HomeMy WebLinkAboutUS Environmental Protection Agency - Brownfields Hazardous Assessment - 10/9/2006 is -q-aZ
BF-98776801 -0 Page 1
ASSISTANCE ID NO.
���0 5Tgr� DOC ID AMEN09/18/2006
PRG D# DATE OF AWARD
0 fi U.S. ENVIRONMENTAL
BF - 98776801 - 0
PROTECTION AGENCY TYPE OF ACTION MAILING DATE
New 09/25/2006
PAYMENT METHOD: ACH#
�{ Cooperative Agreement ACH 7534
RECIPIENT TYPE: Send Payment Request to:
U.S. Environmental Protection Agency-Las Vegas Finance Center
Municipal P.O. Box 98515, Las Vegas, NV 89193-8515
Phone Contact:702-798-2431 FAX:702-798-2423
RECIPIENT: PAYEE:
CSame as Recipient
City of Waterloo
715 Mulberry Street
Waterloo,
Mulberry Street
Waterloo, IA 50703 Waterloo, IA 50703
EIN: 42-6005327 EPA GRANT SPECIALIST
PROJECT MANAGER EPA PROJECT OFFICER
Stephanie Doolan Robert a
ty
mMa
Donald Te
eyer Grants Management Office, PLMG/RFMB
715 Mulberry Street 901 North Fifth Street
Waterloo, IA 50703 Kansas City, KS 66101 E-Mail: Bukaty.Robert@epamail.epa.gov
E-Mail: don.temeyer@waterloo-ia.org E-Mail: Doolan.Stephanie@epamail.epa.gov Phone:913-551-7846
Phone:319-291-4366 Phone:913-551-7719
PROJECT TITLE AND DESCRIPTION
Waterloo Brownfields Hazardous Assessment
r the assessment of hazardous substances contamination at various industrial and commercial
Assistance funding is awarded to the City of Waterloo fo
properties in the target area identified by the cooperative agreement recipient in its work plan.
BUDGET PERIOD PROJECT PERIOD TOTAL BUDGET PERIOD COST TOTAL PROJECT PERIOD COST
10/01/2006 - 09/30/2008 10/01/2006 - 09/30/2008 $200,000.00 $200,000.00
NOTICE OF AWARD
Based on your application dated 07/14/2006,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 may be 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 all pages of this agreement to the Grants Managementcelited flow within
r21 dlays after
receipt,or any extension of time,as may be granted by EPA. This agreement is subject to applicable EPA statutory provisions.
provisions are 40 CFR Chapter 1, Subchapter B,and all terms and conditions of this agreement and any attachments.
ISSUING OFFICE(GRANTS MANAGEMENT OFFICE) AWARD APPROVAL OFFICE
ORGANIZATION 1 ADDRESS !Kansas
ANIZATION/ADDRESS
Grants Management Office EPA,Region 7
901 North Fifth Street rfund Division
Kansas City,KS 66101 orth Fifth Street
City, KS 66101
THE UNITED STATES OF AMERICA BY THE US.ENVIRONMENTAL PROTECTION AGENCY
SIGNATURE OF AWARD F IAL TYPED NAME AND TITLE DATE
Z ' I Karen L.Sherrill,Grants Management Officer 09/18/2006
AFFIRMATION OF AWARD
BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
SIGNAT TYPED NAME AND TITLE DATE
/Z>-
Timothy J. Hurley,Mayor
EPA Funding Information BF-98776801 -0 Paget
FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL
EPA Amount This Action $ S 200.000
$200,000
EPA In-Kind Amount $ S $ 0
Unexpended Prior Year Balance S $ $0
Other Federal Funds S $ $0
Recipient Contribution $ $ $0
State Contribution $ S $0
Local Contribution S $ $0
Other Contribution S $ $0
Allowable Project Cost S 0 S200,000 $200,000
Assistance Program(CFDA) Statutory Authority Regulatory Authority
66.818-Brownfields Assessment and Cleanup CERCLA: Sec. 101(39) 40 CFR PART 31
Cooperative Agreements CERCLA:Sec. 104(k)(2)
Fiscal
Site Name DCN FY Approp. Budget PRC Object Site/Project Cost Obligation/
Code Organization Class Organization Deobligation
716315 2006 E4 0700AG7 402D79E 4114 G700NY00 200,000
200,000
BF-98776801 -0 Page 3
Budget Summary Page
Table A-Object Class Category Total Approved Allowable
(Non-construction) Budget Period Cost
1.Personnel $25,000
2. Fringe Benefits $0
3.Travel $3,000
4.Equipment $0
5.Supplies $2,000
6.Contractual $170,000
7.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 $200,0$0
0
13.Program Income $
U.Total EPA Amount Awarded This Action $200,000
15.Total EPA Amount Awarded To Date $200,000
Administrative Conditions BF-98776801 -0 Page 4
1. The recipient agrees to comply with Title 40 CFR Part 34, New Restrictions on Lobbying . The
recipient shall include the language of this provision in award documents for all subawards
exceeding $100,000, and require that subrecipients submit certification and disclosure forms
accordingly.
In accordance with the Byrd Anti-Lobbying Amendment, any recipient who makes a prohibited
expenditure under Title 40 CFR Part 34 or fails to file the required certification or lobbying forms
shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such expenditure.
2. 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.
As mandated by this Act, the recipient agrees to provide certification to the award official via EPA
Form 5700-53, Lobbying and Litigation Certificate , within 90 days after the end of project period.
The form can be accessed at http://www.epa.gov/ogd/forms/adobe/5700-53.pdf.
Recipient agrees to comply with the respective OMB Circular(A-21, A-87, or A-122),
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.
3. Recipient agrees to comply with Executive Order 13202 (Feb. 22, 2001, 66 Fed.
Reg. 11225 )of February 17, 2001, entitled "Preservation of Open Competition and Government
Neutrality Towards Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects,"as amended by Executive Order 13208 (April 11, 2001, 66 Fed. Reg.
18717)of April 6, 2001, entitled "Amendment to Executive Order 13202, Preservation of Open
Competition and Government Neutrality Towards Government Contractors' Labor Relations on
Federal and Federally Funded Construction Projects."
4. Recipient agrees to fully comply with Subpart C of 40 CFR Part 32, entitled"Responsibilities of
Participants Regarding Transactions." Recipient must ensure that any lower tier covered
transaction, as described in Subpart B of 40 CFR Part 32, 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 may access the Excluded Parties List System at www.er)ls.gov.
5. 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.
6. The recipient agrees to comply with the requirements for EPA's Program for Utilization of Small,
Minority and Women's Business Enterprises in procurement under assistance agreements:
(a) Except as otherwise provided, the recipient accepts the applicable FY 2005 Minority Business
Enterprise (MBE)/Womens Business Enterprise (WBE)"fair share"goals/objectives negotiated
with EPA by the Iowa Department of Natural Resources (IDNR)as follows:
IDNR MBE WBE
Supplies 0.6% 05.6%
Equipment 2.5% 10.4%
Services 2.5% 11.3%
Construction 1.7% 02.2%
(b)(1)The recipient agrees to ensure, to the fullest extent possible, that at least the applicable "fair
share" objectives of Federal funds for prime contracts or subcontracts for supplies, construction,
equipment or services are made available to organizations owned or controlled by socially and
economically disadvantaged individuals,women and Historically Black Colleges and Universities.
(2) For assistance agreements related to research under the Clean Air Act Amendments of 1990,
the recipient agrees to ensure, to the fullest extent possible, that at least the applicable"fair
share" objectives of Federal funds for prime contracts or subcontracts for supplies, construction,
equipment or services are made available to organizations owned or controlled by socially and
economically disadvantaged individuals,women, disabled Americans, Historically Black Colleges
and Universities, Colleges and Universities having a student body in which 40%or more of the
students are Hispanic, minority institutions having a minority student body of 50% or more, and
private and voluntary organizations controlled by individuals who are socially and economically
disadvantaged.
(c)The recipient agrees to include in its bid documents the applicable"fair share" objectives of
Federal funds and require all of its prime contractors to include in their bid documents for
subcontracts the negotiated "fair share" percentages.
(d)The recipient agrees to follow the six affirmative steps stated in 40 CFR§30.44(b), 40 CFR
§31.36(e), or 40 CFR§35.6580, as appropriate, and retain records documenting compliance.
(e)The recipient agrees to submit an EPA form 5700-52A"MBE/WBE Utilization Under Federal
Grants, Cooperative Agreements and Interagency Agreements," beginning with the Federal fiscal
year quarter the recipient receives the award and continuing until the project is completed. These
reports must be submitted to the EPA, MBE/WBE Coordinator,within 30 days of the end of the
Federal fiscal quarter(January 30,April 30, July 30, and October 30). For assistance awards for
continuing environmental programs and assistance awards with institutions of higher education,
hospitals and other non-profit organizations,the recipient agrees to submit an EPA form 5700-52A
to the EPA, MBE/WBE Coordinator, by October 30 of each year.
(f) If race and /or gender neutral efforts prove inadequate to achieve a "fair share"objective, the
recipient agrees to notify EPA in advance of any race and/or gender conscious action it plans to
take to more closely achieve the"fair share"objective.
(g) Non-governmental recipients that wish to negotiate their own MBE/WBE goals must submit
proposed MBE/WBE goals based on an availability analysis, or, at their option, a disparity study,
of qualified MBEs and WBEs to do the work in the relevant market for construction, equipment,
services, and supplies. The recipient agrees to submit proposed "fair share"objectives, together
with the supporting availability analysis or disparity study, to the EPA, MBE/WBE Coordinator,
within 30 days of award. EPA will conclude"fair share" negotiations within 30 days of receiving
the submission. Once EPA approves the objectives, the recipient agrees to apply them in
accordance with paragraphs (b)-(f).
(3) EPA may take corrective action under 40 CFR Parts 30, 31, and 35, as appropriate, if the
recipient fails to comply with these terms and conditions.
7. The Recipient agrees, in accordance with EPA Order 1000.25 and Executive Order
13101, Greening the Government Through Waste Prevention, Recycling, and Federal Acquisition,
to use recycled paper 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 requires 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.
8. Recipient agrees to provide the following financial and programmatic reports:
1. Quarterly performance reports are due on all activities identified in the workplan,
including those performed by the Recipient through Interagency Agreements and
subagreements in accordance with 40 CFR 30.51 or 31.40(b); whichever is applicable.
These reports will contain at a minimum the requirements set forth in Programmatic
Condition, H. GENERAL COOPERATIVE AGREEMENT ADMINISTRATIVE
REQUIREMENTS, D. Quarterly Progress Reports.
These reports shall be due no later than 30 days after the end of each reporting period. The final
performance report is due within 90 days after the expiration of the project period.
2. Financial Status Reports (Standard Form 269)are due in accordance with 40 CFR
30.52 or 40 CFR 31.41(b); whichever is applicable. For programs or projects with a
project period in excess of one year a annual Financial Status Report will be due within 90
days after the grant year. Final reports will be due within 90 days after the expiration or
termination of grant support. Financial Status Reports must be submitted to the following
address: U.S. EPA- Las Vegas FC, P.O. Box 98515, Las Vegas, Nevada 89193-8515.
Programmatic Conditions
I. GENERAL FEDERAL REQUIREMENTS
A. Federal Policy and Guidance
1. a. Cooperative Agreement Recipients: In implementing this agreement, the cooperative
agreement recipient(CAR) shall insure 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.
b. CERCLA 104(g) requires that recipients comply with the prevailing wage rate
requirements under the Davis-Bacon Act of 1931 for construction, repair or alteration contracts
"funded in whole or in part"with funds provided under this agreement. If the CAR uses funds
awarded under this agreement to contract for construction, repair or alteration work, it must obtain
recent and applicable wage rates from the U.S. Department of Labor and incorporate them into
the construction, alteration or repair contract.
c. The recipient agrees to comply with Executive Order 13202 (Feb. 22, 2001, 66 Fed.
Reg. 11225) of February 17, 2001, entitled "Preservation of Open Competition and Government
Neutrality Towards Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects,"as amended by Executive Order 13208 (April 11, 2001, 66 Fed. Reg.
18717) of April 6, 2001, entitled "Amendment to Executive Order 13202, Preservation of Open
Competition and Government Neutrality Towards Government Contractors' Labor Relations on
Federal and Federally Funded Construction Projects.
d. The recipient must comply with Federal cross-cutting requirements. These
requirements include but are not limited to, MBE/WBE requirements found at 40 CFR 31.36(e) or
40 CFR 30.44(b); 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.
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 brownfield 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 forBrownfields Assessment, Revolving Loan Fund and Cleanup Grants for discussion
of this element):
(i) that a State has determined that the petroleum site is of relatively low risk, as
compared to other petroleum-only sites in the State,
(ii) that the State determines there is"no viable responsible party"for the site;
(iii) that 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
(iv) that 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 the identity of the State program official contacted, the
State official's telephone number, the date of the contact, and 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 a person who 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 must also make all determinations on the eligibility of petroleum contaminated
brownfield sites located on Indian tribal lands. Prior to 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. Term of the Agreement
1. The term of this agreement is two years from the start of the budget and project period, unless
otherwise extended by EPA at the CAR's request.
2. If after 1 years from the start of the budget and project period, EPA determines that the CAR has
not made sufficient progress in implementing its cooperative agreement, the Agency may
terminate this agreement.
3. Assessment funding for any eligible brownfield site may not exceed $200,000 unless a
waiver has been granted by EPA and then funding is not to exceed $350,000 at the site subject to
the waiver.
B. Substantial Involvement
1. The U.S. EPA may be substantially involved in overseeing and monitoring this
cooperative agreement.
a. Substantial involvement by the U.S. EPA generally includes administrative activities
such as: monitoring; review of project phases; and approval of substantive terms included in
professional services contracts.
b. Substantial EPA involvement also includes brownfields property-specific funding
determinations described in I.B. under Eligible Brownfieids Site Determinations above. 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 determining 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.
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 any of the provisions in term and condition II.B.1., with the exception of
property-specific funding determinations. EPA will provide waivers in writing.
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 Site determinations or
for 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 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 are consistent 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.
(Note: Cooperative Agreement Recipients 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 CAR must submit progress reports on a quarterly basis (30 days after the end of
each Federal fiscal quarter) to the EPA Project Officer. The progress reports must document
incremental progress at achieving the project goals and milestones. Quarterly progress reports
must include:
a. Documentation of progress at meeting performance outcomes/outputs, project
narrative, project time line and an explanation for any slippage in meeting established
output/outcomes.
b. An update on project milestones.
c. A budget recap summary page with the following headings: Current Approved Budget;
Costs Incurred this Quarter; Costs Incurred to Date; and Total Remaining Funds.
d. If applicable, quarterly reports must specify costs incurred at petroleum contaminated
brownfields sites.
e. Recipient quarterly reports must clearly identify which activities performed during the reporting
period were undertaken with EPA funds, and relate EPA-funded activities to the objectives and
milestones agreed upon in the work plan including a list of sites where assessment activities were
completed. To the extent consistent with the EPA approved work plan for this agreement,
activities undertaken with EPA funds to be included in quarterly performance and financial
reporting may include:
(i) Acres per property
(ii) Assessments started/completed
(iii) No cleanup required
(iv) Types of contaminants found
(v) Acres of greenspace to be created
(vi) Engineering/institutional controls required, what type and whether they are in place
(vii) Cleanup plans
(viii) Redevelopment underway
(ix) Funds leveraged
(x) Jobs leveraged
(xi) Health monitoring studies, insurance, institutional controls funded
2. The CAR must maintain records that will enable it to report to EPA on the amount of funds
expended on specific sites under this grant.
3. The CAR must maintain records that will enable it to report to EPA on the amount of funds
expended by the CAR at petroleum sites identified in the EPA approved scope of work.
4. The CAR must complete and submit relevant portions of the Property Profile Form reporting the
commencement of a Phase I assessment, the expenditure of$1,000 or more of grant funds at a
property or the completion of a property assessment. The CAR must submit the updated Property
Profile Form reflecting such events within 30 days after the end of the Federal fiscal quarter in
which the event occurred. The CAR may be provided access to an on-line reporting system by
the EPA Project Officer to perform their reporting requirements. Alternately, the CAR may
complete a hard copy version of the Property Profile Form available from their EPA Project Officer
or on-line at:
http://www.epa.gov/brownfields/pubs/rt)fforms.htm
5. In accordance with 40 CFR. § 31.40 (d), the recipient 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 assistance agreement work plan.
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 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.
2. Local Governments only. No more than 10% of the funds awarded by this agreement
may be used for brownfield program development and implementation (including monitoring of
health and institutional controls) as described in Task 3 of the EPA approved work plan. The CAR
must maintain records on funds that will be used to carry out Task 3 of its EPA approved work
plan to ensure that no more than 10% of its funds are used for brownfield program development
and implementation (including monitoring of health and institutional controls).
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 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 Uniform Administrative Requirements for Grants contained 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:
(i) Preparation of applications for Brownfields grants;
(ii) Record retention required under 40 CFR 31.42;
(iii) Record-keeping associated with supplies and equipment purchases required under 40
CFR 31.32 and 31.33;
(iv) Preparing revisions and changes in the budgets, scopes of work, program plans and
other activities required under 40 CFR 31.30;
i
(v) Maintaining and operating financial management systems required under 40 CFR 31;
(vi) Preparing payment requests and handling payments under 40 CFR 31.21;
(vii) Non-federal audits required under 40 CFR 31.26 and OMB Circular A-133; and
(viii) 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 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.
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 characterization, 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 (e.g., fees) in an
interest bearing account.
a. Interest earned 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.
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 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 samples. EPA may request assistance from a state program with the review and
approval of QAPPs for non-state EPA grantees. 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 grantee 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 grantee), and the non-state EPA grantee 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 7's QMP. All QA documents will be prepared in accordance
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 revisions.
C. Completion of Assessment Activities
1. 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)(ii) and CERCLA§101(35)(6) , 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. 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.
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:
(a)The affected party,
(b)Any member of his immediate family,
(c) His or her partner, or
(d)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.
Vl. PAYMENT AND CLOSEOUT
A. Payment Schedule
1. The CAR may request payment from EPA pursuant to 40 CFR §31.21(c).
B. Schedule for Closeout
1. Closeout will be conducted in accordance with 40 CFR 31.50.
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