HomeMy WebLinkAboutUS Environmental Protection Agency-Cooperative Agreement-06.01.2009 11 t4 , - /-o5
4 .
BF-97702701 -0 Page 1
ASSISTANCE ID NO.
csr U.S. ENVIRONMENTAL PRG DOC ID AMEND# DATE OF AWARD
,NrBF - 97702701 - 0 05/05/2009
PROTECTION AGENCY
TYPE OF ACTION MAILING DATE
New 05/12/2009
¢a Cooperative Agreement PAYMENT METHOD: ACH#
4Lcrs' ASAP 77534
RECIPIENT TYPE: Send Payment Request to:
Municipal U.S. Environmental Protection Agency-Las Vegas Finance Center
P.O. Box 98515, Las Vegas, NV 89193-8515
Phone Contact:702-798-2411, FAX: 702-798-2423
RECIPIENT: PAYEE:
City of Waterloo Same as Recipient
715 Mulberry Street 715 Mulberry Street
Waterloo, IA 50703 Waterloo, IA 50703
EIN: 42-6005327
PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST
Chris William Western Stephanie Doolan Robert Bukaty
715 Mulberry Street 901 North Fifth Street,AWMD/RCAP Grants Management Office, PLMG/RFMB/GRMS
Waterloo, IA 50703 Kansas City, KS 66101 E-Mail: Bukaty.Robert@epamail.epa.gov
E-Mail: chris.western@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
Chamberlain Manufacturing Company Site Cleanup
The City of Waterloo will complete environmental cleanup and coordination,conduct community outreach and conduct the asbestos remediation at the former
Chamberlain Manufacturing facility. This is a hazardous substances cleanup.
BUDGET PERIOD PROJECT PERIOD TOTAL BUDGET PERIOD COST TOTAL PROJECT PERIOD COST
05/15/2009 - 05/14/2012 105/15/2009 - 05/14/2012 I $240,000.00 $240,000.00
NOTICE OF AWARD
Based on your application dated 10/29/2008, 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 83.00%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 Management Office listed below within 21 days after
receipt,or any extension of time,as may be granted by EPA. This agreement is subject to applicable EPA statutory provisions. The applicable regulatory
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/ADDRESS ORGANIZATION/ADDRESS
Grants Management Office U.S. EPA, Region 7
901 North Fifth Street Superfund Division
Kansas City, KS 66101 901 North Fifth Street
Kansas City, KS 66101
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
SIGNATURE OF AWARD OFFICIAL TYPED NAME AND TITLE DATE
Digital signature applied by EPA Award Official 05/05/2009
Karen L.Sherrill,Grants Management Officer
AFFIRMATION OF AWARD
BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
SIGNATURE TYPED NAME AND TITLE DATE
Timothy J. Hurley, Mayor �� ��
EPA Funding Information BF-97702701 -0 Page 2
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
Other Federal Funds $ $ $0
Recipient Contribution $ $40,000 $40,000
State Contribution $ $ $0
Local Contribution $ $ $0
Other Contribution $ $ $0
Allowable Project Cost $0 $240,000 $240,000
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)(3)
Fiscal
Site Name Req No FY Approp. Budget PRC Object Site/Project Cost Obligation/
Code Organization Class Organization Deobligation
WATERLOO 0907W19060 09 E4C 0700AG7 402D79E 4114 G700OQ00 - 200,000
200,000
BF-97702701 -0 Page 3
Budget Summary Page
Table A-Object Class Category Total Approved Allowable
(Non-construction) Budget Period Cost
1. Personnel $18,000
2. Fringe Benefits $0
3.Travel $3,000
4. Equipment $0
5.Supplies $2,000
6.Contractual $217,000
7.Construction $0
8.Other $0
9.Total Direct Charges $240,000
10. Indirect Costs: % Base $0
11.Total(Share: Recipient 17.00% Federal 83.00%.) $240,000
12.Total Approved Assistance Amount $200,000
13. Program Income $0
14.Total EPA Amount Awarded This Action $200,000
15.Total EPA Amount Awarded To Date $200,000
BF-97702701 -0 Page 4
Administrative Conditions
1. 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 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.
2. 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."
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. The Environmental Protection Agency (EPA) participation in the salary rate (excluding
overhead and travel) paid to individual consultants retained by recipients or by a recipient's
contractors or subcontractors shall be limited to the maximum daily rate for Level IV of the
Executive Schedule (formerly GS-18), to be adjusted annually. This limit applies to consultation
services of designated individuals with specialized skills who are paid at a daily or hourly rate. As
of January 1, 2009, the limit is$587.20 per day and $73.40 per hour. The rate does not include
overhead or travel costs and the recipient may pay these in accordance with its normal travel
practices.
Sub-agreements with firms for services which are awarded using the procurement
requirements in 40 CFR Parts 30 or 31, as applicable, are not affected by this limitation unless the
terms of the contract provide the recipient with responsibility for the selection, direction, and
control of the individuals who will be providing services under the contract at an hourly or daily rate
of compensation. See 40 CFR 31.36(j)(2) or 30.27(b), as applicable.
5. 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 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
(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 MBE/WBE fair share objectives/goals. If the recipient wishes to
negotiate its own MBE/WBE 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 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 MBE/WBE 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 includes, whenever possible, posting solicitations for bids or pr JI u cils 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 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.
MBE/WBE 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 MBE/WBE
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/WBE
reports must be submitted within 90 days after the project period of the grant ends. Your
grant cannot be officially closed without all MBE/WBE 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.gov/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.
6. 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.gov.
7. The recipient agrees to an ongoing, good faith effort to maintain a drug-free
work place pursuant 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 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.
8. Recipient agrees to provide a Federal Cash Transaction Report, SF272 within
fifteen (15)working days following December 31, of any given calendar year. The SF 272 form
must be submitted to: U.S. EPA-Las Vegas FC, P.O. Box 98515, Las Vegas, NV 89193-8515.
Recipient agrees to provide a final Financial Status Report(SF-269 or SF269A) in
accordance with 40 CFR 30.52 or 40 CFR 31.41(b); whichever is applicable. The final Financial
Status Report will be due within ninety(90) calendar 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.
9. 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.
10. 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.
11. Recipient agrees if$500,000 or more in total Federal funds is expended in any fiscal year,
the recipient 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 submit a copy of the data
collection form SF-SAC and a Single Audit Report Package to the Federal Audit Clearinghouse.
For fiscal years 2002 to 2007 a printed copy of the completed SF-SAC and Single Audit Report
Package should be submitted to the following address:
Federal Audit Clearinghouse
1201 East 10th Street
Jeffersonville, IN 47132
Complete instructions for electronic submission of the SF-SAC and Single
Audit Report Package for fiscal years 2008 and later are located at the Federal Audit
Clearinghouse Web site:
http://harvester.census.gov/fac/
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 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
cleanup activities supported with cooperative agreement funding comply with all
applicable Federal and State laws and regulations. The CAR must ensure cleanups are
protective of human health and the environment.
b. The CAR must consider whether they are required to conduct cleanups under a State or
Tribal response program. If the CAR chooses not to participate in a State or Tribal
response program, then the CAR is required to consult with the Environmental Protection
Agency (EPA) to ensure the proposed cleanup is protective of human health and the
environment.
2. A term and condition or other legally binding provision shall be included in all agreements entered
into with the funds, or when funds awarded under this agreement are used in combination with
non-Federal sources of funds, to ensure that recipients comply with all applicable Federal and
State laws and requirements. In addition to CERCLA 104(k), Federal applicable laws and
requirements include:
a. CERCLA 104(g) requires that grant 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. The CAR
must obtain recent and applicable wage rates from the U.S. Department of Labor and
incorporate them into the construction, alteration or repair contract.
b. The CAR 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."
c. Federal cross-cutting requirements including, but 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. Changes to Sites and Cleanup Methods
1. 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. The CAR may not make substantial changes to the cleanup method described in the work
plan without prior EPA approval.
II. GENERAL COOPERATIVE AGREEMENT
ADMINISTRATIVE REQUIREMENTS
A. Term 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. The term of this agreement is three years from the date of award, unless otherwise extended by
EPA at the CAR's request.
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 may include reviewing financial and program performance
reports; and monitoring all reporting, record-keeping, and other program requirements.
c. EPA may waive any of the provisions in term and condition II.B.1., at its own initiative or
upon request by the CAR.
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 cleanups are protective of human
health and the environment and comply with all applicable Federal and State laws.
c. The CAR remains responsible for ensuring costs are allowable under 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 and cleanup 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 and 40 CFR 30.2(f). 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 or the Procurement Standards of 40 CFR Part 30, as applicable. In addition, EPA policy
encourages awarding subgrants competitively and the CAR must consider awarding subgrants
through competition.
a. The CAR agrees to comply with the following when selecting sub-recipients and
establishing sub-awards:.
(1) to establish all sub-award agreements in writing;
(2) to maintain primary responsibility for ensuring successful completion of
the EPA-approved project(this responsibility cannot be delegated or
transferred to a sub-recipient);
(3) 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;
(4) 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;
(5) to ensure that any sub-award(s) to 501(c)(4) organizations do not involve
lobbying activities;
(6) 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;
(7) to obtain the 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
(8) 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.
b. The CAR 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.
c. The CAR 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/guide/subaward-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.gov/ogd/guide/subawards-appendix-b.pdf
http://www.whitehouse.gov/omb/circulars/a 133/a 133.html
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
outputs/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. Specification of costs incurred at petroleum-only brownfields sites, if applicable.
e. Clear identification of which activities performed during the reporting period were
undertaken with EPA funds, and relationship of EPA-funded activities to the objectives
and milestones agreed upon in the work plan. To the extent consistent with the work plan
for this agreement, include health monitoring studies and insurance undertaken with EPA
funds.
2. 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 work plan.
3. The CAR must complete and submit relevant portions of the Property Profile Form reporting the
initiation of cleanup activities, the completion of cleanup activities, leveraging of funds and jobs,
and other relevant project milestones, e.g., concerning institutional controls, contaminants, and
reuse. 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, the Assessment, Cleanup and Redevelopment
Exchange 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/rptforms.htm
4. In accordance with 40 CFR §31.40(d)or 40 CFR §30.51(f), 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. Cost Share Requirement
•
1. CERCLA§104(k)(9)(B)(iii) requires the recipient of this cooperative agreement to pay a cost
share (which may be in the form of a contribution of money, labor, material, or services from a
non-federal source) of at least 20 percent(i.e., 20 percent of the total federal funds awarded).
The cost share contribution must be for costs that are eligible and allowable under the cooperative
agreement and must be supported by adequate documentation.
B. Eligible Uses of the Funds for the Cooperative Agreement Recipient
1. To the extent allowable under the EPA-approved work plan, cooperative agreement funds may be
used for programmatic expenses necessary to clean up sites. Eligible programmatic expenses
include activities described in Section IV of these terms and conditions. In addition, eligible
programmatic expenses may include:
a. Ensuring cleanup activities at a particular site are authorized by CERCLA 104(k) and the
EPA approved work plan;
b. Ensuring that a cleanup 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 remediation of
the site. Funds may not be used to purchase insurance intended to provide coverage for
any of the ineligible uses under Section C;
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 in III.C.2; and carrying out community involvement pertaining to
the cleanup activities.
C. 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. Pre-cleanup environmental assessment activities such as site assessment, identification,
and characterization with the exception of site monitoring activities that are reasonable
and necessary during the cleanup process, including determination of the effectiveness of
a cleanup;
b. Monitoring and data collection necessary to apply for, or comply with, environmental
permits under other federal and state laws, unless such a permit is required as a
component of the cleanup action;
c. Construction, demolition, and development activities that are not cleanup actions (e.g.,
marketing of property or construction of a new facility or addressing public or private
drinking water supplies that have deteriorated through ordinary use);
•
d. Job training unrelated to performing a specific cleanup at a site covered by the grant;
r
e. To pay for a penalty or fine;
f. To pay a federal cost share requirement(for example, a cost-share required by another
Federal grant) unless there is specific statutory authority;
g. To pay for a response cost at a brownfields site for which the recipient of the grant is
potentially liable under CERCLA§107;
h. To pay a cost of compliance with any federal law, excluding the cost of compliance with
laws applicable to the cleanup; and
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 incurred
by the CAR.
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 30 or 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. Costs incurred to
report quarterly performance to EPA under the grant are eligible.
. b. Ineligible grant administration costs include direct costs for:
(1) Preparation of applications for Brownfields grants;
(2) Record retention required under 40 CFR 30.53 and 40 CFR 31.42;
(3) Record-keeping associated with supplies and equipment purchases required under
40 CFR 30.33, 30.34, and 30.35 and 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 30.25 and 40 CFR 31.30;
(5) Maintaining and operating financial management systems required under 40 CFR 30
and 40 CFR 31;
(6) Preparing payment requests and handling payments under 40 CFR 30.22 and 40
CFR 31.21;
(7) Non-federal audits required under 40 CFR 30.26, 40 CFR 31.26, and OMB Circular
A-133; and
(8) Close out under 40 CFR 30.71 and 40 CFR 31.50.
D. Grant Recipient Eligibility
1. The CAR may only clean up sites it solely owns. The CAR must retain ownership of the site
throughout the period of performance of the grant. For the purposes of this agreement, the term
"owns" means fee simple title unless EPA approves a different arrangement.
E. Obligations for Grant Recipients Asserting a Limitation on Liability from CERCLA§107
1. EPA awarded this cooperative agreement to the CAR based on information indicating that the
CAR would not use cooperative agreement funds to pay for a response cost at the site for which
the CAR was potentially liable under CERCLA 107. If the CAR is not potentially liable based on
its status as either a Bona Fide Prospective Purchaser(BFPP), Contiguous Property Owner
(CPO), or Innocent Land Owner(ILO), the CAR must meet certain continuing obligations in order
to maintain its status. If the CAR fails to meet these obligations, EPA may disallow the costs
incurred under this cooperative agreement for cleaning up the site under CERLCA 104(k)(7)(C).
These continuing obligations include:
a. complying with any land use restrictions established or relied on in connection with the
response action at the vessel or facility and not impeding the effectiveness or integrity of
institutional controls;
b. taking reasonable steps with respect to hazardous substance releases;
c. providing full cooperation, assistance, and access to persons that are authorized to
conduct response actions or natural resource restoration; and
d. complying with information requests and administrative subpoenas and legally required
notices(applies to the criteria for bona fide prospective purchasers and contiguous
property owners).
Notwithstanding the CAR's continuing obligations under this agreement, the CAR is subject to the
applicable liability provisions of CERCLA governing its status as a BFPP, CPO, or ILO. CERCLA
requires additional obligations to maintain the liability limitations for BFPP, CPO, and ILO; the
relevant provisions for these obligations include §§101(35), 101(40), 107(b), 107(q) and 107(r).
F. Interest-Bearing Accounts and Program Income
1. Interest earned on advances are subject to the provisions of 40 CFR§31.21(i) and §30.22(I)
relating to remitting interest on advances to EPA on a quarterly basis.
2. Any program income earned by the CAR will be added to the funds EPA has committed to this
agreement and used only for eligible and allowable costs under the agreement as provided in 40
CFR 30.24(b)(1) or 40 CFR 31.25(g)(2), as applicable.
IV. CLEANUP ENVIRONMENTAL REQUIREMENTS
A. Authorized Cleanup Activities
1. The CAR shall prepare an analysis of brownfields cleanup alternatives which will include
information about the site and contamination issues (i.e., exposure pathways, identification of
contaminant sources, etc.); cleanup standards; applicable laws; alternatives considered; and the
proposed cleanup. The evaluation of alternatives must include effectiveness, implementability,
and the cost of the response proposed. The evaluation will include an analysis of reasonable
alternatives including no action. The cleanup method chosen must be based on this analysis.
2. For cleanup of petroleum sites identified in the EPA-approved work plan, an analysis of cleanup
alternatives must include considering a range of proven cleanup methods including identification
of contaminant sources, exposure pathways, and an evaluation of corrective measures. The
cleanup method chosen must be based on this analysis.
3. Prior to conducting or engaging in any on-site activity with the potential to impact historic
properties (such as invasive sampling or cleanup), 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. If environmental samples are to be collected as part of the brownfields cleanup (e.g., cleanup
verification sampling, post-cleanup confirmation sampling), the CAR shall comply with 40 CFR
Part 31.45 (or 40 CFR Part 30.54 requirements for nonprofit organizations) requirements to
develop and implement quality assurance practices sufficient to produce technically defensible
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 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. 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/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. Community Relations and Public Involvement in Cleanup Activities
1. All cleanup activities require a site-specific community relations plan that includes providing
reasonable notice, opportunity for involvement, response to comments, and administrative
records that are available to the public.
D. Administrative Record
1. The CAR shall establish an administrative record that contains the documents that form the basis
for the selection of a cleanup plan. Documents in the administrative record shall include an
analysis of reasonable alternatives including no action; site investigation reports; the cleanup
plan; cleanup standards used; responses to public comments; and verification that shows that
cleanup is complete. The CAR shall keep the administrative record available at a location
convenient to the public and make it available for inspection.
E. Implementation of Cleanup Activities
1. The CAR shall ensure the adequacy of each cleanup in protecting human health and the
environment as it is implemented. Subject to the EPA notification and approval provision of
Section I.B.1.b., the CAR is allowed to change cleanup activities as necessary based on
comments from the public or any new information acquired.
2. If the CAR is unable or unwilling to complete the cleanup, the CAR shall ensure that the site is
secure. The CAR shall notify the appropriate state agency and the U.S. EPA to ensure an orderly
transition should additional activities become necessary.
F. Completion of Cleanup Activities
1. The CAR shall ensure that the successful completion of a cleanup is properly documented. 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 cleanup is complete. This documentation
needs to be included as part of the administrative record.
V. OTHER CLEANUP GRANT REQUIREMENTS
A. Inclusion of Special Terms and Conditions
1. The CAR shall meet other program requirements of this agreement including:
a. In accordance with 40 CFR 31.42 or 40 CFR 30.53, the CAR shall maintain records for a
minimum of three years following completion of the cleanup financed all or in part with
cleanup grant funds. Cooperative agreement recipients shall provide access to records
relating to cleanups supported with cleanup grant funds to authorized representatives of
the Federal government.
b. The CAR has an ongoing obligation to advise EPA if assessed any penalties resulting
from environmental non-compliance at the site subject to this agreement.
B. 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 appearance of the CAR'
s 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 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.
VI. PAYMENT AND CLOSEOUT
For the purposes of these terms and conditions, the following definitions apply: "payment" is the U.S. EPA'
s transfer of funds to the CAR; "close out" refers to the process that the U.S. EPA follows to ensure that all
administrative actions and work required under the cooperative agreement have been completed.
A. Payment
Payment information is provided to the CAR along with the award documents. The CAR shall contact the
EPA Las Vegas Finance Center, P. O. Box 98515, Las Vegas, Nevada 89193-8515, (702) 798-2485, 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 or 40 CFR 30.71 following
expiration of the term of the agreement or expenditure of the funds awarded and completion of the
activities described by the EPA-approved work plan.
2. The CAR shall send to the EPA Project Officer a copy of the final Financial Status Report that the
CAR submits to U.S. EPA- Las Vegas Finance Center.
•
-�i