USEPA USEPA Grants Grants

ManagementManagement

presented by:presented by:Noemi Emeric-Ford &

Glenn Kistner 1

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Cooperative Agreement

• The Brownfield Assessment, Cleanup, RLF & Job Training projects are awarded as Cooperative Agreements because they require substantial federal involvement

• Substantial Involvement includes: monitoring, review of grant schedules, approval of substantive terms in contracts issued, review of financial & quarterly reports and review/approval of costs to ensure they are allowable

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Cooperative Agreements

• Read the Cooperative Agreement and Amendments & always keep copies in the file and become familiar with:

• Project Description• Budget & Project PeriodsBudget & Project Periods• Funding Amounts• Grant Number (i.e. BF 96987923)Grant Number (i.e. BF 96987923)• EPA Contacts - both the Grants

Specialist & Project Officer

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Terms and Conditions

Attached to the Cooperative Agreement are two types of Terms & Conditions

1) Administrative (general Administrative (general federal requirements)federal requirements)

2) ProgrammaticProgrammatic

Administrative Conditions are managed by the Grants Specialist

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Workplan & Budget

• Workplan serves as a guide and schedule for implementing the work

• EPA provides workplan templates for each grant type

• Budget should be included in workplan and cannot exceed grant award

• Hazardous Substances & Petroleum funds must be kept separate

• Indirect / administrative costs are not allowed

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Workplan & Budget• Substantial modifications to the

workplan, budget & schedule require a formal amendment – Consult your Consult your EPA Project OfficerEPA Project Officer

• Site-Specific Assessment and Cleanup Cooperative Agreements DO NOT allow sites to be substituted

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Budget - Travel• Travel Costs can include… travel to:

– conduct assessment & cleanup activities

– host community involvement activities

– market program and meet interested parties

– Participate in EPA-sponsored conferences and training(s) such as • National Brownfields Conference &

Western Brownfield Workshops

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Budget - Supplies• Supplies are items needed to perform

programmatic requirements which include:– Marketing materials– Public notices & meeting materials– Postage– Copying– Office supplies

• Supplies are $5,000 or less anything over is considered equipment

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Cost Share• Cleanup and RLF grants only

• Cost share is 20% of grant funds

• Cost share must be met with eligible and allowable costs

• Must be supported by adequate documentation– cash, labor, materials, supplies, services– non-federal grants (CDBG)– remediation costs beyond $200k cleanup

grant and/or RLF loan or subgrant amount

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Cost ShareAdditional Examples: • Cleanup waste disposal fees

• Cleanup waste transportation

• Site security (fencing, signage)

• Dust control

• Clearing, demolition (essential for cleanup)

• Analytical work (confirmation sampling)

• Outreach (notices, meeting space)

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Budget Not all budget changes require EPA approval (10% or less within existing budget categories is allowed)

BudgetCategories

Project Tasks for Hazardous Substances

Program Management

CommunityInvolvement

SiteInventory

Phase I Phase II

Total

Personnel $18,000 $18,000

Fringe Benefits $0

Travel $3,000 $3,000

Equipment $0

Supplies $1,000 $1,000

Contractual $6,000 $12,000 $160,000 $178,000

Cost Share 20%

Total $22,000 $6,000 $12,000 $160,000 $200,000

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Procurement• ALL contracts with private parties

must be competed!• However, agreements with States,

local intergovernmental agencies and nonprofits do not have to be competed. These agreements are considered sub-awards (40CFR Part 31.36)

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Procurement• What is RFP? RFQ?What is RFP? RFQ?

– Contractual tools needed to execute grant and hire contractors and/or consultants to perform workplan activities

• Why is an RFP / RFQ needed?Why is an RFP / RFQ needed? – find the best company for the job– define scope of services– compare prices– facilitate contracting

– required under EPA grants

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Procurement• Detailed description of the site,

including maps and diagrams

• Background & site history information

• Directions for access to relevant records (i.e. previous environmental work)

• Directions for site access (if no pre-bid meeting)

• NoteNote: more information, the better the responses; help avoid change orders later

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Procurement• Detail the reporting requirements

• Provide grantee project manager's contact (i.e. change orders, reviews, who will decide, etc.)

• Describe timeline & time constraints• Pre-Bid Meeting

– Can be very helpful opportunity for contractors/consultants to view the site

– Distribute supplemental docs during meeting, instead of mailing them

– Answer questions

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Procurement• Include a list of deliverables desired:

– Quality Assurance Project Plan, Sampling & Analysis Plan and Health & Safety Plan

– Community Involvement Plan – Quarterly Reports & reporting in ACRES– Remediation planning & estimates– Remedial Action Plan– Reuse / redevelopment plans– Final Report

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Procurement• Request identification of subcontractors • MBE/WBE goals/objectives• Davis Bacon Prevailing Wages• Company info along with services provided• Certifications• List of key related projects over the past 3

years, in reverse chronology• References for key related projects• Organizational/Management chart for project• Resumes of key personnel

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Quality Assurance• Approved Sampling & Analysis Plan

(SAP) required before sampling activities can began

• SAP templates should be shared with contractors before submitting to EPA for approval (template incorporates the Quality Assurance Project Plan)

• EPA approval timeframe is 4-6 weeks; this can be shorter if a pre-scoping meeting is held before SAP submittal

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Community Involvement Plan

• EPA grants require keeping community informed of grant progress

• For cleanup conducted under Cleanup & RLF Grants a grantee must:– develop site-specific outreach plan– provide reasonable notice for participation– allow review of remediation plan – host public meeting with 30-day comment

period– Create Administrative record and make

available to public (library, town hall, etc.)

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Programmatic Condition: Site Eligibility

Is it a Brownfields Site?

Real Property ?

Do you believe the site is contaminated?

• What are the contaminants?

• Hazardous OR Petroleum

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Programmatic Condition: Site Eligibility

Applicant must not be responsible for contamination. Need to answer following questions:

Who owns it?• Applicant• Private party

How was it acquired?• Did purchase include due diligence / all

appropriate inquiry?• Tax foreclosure, abandonment, or other

government proceeding

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Programmatic Condition: Site Eligibility

Who Contaminated it? • If Applicant, in most cases the site

is not eligible • Is there another Party?

What happened on the property after acquisition?• Property Vacant / fenced• Leased to operator

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Programmatic Condition: Site Eligibility - AAI Updates

• AAI Phase I must be performed within one year prior to acquisition

• Updates to AAI are required within 180 days prior to acquiring ownership interviews of current & past owners the review of government records on-site visual inspection searches for environmental cleanup liens

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Programmatic Condition:

Petroleum Site Eligibility Must be low risk

• Is the site relatively low risk? (ask the State) Current and previous owner must not be

responsible for contamination• Who are the current and previous

owners?• Did the current or previous owner cause

contamination? If current or previous owner is responsible...

• Are they financially viable? Site cannot be subject to RCRA Corrective

Action

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Quarterly Reports• Quarterly Reports are required to

document progress toward achieving project goals & milestones

• Reports are due 30 days after quarter• Reporting periods areReporting periods are::

• October 1 – December 31• January 1 – March 31• April 1 – June 30• July 1 – September 30

• Final Report is due at grant closeout that summarizes grant achievements

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Reporting: ACRES• Property name, address, and acreage

• Amounts for assessment, cleanup & loans

• Site start and completion dates

• Redevelopment info for properties

• Types of contaminants removed/addressed

• Institutional controls

• Dollars leveraged

• Jobs created

www.epa.gov/brownfields/pubs/acres/acresinfo.htm

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Administrative ConditionGrant forms are located at:www.epa.gov/region09/funding/managing.html

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Administrative Condition

EPA Payment Form190-F-04-001 to Las Vegas Finance Center (most important grant form!)

Contact: Anna Woods woods.anna@epa.gov or (702) 798-2496

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Administrative Condition

• Federal Cash Transaction Report (Form 272)

• Must be completed once a yearonce a year for the entire calendar year 1/1 – 12/31

• DO NOT round the numbers in the form, use exact amountsexact amounts

• Purpose is to reconcile funds drawn down & to determine if excess federal funds exist in grantee account

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2. Name and Address of Organization

4. Grant Number (if multiple - type “See Attached”)

5. For your use

3. Tax ID # 9. Enter “0” EPA does not issue checks

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Administrative Condition

• Interim Financial Status Report (FSR) (SF-269A) is due annually and

• Final FSR (SF-269A) is due within 90 days after the end of the project period

• Both forms 272 & 269 must be submitted to:

Las Vegas Finance Center

Attn: Anna Woods

P.O. Box 98515

Las Vegas, NV 89193

FaxFax: 702-798-2423

U.S. EPA, Region 9 Grant Number

Your Organization Name and Address

Tax ID # For Your Use Yes for FinalNo for Interim

Method of Accounting

used

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Administrative Condition

Minority Business Enterprise /Women-Owned Business Form 5700-52A

Assures that minority business enterprises (MBE) and woman business enterprises (WBE) are given the opportunity to participate in contract and procurement for supplies, equipment and services under any EPA cooperative agreement.

Must be submitted annuallyMust be submitted annually RLF grantees must submit RLF grantees must submit

reports on a reports on a semi-annual basissemi-annual basis

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Administrative Condition• Federal grant regulations require

periodic program audits by an outside auditor

• Must ensure audits comply with GAO accounting standards

• Costs for conducting audits are ineligible costs under your cooperative agreement

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General Federal Requirements

• Davis Bacon Act of 1931 – prevailing wages must be paid for any construction, repair, or alteration work if greater than $2,000

TIPTIP:: include Davis-Bacon requirements in your RFP / RFQ and all contracts

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• Davis Bacon wage rates at: www.access.gpo.gov/davisbacon

• Click on most recent dates for accuracy• Full wage decisions are recommended, but

a Project Wage Rate Sheet (HUD form 4720) can be prepared for your use & for employee handouts

• All Davis Bacon forms are available through HUD website: search for HUDCLIPSHUDCLIPS

General Federal Requirements

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General Federal Requirements

• If necessary, conduct preconstruction meeting to go over Davis Bacon regulations with your contractors

• Provide the Dept of Labor wages poster (WH-1321) for the worksite

• HUD also publishes a Contractors Guide to Davis Bacon

• EPA has 2-page fact sheet located at:

www.epa.gov/brownfields

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Davis Bacon Form

Located on HUD's website

under Community

Development Programs

www.hud.gov

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General Federal Requirements

• Endangered Species Act (ESA) requires prior consultation with USFWS or NOAA Fisheries for any listed species

• ESA prohibits killing, harming, and harassing of any listed species as well as the protection of any critical habitat

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General Federal Requirements

• National Historic Preservation Act (NHPA) “may” require consultation with the State Historic Preservation Officer to assess the presence and value of historical & archeological resources in some project areas

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General Federal Requirements

• National Historic Preservation Act (NHPA) Section 106 Review is a process that applies to EVERY Brownfields project

• Act of signing the cooperative agreement is a “federal undertaking”

• The public involvement required for NHPA Section 106 is not different from the public involvement required for all brownfields projects

• Should host 30-day comment period, if necessary

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Grant Closeout• Draw down of grant funds is received

• All activities funded by the grant are complete

• ACRES & quarterly reports are completed

• Final Financial Status Report SF-269

• Final Lobby and Litigation Certificate EPA Form 5700-53

• Final MBE/WBE Report EPA Form 5700-5

• Final Progress Report submitted

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Questions? Contact your…

EPA Project EPA Project OfficersOfficers

Laurie AmaroLaurie Amaro

Pankaj AroraPankaj Arora Carolyn Carolyn DouglasDouglas

Wally WooWally Woo

Heidi HallHeidi Hall

Dave HodgesDave Hodges

Glenn KistnerGlenn Kistner

Dierdre NurreDierdre Nurre

Diane Diane StrassmaierStrassmaier

Noemi Emeric-Noemi Emeric-FordFord

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Additional ARRA TrainingWHATWHAT: Region 9 Brownfields ARRA

Grantee Workshop

WHENWHEN: Tuesday, August 25, 2009 from 1:00 – 3:00 p.m.

WHEREWHERE: Clu-in Webcast and Conference Call 866-299-3188 code 919-541-3993

HOWHOW: Register in advance at:

http://www.clu-in.org/conf/tio/r9bfarra/

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