. The Recipient agrees if $500,000 or more in total Federal funds Is expended in any fiscal year, they will obtain a single audit from an independent auditor according to the guidance provided In OMB Circular 4133. The Recipient agrees that within nine months after the fiscal year end or 30 days after receiving the report from the auditor, they will electronically submit a copy of the data collection form SF -SAC and a Single Audit Report Package to the Federal Audit Clearinghouse Internet Data Entry System. For complete instructions for electronic submission of the SF -SAC and the Single Audit Report Package are located at the Federal Audit Clearinghouse .Web site: http://harvester.census.yov/far/ 12. To implement requirements of Section 106 of the Trafficking Victims Protection Act of 2000, as amended, the following provisions apply to this award: a. We, as the Federal awarding agency may unilaterally terminate this award, without penalty, if a sub -recipient that is a private entity: (1) is determined to have violated an applicable prohibition in the Prohibition Statement below or (2) has an employee who Is determined by the agency official authorized'to terminate the award to have violated an applicable prohibition in the Prohibition Statement below through conduct that is either: (a) associated with performance under this award; or (b) imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided In 2 CFR part 180, "OMB Guidelines to Agencies on Government wide Debarment and Suspension (Non -procurement)," as implemented by our agency at 2 CFR part 1532. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in the Prohibition Statement below. b. Our right to terminate unilaterally that Is described in paragraph a of this award term: (1) implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)); and (2) is in addition to all other remedies for noncompliance that are available to us under this award. c. You must include the requirements of the Prohibition Statement below in any subaward you- make to a private entity. Prohibition Statement - You as the recipient, your employees, sub -recipients under this award, and sub-reclpients' employees may not engage in severe forms of trafficking in persons during the period of time that the award is in effect; procure a commercial sex act during the period of time that the award Is in effect; or use forced labor in the performance of the award or sub -awards under the award. 13. The Recipient agrees, in accordance with EPA Order 1000.25 and Executive Order 13423, Strengthening Federal Environmental, Energy and Transportation Management (January 24, 2007), the recipient agrees to use recycled paper and double sided printing for all reports which are prepared as a part of this agreement and delivered to EPA. This requirement does not apply to reports prepared on forms supplied by EPA. or to Standard Forms, which are printed on recycled paper and are available through the General Services Administration. The Recipient agrees to follow the requirements set out in Section 6002 of the Resource Conservation and Recovery Act (RCRA) (42 U.S.C. 6962). RCRA Section 6002 that preference be given In procurement programs to the purchase of specific products containing recycled materials identified in the guidelines contained in 40 CFR 247. 14. GENERAL COMPLIANCE, 40 CFR, Part 33 - The recipient agrees to comply with the requirements of EPA's Program for Utilization of Small, Minority and Women's Business Enterprises in procurement under assistance agreemehts, contained in 40 CFR, Part 33. FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart 0- A recipient must negotiate with the appropriate EPA award official, or his/her designee, fair share objectives for MBE and • WBE (MBE/WBE) participation in procurement under the financial assistance agreements. Accepting the Fair Share Objectives/Goals of Another Recipient -The dollar amount of this assistance agreement is $250,000, or more; or the total dollar amount of all of the recipient's assistance agreements from EPA in the current fiscal year is $250,000, or more. The recipient accepts the applicable MBE/WBE fair share objectives/goals negotiated with EPA by the Iowa Department of Natural Resources (IDNR) as follows: Iowa MBE WBE Supplies 0.6% 05.6% Equipment 2.5% 10.4% Services 2.5% 11.3% Construction 1.7% 02.2% • By signing this financial assistance agreement, the recipient Is accepting the fair share objectives/goals stated above and attests to the fact that it is purchasing the same or similar construction, supplies, services and equipment, In the same or similar relevant geographic buying market as IDNR. - Negotiating Fair Share Objectives/Goals, 40 CFR, Section 33.404 - The recipient has the option to negotiate its own MBENVBE fair share objectives/goals. If the recipient wishes to negotiate its own MBENVBE fair share objectives/goals, the recipient agrees to submit proposed MBE/WBE objectives/goals based on an availability analysis, or disparity study, of qualified MBEs and WBEsin their relevant geographic buying market for construction, services, supplies and equipment The submission of proposed fair share goals with the supporting analysis or disparity study means that the recipient is not accepting the fair share objectives/goals of another recipient. The recipient agrees to submit proposed fair share objectives/goals, together with the supporting availability analysis or disparity study, to the Regional MBENVBE Coordinator within 120 days of its acceptance of the financial assistance award. EPA will respond to the proposed fair share objective/goals within 30 days of receiving the submission. If proposed fair share objective/goals are not received within the 120 day time frame, the recipient may not expend Its EPA funds for procurements until the proposed fair share objective/goals are submitted. SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C - Pursuant to 40 CFR, Section 33.301, the recipient agrees to make the following good faith efforts whenever procuring construction, equipment, services and supplies under an EPA financial assistance agreement, and to ensure that sub -recipients, loan recipients, and prime contractors also comply. Records documenting compliance with the six good faith efforts shall be retained: (a) Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities. For Indian Tribal, State and Local and Government recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are potential sources. (b) Make information on forthcoming opportunities available to DBEs and arrange time frames for contracts and establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation by DBEs in the competitive process. This indudes,.whenever possible, posting solicitations for bids or proposals for a minimum of 30 calendar days ttefore the bid or proposal closing date. (c) Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs. For Indian Tribal, State and local Government recipients, this will include dividing total requirements when economically feasible into smaller tasks or quantities to permit maximum participation by DBEs in the competitive process. (d) Encourage contracting with a consortium of DBEs when a contract Is too large for one of these firms to handle individually. (e) Use the services and assistance of the SBA and the Minority Business Development Agency of the Department of Commerce. (f) If the prime contractor awards subcontracts, require the prime contractor to take the steps in paragraphs (a) through (e) of this section. MBEIWBE REPORTiNu, 40 CFR, Part 33, Sections 33.502 and 's0.503 - The recipient agrees to complete and submit EPA Form 570052A, "MBE/WBE Utilization Under. Federal Grants, Cooperative Agreements and Interagency Agreements" beginning with the Federal fiscal year reporting period the recipient receives the award, and continuing until the project is completed. Only procurements with certified MBEMBEs are counted toward a recipient's MBEIWBE accomplishments. The reports must be submitted semiannually for the periods ending March 31 and September 30. The reports are due within 30 days of the end of the semiannual reporting periods (April 30 and October 30). Reports should be sent to ATTN: Grant Assistant. Final MBE/ BE reports must be submitted within 90 days after the project period of the grant ends. Your grant cannot be officially closed without all MBEiWBE reports. EPA Form 5700-52A may be obtained from the EPA Office of Small Business Program's Home Page on the Internet at www.epa.00v/osbo. CONTRACT ADMINISTRATION PROVISIONS, 40 CFR, Section 33.302 . The recipient agrees to comply with the contract administration provisions of 40 CFR, Section 33.302. BIDDERS LIST, 40 CFR, Section 33.501(6) and (c) - Recipients of a Continuing Environmental Program Grant or other annual reporting grant, agree to create and maintain a bidders list. Recipients of an EPA financial assistance agreement to capitalize a revolving loan fund also agree to require entities receiving identified loans to create and maintain a bidders list if the recipient of the loan is subject to, or chooses to follow, competitive bidding requirements.. Please see 40 CFR, Section 33.501 (b) and (c) for specific requirements and exemptions. Programmatic Conditions 1. L GENERAL FEDERAL REQUIREMENTS NOTE: For the purposes of these Terms and Conditions the term 'assessment' includes, eligible activities under the Comprehensive Environmental Response, Compensation, and Liability Act (CFRCLA) 104(k)(2)(A)(1) anr:h asactivitiesJnvolvJng1heJnventogr, cbarecteazationr-essessment, and planning relating to brownfieid sites as described in the EPA approved work play. A. Federal Policy and Guidance 1. a. Cooperative Agreement Recipients: By awarding this cooperative agreement, EPA has approved the proposal for the Cooperative Agreement Recipient (CAR) submitted in the Fiscal Year 2011 competition for Brownfierds assessment cooperative agreements. However, the CAR may not expend ("draw down") funds to carry out this agreement until EPA's award official approves the final work plan. b. In implementing this agreement, the CAR shall ensure that work done with cooperative agreement funds complies with the requirements of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) 104(k). The CAR shall also ensure that assessment activities supported with cooperative agreement funding comply with all applicable Federal and State laws and regulations. c. The recipient must comply with Federal cross -cutting requirements. These requirements include but am not limited to, MBE/WBE requirements found at 40 CFR Part 33; OSHA Worker Health & Safety Standard 29 CFR 1910.120; the Uniform Relocation Act National Historic Preservation Act; Endangered Species Act and Permits required by Section 404 of the Clean Water Act Executive Order 11246, Equal Employment Opportunity, and implementing regulations at 41 CFR 60-4; Contract Work Hours and Safety Standards Act, as amended (40 USC 327-333) the Anti Kickback Act (40 USC 276c) and Section 504 of the Rehabilitation Act of 1973 as implemented by Executive Orders 11914 and 11250. d. The CAR must comply with Davis -Bacon Act prevailing wage requirements and associated U.S. Department of Labor (DOL) regulations for all construction, alteration and•repair contracts and.subcontracts awarded with funds provided under this agreement Activities conducted under assessment grants generally do not involve construction, alteration and repair within the meaning of the Davis-Bacon Act. The recipient must contact EPA's Project Officer if there are unique circumstances (e.g. removal of an underground storage tank br another structure and restoration of the site) which Indicate that the Davis-Bacon Act applies to an activity the CAR intends to carry out with funds provided under this agreement. The Agency will provide guidance on Davis-Bacon Act compliance if necessary. B. Eligible Brownfields Site Determinations 1. a. The CAR must provide information to EPA about site-specific work prior to incurring any costs under this cooperative agreement for sites that have not already been pre -approved in the CAR's work plan by the EPA. The information that must be provided Includes whether or not the site meets the definition of a brownfield site as defined in §101(39) of CERCLA, the identity of the owner, and the date of acquisition. b. If the site is excluded from the general definition of a brownfield, but is eligible for a property -specific funding determination, then the CAR must provide information sufficient for EPA to make a property -specific funding determination; The CAR must provide sufficient Information on how financial assistance will protect human health and the environment, and either promote economic development or enable the creation of, preservation of, or addition to parks, greenways, undeveloped property, other recreational property, or other property used for nonprofit purposes. The CAR must not incur costs for assessing sites requiring a property -specific funding determination by EPA until the EPA Project Officer has advised the CAR that the Agency has determined that the property is eligible. • 2. a. For any petroleum contaminated browntield site that is not included in the CAR's EPA approved work plan, the CAR shall provide sufficient documentation to the EPA prior to incurring costs under this cooperative agreement which includes (see the latest version of EPA's Proposal Guidelines for BrownfieldsAssessment Grants dated August 2010 for discussion of this element) documenting that (1)s State has determined that the petroleum site is of relatively low risk, as compared to other -petroleum only-sites-lntheState, (2) the State determines there is'no viable responsible party for the site; (3) the State determines that the person assessing or investigating the site is a person who Is not potentially liable for cleaning up the site; and (4) the site is not subject to any order issued under section 9003(h) of the Solid Waste Disposal Act This documentation must be prepared by the CAR or the State following contact and discussion with the appropriate petroleum program official. b. Documentation must include (1) the identity of the State program official contacted, (2) the State official's telephone number, (3) the date of the contact, and (4) a summary of the discussion relating to the state's determination that the site Is of relatively low risk, that there is no viable responsible party and that the person assessing or investigating the site is not potentially liable for cleaning up the site. Other documentation provided by a State to the recipient relevant to any of the determinations by the State must also be provided to the EPA Project Officer. c. If the State chooses not to make the determinations described in 2.a. above, the CAR must contact the EPA Project Officer and provide the information necessary for EPA to make the requisite determinations. - d. EPA will make all determinations on the eligibility of petroleum -contaminated brownfieids sites located on tribal lands (Le., reservation lands or lands otherwise in Indian country, as defined at 18 U.S.C. 1151). Before incurring costs for these sites, the CAR must contact the EPA Project Officer and provide the information necessary for EPA to make the determinations described in 2.a. above. IL GENERAL COOPERATIVE AGREEMENT ADMINISTRATIVE REQUIREMENTS A. Tenn of the Agreement 1. The term'of this agreement is three years from the date of award, unless otherwise extended by EPA at the CAR's request. 2. if after 18 months from the date of award, EPA determines that the CM has not made sufficient progress in implementing its cooperative agreement, the recipient must implement a corrective action plan approved by the EPA PO or EPA may terminate this agreement for material non-compliance with its terms. For purposes of assessment grants, the recipient demonstrates °sufficient progress° when 35% of funds have been drawn down and obligated to eligible activities; for assessment coalition grants 'Sufficient progress• is demonstrated when a solicitation for services has been released, sites are prioritized or an inventory has been initiated 11 necessary, community involvement activities have been Initiated and a Memorandum of Agreement is in place. . 3. The recipient agrees that EPA may terminate this assistance agreement for failure to continually make sufficient progress so as to reasonably ensure completion of the project within the project period including any extensions. The EPA Project Officer will measure sufficient progress by examining the performance required under the workplan in conjunction with the milestone schedule, the time remaining for performance within the project period, and/or the availability of funds necessary to complete the project . . 4. Assessment funding for an eligible brownfield site may not exceed $200,000 unless a waiver has been granted by EPA.. Following the granting of a waiver, funding is not to exceed $350,000 at the site. B. Substantial Involvement 1. The EPA may be substantially involved in overseeing and monitoring this cooperative agreement. a. Substantial involvement by EPA generally includes administrative activities such as monitoring, reviewing project phases, and approving substantive terms included in professional services contracts. b. Substantial EPA Involvement also includes brownfieids property -specific funding determinations described in I.B. under Eligible BrownfiekisSite Detemnnationsabove. If the CAR awards a subgrant for site assessment, the CAR must obtain technical assistance from EPA on which sites qualify as a brownfield site and determine whether the statutory prohibition found in section 104(k)(4)(B)(i)(IV) of CERCLA applies. This prohibition precludes the subgrantee from using EPA funds to assess a site for which the subgrantee is potentially liable under §107 of CERCLA. (See Section II.C.3 for more information on subgrants.) c. Substantial EPA involvement may include reviewing financial and environmental status reports; and monitoring all reporting, record-keeping, and other program requirements. d. EPA may waive or modify any of the provisions in term and condition 118.1., with the exception of property -specific funding determinations, through advice to the recipient. 2. Effect of EPA's substantial involvement Includes:. a EPA's review of any project phase, document, or cost incurred under this cooperative agreement, will net have any effect upon CERCLA §128 E/igib/e Response Site determinations or rights, authorities, and actions under CERCLA or any Federal statute. b. The CAR remains responsible for ensuring that all assessments are protective of human health and the environment and comply with ail applicable Federal and State laws. c. The CAR and its subgrantees remain responsible for incurring costs that are allowable under the applicable OMB Circulars. C. Cooperative Agreement Recipient Roles and Responsibilities 1. The CAR must acquire the services of a qualified environmental professionals) to coordinate, direct, and oversee the brownfields assessment activities at a particular site, if they do not have such a professional on staff. 2. The CAR is responsible for ensuring that contractors and subgrant recipients comply with the terms of their agreements with the CAR, and that agreements between the CAR and subgrant recipients and contractors comply with the terms and conditions of this agreement. 3. Subgrants are defined at 40 CFR 31.3. The CAR may not subgrant to for-profit organizations. The CAR must obtain commercial services and products necessary to carry out this agreement under competitive procurement procedures as described in 40 CFR 31.36. In addition, EPA policy encourages awarding subgrants competitively and the CAR must consider awarding subgrants through competition. 4. The CAR Is responsible for assuring that EPA's Brownfields Assessment Grant funding received under this grant, or in combination with any other previously awarded Brownfields Assessment grant does not exceed the $200,000 assessment grant funding limitation for an Individual brownfield site. Waiver of this funding limit for a brownfields site must be approved by EPA prior to the expenditure of funding exceeding $200,000. In no case may EPA funding exceed $350,000 on a site receiving a waiver. 5. CARs expending funding from a community -wide assessment grant on a particular site must Include such funding amount in any total funding expended oh the site. D. Quarterly Progress Reports 1. The CAR must submit progress reports electronically on a quarterly basis to the EPA Project Officer uartedy-p de: a.. Summary of approved activities performed during the reporting quarter, summary of the performance outputs/outcomes achieved during the repining quarter, a description of problems encountered during the reporting quarter that may affect the project schedule and a discussion of meeting the performance outputs/outcomes. b. An update on project schedules and milestones. c. A list of the properties where assessment activities were performed and/or completed during the reporting quarter. d. A budget recap summary table with the following information: current approved project budget costs incurred during the reporting quarter, costs incurred to date (cumulative expenditures); total remaining funds and draws submitted during the reporting quarter. 2. The CAR must maintain records that will enable it to report to EPA on the amount of funds expended on specific properties under this cooperative agreement. 3. In accordance with 40 CFR 31.40(d), the CAR agrees to inform EPA as soon as problems, delays, or adverse conditions become known which will materially impair the ability to meet the outputs/outcomes specified in the approved work plan. E. Property Profile Submission The CAR must report on interim progress (i.e., assessment started) and any final accomplishments (Le., assessment completed, cleanup required, contaminants, Institutional Controls, Engineering Controls) by completing and submitting relevant portions.of the current approved Property Profile Form using the Brownfields Program on-line reporting system, known as Assessment, Cleanup and Redevelopment Exchange System (ACRES). The CAR must enter the data in ACRES as soon as the interim action or final aci..omplishment has occurred, or within 30 days after the end of each reporting quarter. EPA will provide the CAR with training prior to obtaining access to ACRES. The training is required to obtainaccess to ACRES. The CAR must use the ACRES system unless approval is obtained from the regional Project Officer to submit data using the Property Profile Form F. Final Report The CAR must submit a final performance report electronically within 90 days after the end of the project period. The final report may be submitted in lieu of a final quarterly report with the approval of the EPA project officer. The final report shall Include the site names, the work performed at each site. and how much was spent ateach site. It should also provide information that documents the outreach efforts by the CAR and other activities that explain how the funding was expended. G. Work Product and Report Submission Format Work products and reports provided to EPA in accordance with this agreement shall be submitted In an electronic forrhat acceptable to EPA, unless otherwise approved by the EPA project officer. Current acceptable formats include Microsoft WORD, Microsoft EXCEL or Portable Document Format (PDF). III. FINANCIAL ADMINISTRATION REQUIREMENTS A. Eligible Uses of the Funds for the Cooperative Agreement Recipient 1. To the extent allowable under the work plan, cooperative agreement funds may be used for eligible programmatic expenses to inventory, characterize, assess, and conduct planning and outreach. Eligible programmatic expenses include activities described in Section IV of these Terms and Conditions. In addition, such eligible programmatic expenses may include: a. Determining whether assessment activities at a particular site are authorized by CERCLA 104(k); b. Ensuring that an assessment complies with applicable requirements under Federal and State laws, as required by CERCLA 104(k); c. Using a portion of the grant to purchase environmental insurance for the characterization or assessment of the site. Funds may not be used to purchase insurance intended to provide coverage for any of the Ineligible Uses under Section 111.8. d. Any other eligible programmatic costs including direct costs incurred by the recipient in reporting to EPA; procuring and managing contracts; awarding and managing subgrants to the extent allowable under III. B. 2.; and carrying out community involvement pertaining to the assessment activities_ B. Ineligible Uses of the Funds for the Cooperative Agreement Recipient 1. Cooperative agreement funds shall not be used by the CAR for any of the following activities: a. Cleanup activities; b. Development activities that are not brownfields assessment activities (e.g., construction of a new facility); c. Job training unrelated to performing a specific assessment at a 'site covered by the grant; d. To pay fora penalty or fine; e. To pay a federal cost share requirement (for example, a cost -share required by another Federal grant) unless there is specific statutory authority; f. To pay for a response cost at a brownfields site for which the recipient of the grant or subgrant Is potentially liable under CERCLA §107; g. To pay a cost of compliance with any federal law, excluding the cost of compliance with laws applicable to the assessment; and h. Unallowable costs (e.g., lobbying and fund raising) under applicable OMB Circulars. 2. Under CERCLA 104(k)(4)(B), administrative costs are prohibited costs under this agreement Prohibited 'administrative costs include all indirect costs under applicable OMB Circulars. a. Ineligible administrative costs Include costs incurred in the form of salaries, benefits; contractual costs, supplies, and data processing charges, incurred to comply with most provisions of the Unitary Administrative Requirements for Grantscontained in 40 CFR Part 31. Direct costs for grant administration, with the exception of costs specifically Identified as eligible programmatic costs, are ineligible even if the grant recipient is required to carry out the activity under the grant agreement b. Ineligible grant administration costs include direct costs for: (1) Preparation of applications for brownfields grants; (2) Record retention required under 40 CFR 31.42 (3) Record-keeping associated with supplies and equipment purchases required under 40 CFR 31.32 and 31.33; (4) Preparing revisions and changes in the budgets, scopes of work, program plans and other activities required under 40 CFR 31.30; (5) Maintaining and operating financial management systems required under 40 CFR 31; (6) Preparing payment requests and handling payments under 40 CFR 31.21; (7) Non-federal audits required under 40 CFR 31.26 and OMB CircularA-133; and (8) Close out under 40 CFR 31.50. 3. Cooperative agreement funds may not be used for any of the following properties: a. Facilities listed, or proposed for listing, on the National Priorities List (NPL); b. Facilities subject to unilateral administrative orders, court orders, administrative orders on consent or judidal'consent decree issued to or entered by parties under CERCLA; c. Facilities that are subject to the jurisdiction, custody or control of the United States government except for land held in trust by the United States government for an Indian tribe; or . d. A site excluded from the definition of a brownfields site for which EPA has not made a property-specfic funding determination. 4. The CAR must not include management fees or similar charges In excess of the direct costs or at the rate provided for by the terms of the agreement negotiated with EPA. The term -management fees or similar charges' refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar costs that are not allowable under EPA assistance agreements. Management fees or similar charges may not be used to improve or expand the project funded under this agreement, except to the extent authorized as a direct cost of carrying out the scope of work. C. Interest -Bearing Accounts and Program Income 1. In accordance with 40 CFR 31.25(g)(2), the CAR is authorized to add program Income to the funds awarded by the EPA and use the program income under the same terms and conditions of this agreement Program income for the assessment CAR shall be defined as the gross Income received by the recipient, directly generated by the cooperative agreement award or earned during the period of the award. Program income includes, but is not limited to, fees charged for conducting assessment, site characterizations, clean up planning or other activities when the costs for the activity is charged to this agreement 2. The CAR must deposit advances of grant funds and program income (Le. fees) In en interest bearing account For interest eamed on advances, CARs are subject to the provisions of 40 CFR §31.21Q) to remitting interest on advances to EPA on a quarterly basis. . b. Interest eamed on program income is considered additional program income. c. The CAR must disburse program income (including interest earned on program income) before requesting additional payments from EPA as required by 40 CFR 31.21(f). IV. ASSESSMENT ENVIRONMENTAL REQUIREMENTS A. Authorized Assessment Activities Prior to conducting or engaging in any on-site activity with the potential to impact historic properties (such as invasive sampling), the CAR shall consult with EPA regarding potential applicability of the National Historic Preservation Act and, if applicable, shall assist EPA in complying with any requirements of the Act and Implementing regulations. B. Quality Assurance (QA) Requirements 1. When environmental samples are collected as part of the brownfields assessment, the CAR shall comply with 40 CFR Part 31.45 requirements to develop and implement quality assurance practices sufficient to produce data adequate to meet pg eectobjectives and to minimize data bss. State law may impose additional QA requirements: 2. Individual or generic Quality Assurance Project Plans (QAPPs) for activities within the scope of thls agreement must be submitted for EPA approval prior to the collection of environmental data and samples. EPA may request assistance from a state program with the review and approval of QAPPs for non -state EPA CARs. For this to occur, the state program must be authorized through an approved Quality Management Plan (QMP), to review and approve QAPPs in lieu of EPA Review and approval of non -state EPA brownfields CAR QAPPs by a state program will be limited to those instances where there is mutual agreement among the parties.involved (the state, EPA, and the CAR), and the non -State EPA CAR agrees to participate in and follow the guidelines established within the State Response Program. Oversight of the state's QAPP approval process for Brownfields will be part of the Management Systems Review (MSR) process described in EPA Region 7s QMP. Ail QA documents will be prepared in accordance with current EPA requirements as defined in EPA Requirements for Quality Assurance Project Plans: EPA QA/R-5 (EPA/240/B-01/003, March 2001) and Guidance for Quality Assurance Project Plans EPA QA/G-5 (EPA/240/R-02/009, December 2002) or their subsequent revision. C. Completion of Assessment Activit The CAR shall property document the completion of all activities described in the EPA approved work plan. This must be done through a final report or letter from a qualified environmental professional, or other documentation provided by a State or Tribe that shows assessments are complete. D. All Appropriate Inquiry 1. As required by CERCLA §104(k)(2)(B)Qi) and CERCLA §101(35)(6), the CAR shall ensure that a Phase I site characterization and assessment carded out under this agreement will be performed in accordance with EPA's standard for all appropriate inquiries. The CAR shall utilize the practices in ASTM standard E1527-05 'Standard Practices for Environmental Site Assessment: Phase I Environmental Site Assessment Process; or EPA's All Appropriate Inquiries Final Rule 'All Appropriate Inquiries Rule: Reporting Requirements and Suggestions on Report Content, (Publication Number. EPA 560 -F -O6-244). This does not prelude the use of grant funds for additional site characterization and assessment activities that may be necessary to characterize the environmental impacts at the site or to comply with applicable State standards. 2. All Appropriate Inquiries (MI) final reports produced with'funding from this agreement must comply with 40 C.F.R. Part 312 and must, at a minimum, Include the information below. The recipient must complete, sign and date a Reporting Requirements Cheddist" for each AAI report conducted under this agreement. M AAI reports submitted to EPA Project Officers as work products under this agreement should be accompanied by a completed cheddist The EPA's Project Officer will provide a copy of the cheddist to the recipient. The checklist also is available to grantees on the EPA website at www.epa.gov/brownftelds. 1. An opinion as to whether the inquiry has identified conditions indicative of releases or threatened releases of hazardous substances, and as applicable, pollutants and contaminants, petroleum or petroleum products, or controlled substances, on, at, in, or to the subject property. 2. An Identification of "signh9cant"data gaps (as defined in 40 C.F.R. 312.10), If any, in the information collected for the Inquiry. Significant data gaps Include missing or unattainable information that affects the ability, of the environmental professional to identify conditions indicative of releases or threatened releases of hazardous substances, and as applicable, pollutants and contaminants, petroleum or petroleum products, or controlled substances, on, at, in, or to the subject property. The documentation of significant data gaps must include information regarding the significance of these data gaps. . 3. Qualifications and signature of the environmental professional(s). The environmental professienal-must-place-tile-fallowing-statementsin-the-deeumenf and sign tho document: 7, WeJ declare that, to the best of(my, our/professional know/edge and belief, Jct, weJmeet the definition of Environmental Professional as defined in §312.10 of this part." [!, WeJ have the specific qualifications based on education, training, and experience to assess a property of the nature, history, and setting of the subject properly. /1, We/ have developed and performed the all appropriate inquiries in. conformance with the standards and practices set forth in 40 CFR Part 312" Note: Please use either 1" or 'We.' 4. In compliance with §312.31(b), the environmental professional must Indude in the final report an opinion regarding additional appropriate investigation, if the environmental professional has such an opinion. EPA may review checklists and AAI final reports for compliance with the MI regulation documentation requirements at 40 CFR part 312 (or comparable requirements for those using ASTM Standard 1527-05). Any deficiencies identified during an EPA review of these documents must be corrected by the recipient within 30 days of notification. Failure to correct any identified deficiencies may result In EPA disallowing the costs fortheentire AAI report as authorized by 40 CFR 31.43(a)(2). If a recipient willfully fails to correct the deficiencies the Agency may consider other available remedies under 40 CFR 31.43 and 2 CFR Part 180. V. Conflict of interest Appearance of lack of Impartiality A. Conflict of interest 1. The CAR shall establish and enforce conflict of interest provisions that prevent the award of subgrants that create real or apparent personal conflicts of interest or the CAR's appearance of lack of impartiality. Such situations include, but are not limited to, situations in which an employee, official, consultant, contractor, or other individual associated with the CAR, (affected party) approves or administers a grant or subgrant to a subgrant recipient In which the affected party has a financial or other interest. Such a conflict of interest or appearance of lack of impartiality may arise when: (1) The affected party, (h') Any member of his immediate family, (iii) His or her partner, or (iv) An organization which employs, or Is about to employ, any of the above, has a financial or other interest in the subgrant recipient Affected employees will neither solicit nor accept gratuities, favors, or anything of monetary value from subgrant recipients. Recipients may set minimum rules where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. To'the extent permitted by State or local law or regulations, such standards of conduct will provide for penalties, sanctions, or other disciplinary actions for violations of such standards by affected parties. VI. PAYMENT AND CLOSEOUT A. Payment Schedule 1. The CAR may request payment from EPA pursuant to 40 CFR §31.21(c). 2. Payment information is provided to the CAR by the Las Vegas Finance Center. The CAR shall contact the EPA Las Vegas Finance Center, P.O. Box 98515. Las Vegas. Nevada 89193-8515, (702) 798-2426, FAX (702) 798-2423 for answers to questions regarding fors utilized to drawdown funds under this cooperative agreement B. Schedule for Closeout 1. Closeout will be conducted in accordance with 40 CFR 31.50. EPA will close out the award when it determines that all applicable administrative actions and all required work of the grant have been completed. 2. The CAR, within 90 days after the expiration or termination of the grant, must submit all financial, performance, and other reports required as a condition of the grant. a. The CAR must submit the following documentation: 1. The Final Report as described in II.F. 2. A Final Federal Financial Report (FFR - SF425). Submitted to: U.S. EPA Las Vegas Finance Center P.O. Box 98515 Las Vegas, NV 89193-8515 Fax (702) 798-2423 http://www.epa.goviocfoffinservices/payinfo.hrml 3. A Final MBEIWBE Report (EPA Form 5700-52A), submitted to the regional office. b. -The CAR must ensure that all appropriate data has been entered into ACRES or all Property Profile Forms are submitted to the Region. c. The grantee must immediately refund to the Federal agency any balance of unobligated (unencumbered) cash advanced that is not authorized to be retained for use on other grants. 2. Reciplent agrees to comply with the following when selecting sub -recipients and establishing sub -awards: a) to establish all sub -award agreements in writing; b) to maintain primary responsibility for ensuring successful completion of the EPA -approved project (this responsibility cannot be delegated or transferred to a sub -recipient); c) to ensure that any sub-award(s) comply with the standards in Section 210(a) -(d) of OMB Circular 4133 and will not be used to acquire commercial goods or services for the recipient; d) to ensure that any sub-award(s) are awarded to eligible sub -recipients) and that proposed sub -award costs are necessary, reasonable, and allocable; e) to ensure that any sub -awards) to 501(c)(4) organizations do hot involve lobbying activities; f) to monitor the performance of the sub-recipient(s) and ensure that they comply with all applicable regulations, statutes, and terms and conditions which flow down in the sub -award; g) to obtainthe appropriate consent from the EPA Project Officer prior to making a sub -award to a foreign or international organization, or a sub -award to be performed in a foreign country; and h) to obtain prior approval from the EPA Project Officer for any new sub- ward-work-that-is-nat-oudined-in-the-approved-work-planin-ac-eerdan„zW h "...40 CFP Parts 30.25 and 31.30, as applicable. Recipient agrees that any questions about the eligibility of a sub -recipient or -other issues pertaining to the sub-award(s) will be addressed to the recipient's EPA Project Officer listed on the first page of your assistance award or assistance amendment document. Recipient agrees to be responsible for selection of any sub-recipient(s) and, if applicable, for conducting sub -award competitions. Additional information regarding sub -awards may be found at htto://www.eparrov/ood/quide/subaward-policv-Dart-2.odf. Guidance for distinguishing between vendor and sub -recipient relationships and ensuring compliance with Section 210(a) -(d) of OMB Circular 4133 may be found at htta://www.epagov/ogd/guide/subawards-appendix-b.pdf http://www.whitehouse.gov/omb/financial fin single audit