HomeMy WebLinkAboutAUGUSTA GEORGIA US EPA BROWNFIELDS GRANT
Public Works and Engineering Department
Teresa C. Smith, P.E., Director
Environmental Eng. SectiOJ
Dr. Hameed Malik, P.E
Environmental Enginee
Room 701, 530 Greene Stree
. Augusta, Georgia 3091:
(706) 821-1706 FAX (706) 821-170:
Errick L. Thompson, P.E., Assistant Director
Engineering Division
August 4, 2003
Ms. Barbara Jackson, Administrator
Georgia State Clearinghouse
Office of Planning and Budget
270 Washington Street, SW
Atlanta, Georgia 30334
RE: Augusta, Georgia US EP A Brownfields Grant
Augusta File Reference: 03-00S(D)7
Dear Ms. Jackson:
Enclosed are three copies of our completed Brownfields Grant Application. We have submitted our
draft workplan and budget as part of this package. Please note that draft workplan and budget will
be finalized after United States Environmental Protection Agency Region.A has completed its
reVIew.
If you have any questions regarding this correspondence, please contact me.
Sincer~d~ ttlM;
Hameed U Malik, Ph.D.,.P.E.
Environmental Engineer
HUM!
Enclosure
xc: Teresa C. Smith, P.E., Director Public Works & Engineering
Errick L. Thompson, P.E., Assistant Director Public Works & Engineering
APPLICA TION KIT CONTENTS
ATTACHMENTS
1. Application Submittal Checklist
2. SF 424, 424A, 424B - Application Form
3. Supplemental General Instructions and Budget Worksheets
4. Quality Assurance Statement
5. Certification Regarding Debarment and Suspension
6. Lobbying Certification and Disclosure Forms
7. Compliance Report
8. [ RESERVED] _
9. Disadvantaged Business Utilization Report (MBE/WBE)
10. Regulations and OMB Circulars
11. Superfund Specific Requirements
Note: Many of the OMB Standard Forms may also be accessed through their
web site:
.. http://www .whitehouse.gov /WH/EOP IOMB/Grants/
II APPLICATION PACKAGE SUBMITTAL CHECKLIST II
1 SF 424, 424A & B including object class categories worksheet
and I(ey Contacts Form
Clearinghouse comments, if applicable and available.
1
EP A Form 5700-49, "Certification Regarding Debarment,
Suspension and Other Responsibility Matters" .
Anti-Lobbying Recipient Certification must be completed and
returned if you are requesting $100,000 or more in Federal
funds. Please retain the "Disclosure of Lobbying Activities"
form for your use in reporting Lobbyfug activities during the
project period of the assistance award.
Current indirect cost rate negotiation agreement, if applicable.
-d- Compliance Report - EP A Form 4700-4
~ Quality assurance statement, if applicable. If your
project/program involves environmentally related
measurements or data generation, a Quality Assurance Plan is
required. The system must comply with the requirements of
ANSI/ASQC E4, "Specifications and Guidelines for Quality
Systems for Environmental Data Collection and Environmental
Technology Programs, " which may be obtained from the
National Teclmical Information Service (NTIS), 5885 Port
Royal Road, Springfield, VA 22161. . .
1
WORKPLAN - Prepared in accordance with instruction
provided by your EP A Project Officer. .
rc on ~ C". ..no...... '
.,.t rn...rrllnn
MAIL lHE ORIGINAL AND ONE COpy OF yOUR
COMPLETED APPLICATION TO:
GRANTS MANAGEMENT OFFICE
ENVIRONMENTAL PROTECTION AGENCY
ATLANTA FEDERAL CENTER
61 FORSYTH STREET
ATLANTA, GA 30303-8960
ATTACHMENT 2
APPLICATION FORMS
.
SF 424_ 424A AND 424B
BUDGET WORKSHEETS
KEY CONTACTS FORM.
APPLICATION FOR
FEDERAL ASSISTANCE
1. TYPE OF SUBMISSION
2. DATE SUBMITTED
Applicant Identifier
Augusta, Georgia Project #2003-005(0)7
ox
Non-Construction
Preapplication
o Construction
o Non.
Construction
3. DATE RECEIVED BY
STATE
4. DATE RECEIVED BY
FEDERAL AGENCY
State Application Identifier
Application
o Construction
Federal Identifier
5. APPL.ICANT INFORMATION
Legal Name.:
Augusta-Richmond County
Address (give city, county, state, and zip code):
530 Greene Street, room 701
Municipal Building, Augusta, GA 30911
Organizational Unit:
Public Works & Engineering-Engineering Division
Name and telephone number of the person to be contacted on matters
involving this application (give area code)
Hameed Malik, Environmental Engineer
(706) 821-1706
6. EMPLOYER IDENTIFICATION (EIN):
7.
TYPE OF APPLICANT: (enter appropriate letter here) _
~~ - ~~~~~CJ~
A. State
B. County
H. Independent School District
L State Controlled Institution of Higher
Learning
J. Private University
K. Indian Tribe
8. TYPE OF APPLICATION:
OX New 0 Continuation 0 Revision
If Revision, enter appropriate letter(s) in box(es): D D
., Municipal
D. Township
A. Increase A ward
C. Increase Duration
Other Specify:
B. Decrease Award
D. Decrease Duration
E. Interstate L. Individual
F. Intermunicipal M. Profit Organization
G. Special District N. Other (Specify):
9. NAME OF FEDERAL AGENCY:
US EP A-Region 4 /
Contact: Ms. Olga Perry
10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE
NUMBER:
~~._--~~ ~
11. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT:
The City is considering a number of sites in Hyde Park area, a
disadvantage neighborhood, for site assessment, including a
former scrap yard and a metal recycling facility. The Hyde
Park area typifies blight caused by brownfields. Many residents
have developed health problems that might be attributed to
contaminated industrial sites located in or near residential area.
TITLE: Brownfield Pilot Cooperative Agreement
12: AREAS AFFECTED BY PROJECT (cities, counties, states,
etc.):
City & County
13. PROPOSED PROJECT:
Start Date
End Date
14. CONGRESSIONAL
DISTRICT OF:
a. Applicant:
b. Project
October 1, 2003
Sept. 30, 2005
12
12
15. Estimated Funding:
16.
IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE
ORDER
12372 PROCESS?
THIS PREAPPLlCA TION/APPLlCA TION WAS MADE AVAILABLE
TO THE STATE EXECUTIVE ORDER 12372 PROCESSES FOR
REVIEW ON:
DATE ~/41tJ3
o PROGRAM IS NOT COVERED BY E.O. 12372
o OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR
REVIEW
a. Federal
$200,000
a.e.
b. Applicant
$unknown
c. State
$unknown
d. Local
$unknown
b. NO.
e. Other
$unknown
..
f. Proqram Income $unknown 17. IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT?
g. TOTAL $200,000 0 YES If "Yes" attach an explanation. 9( NO
18.T ,0 THE BEST OF MY KNOWLEDG.E AND BELIEF, ALL DATA IN THIS APPLlCA TION/PREAPPLlCA TION ARE TRUE AND CORRECT, THE
o CUMENT HAS BEEN DULY AUTHORIZED BY THE-GOVERNING BODY OF THE APPLICANT AND THE APPLICANT WILL COMPLY WITH
THE ATTACHED ASSURANCES IF THE ASSISTANCE IS. AWARDED. .
a. Me Name of Authorized ~p j8sentative. b. Title: c. Telephone Number
tGej rge R. Kolb / / /: I Administrator (706) 821-2400
d~ S7~~:_~horizey\r~ ~ 1/Jtlo3
previdf'Editions N1~sable G ...... AUTHORIZED FOR LOCAL REPRODUCTION I
Standard Form 424 (REV 7-97)
~b~scribed by OMS Circular A-
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ASSURANCES - NON-CONSTRUCTION PROGRAMS
OMB Approval No. 0348-0040
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the
burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget,
Paperwork Reduction Project (0348.0040), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED
BY THE SPONSORING AGENCY.
Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency.
Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified.
As the dulv authorized representative of the applicant. I certify that the applicant:
1. Has the legal authority to apply for Federal assistance,
and the institutional, managerial and financial
capability (including funds sufficient to pay the non-
Federal share of the project costs) to ensure proper
planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller
General of the United States, and if appropriate, the
State, through any authorized representative, access
to and the right to examine all records, books, papers,
or documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will initiate and complete the work within the
applicable time frame after receipt of approval of the
awarding agency.
5. Will comply with the Intergovernmental Personnel Act
of 1970 (42 U.S.C. S9 4728-4763) relating to
prescribed standards for merit systems for programs
funded under one of the nineteen statutes or
regulations specified in Appendix A of OPM's
Standards for a Merit System of Personnel
Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all. Federal statues relating to
nondiscrimination. These include but are not limited
to: (a) Title VI of the Civil Rights Act of 1964 (P. L. 88-
352) which prohibits discrimination on the basis of
sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. 9795), which prohibits
discrimination on the basis of handicaps; (d) the Age
Discrimination Act of 1975, as amended (42 U.S.C. SS
6101-6107), which prohibits discrimination on the
basis of age;
Previous Edition Usable
(e) the Drug Abuse Office and Treatment Act of 1972
(P.L. 92-255), as amended, relating to
nondiscrimination of the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism
Prevention, Treatment and Rehabilitation Act of 1970 .
(P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) 99 523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-
3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the
Civil Rights Act of 1968 (42 U.S.C. 9 3601 et seq.), as
amended, relating to nondiscrimination in the sale,
rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
made and U) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
7. Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of1970 (P.L. 91-646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally assisted programs. These requirements
apply to all interests in real property acquired for
project purposes regardless of Federal participation in
purchases.
8. Will comply with the provision of the Hatch Act (5
. U.S.C. SS 1501-1508 and 7324-7328) which limit the
political activities of employees whose principal
employment activities are funded in. whole or in part
with Federal funds.
9. Will comply, as applicable, with the provisions of the
. Davis-Bacon Act (40 U.S.C. 99 276a-7), the Copeland
Act (40 U.S.C."99 874), and the Contract Work Hours
and Safety Standards Act (40 U.S.C. SS 327-333),
regarding labor standards for federally assisted
construction s'ubagreements.
AUTHORIZED FOR LOCAL REPRODUCTION
Standard Form 4248 (7-97) .
Prescribed by OMS Circular A-102
10. Will comply, if applicable, with flood insurance 13. Will assist the awarding agency in assuring
purchase requirements of Section 1 02(a) of the Flood compliance with Section 106 of the National Historic
Disaster Protection Act of 1973 (P.L. 93-234) which. Preservation Act of 1966, as amended (16 U.S.C.
requires recipients in a special flood hazard area to 470), EO 11593 (identification and protection of
participate in the program and to purchase flood liistoric properties), and the Archaeological and
insurance if the total cost of insurable construction Historic Preservation Act of 1974 (16 U.S.C. 469a-1
and acquisition is $10,000 or more. et seq.)
11 . Will comply with environmental standards which may 14. Will comply with P.L. 93-348 regarding the protection
be prescribed to the following: (a) institution of of human subjects involved in research,
environmental quality control measures under the development, and related activities supported by this
National Environmental Policy Act of 1969 (P.L. 91- award of assistance.
190) and Executive Order (EO) 11514; (b) notification
of violating facilities pursuance to EO 11738; (c) 15. Will comply with the Laboratory Animal Welfare Act
protection of wetlands pursuant to EO 11990; (d) of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et
evaluation of flood hazards in floodplain in seq.) pertaining to the care, handling, and treatment
accordance with EO 11988; (e) assurance of project of warm bl09ded animals held for research, teaching,
consistency with the approved State management or other activities supported by this award of
program developed under the Coastal Zone assistance.
Management Act of 1972 (16 U.S. C. SS 1451 et
seq.); (f) conformity of Federal actions to State (Clear 16. Will comply with the Lead-Based Paint Poisoning
Air) Implementation Plans under Section 176(c) of Prevention Act (42 U.S.C. SS 4801 et seq.) which
the Clear Air Act of 1955, as amended (42 U.S.C. S prohibits the use of lead based paint in construction
7401 et seq.); (g) protection of underground sources or rehabilitation of residence structures.
of drinking water under the Safe Drinking Water Act
of 1974, as amended, (P.L. 93-523); and (h) 17. Will cause to be performed the required financial and
protection of endangered species under the compliance audits in accordance with the Single
Endangered Species Act of 1973, as amended (P. L. Audit Act of 1984.
93-205).
18. Will comply with all applicable requirements of all
12. Will comply with the Wild and Scenic Rivers Act of other Federal laws, executive orders, regulations and
1968 (16 U.S.C. SS 1271 et seq.) related to protecting policies governing this program.
components or potential components of the national
wild and scenic rivers system.
CERTIFYING OFFICIAL
TITLE
Administratpr
D.
1
Standard Form 424B (Rev 7-97) Back
OBJECT CLASS CATEGORIES WORKSHEET
[NOTE: Please indicate any pre-award costs with a star (*).]
P IU
POSITION NUMBER SALARY WORK AMOUNT
YEARS
Brownfields Community Tech 1 $10/hr 2 $10,000
a. PERSONNEL TOTAL $10,000
BASE
RATE
x
b. FRINGE .BENEFITS TOTAL
included in item a
c. TRAVEL
Explain:
funds are included for participation at Brownfields conferences/workshops.proe:ram meetings
with EP A and state ree:ulators and interaction with other successful Brownfields Redevelopment
programs/communities
c. TRAVEL TOTAL: $10,000
Page 1
'-'.&-'~~......... ~ ------- --- - - - - ---- -
d. EQUIPMENT: Tangible, non-expendable, personal property having a useful life of more than one year and an acquisition cost of
$5,000 or more per unit. Applicant'sdefimtionof equipment may be used provided the definition at least includes all items previously defined
above.
ITEM NUMBER COST PER TOTAL
UNIT
Hardware for GIS activities 1 $4,000 $4,000
I d. EQUIPMENT TOTAL: I I I $4,000 I
e. SUPPLIES
List supplies by groups, as appropriate:
Internet Services for Mary lJtley Community center $1,200
.
Material Reproduction $300
Software to support GIS activities $3,000
'.
e. SUPPLIES $4,500
Page 2
OBJECT CLASS CATEGORIES WORKSHEET
f. CON
rR ArTTT AT
List each planned contractor type of service to be procured. Agreements/contracts with other governmental agencies (state, local
or Federal) should be listed under category h. OTHER.
Site Assessment & Site Reuse Planning $148,000
GIS and Proiect Website $15,000
.
f. CONTRACTUAL TOTAL $163,000
g. CONSTRUCTION (N/A)
h. OTHER
Other: Explain by major categories. "Seminars, Workshops and Training"
Community computer traininl! to disseminate the information and attend $4,000
brownfields workshops
Community Quarterly seminar and interaction with other brownfields $4,500
communities
i. TOTAL DIRECT COSTS: $200,000
j. INDIRECT COSTS: (RATE: %) $0.00.
k. TOTAL PROPOSED COSTS: $200,000
FEDERAL FUNDS REQUESTED:
.100 % '.
RECIPIENT SHARE OF TOTAL PROPOSED COSTS:
0 %
Page 3
KEY CONTACTS
AGENCY/ORGANIZATION DIRECTOR
(Individual who is authorized to sign the assistance agreement application and award acceptance.)
NAME:
The Honorable Bob Young
TITLE:
Mayor
ADDRESS: 530 Greene Street, Room 806
Augusta. Georgia 30911
TELEPHONE: .
(706) 821-1831
EMAIL
mayoryoung@augustaga. gov
PROGRAM/PROJEcT DIRECTOR
(Technical program director or person responsible for the project as a contact person in Block #5 of the
application.)
NAME:
TITLE:
Hameed Malik .
Environmental Engineer
ADDRESS: 530 Greene Street, Room 702, Augusta, GA 30911
.. TELEPHONE:(706) 821-1706
EMAIL.
hm8053@augustaga.gov
FINANCE DIRECTOR
(Individual responsible for maintaining the accounting and financial management system supporting
expenditures, preparing the financial reports, etc.) .
NAME: David Persaud
TITLE: Finance Director
ADDRESS: 530 Greene Street. Municipal Building, 2nd Floor
Augusta. Georgia 30911
TELEPHONE:(706) 821- 2429
EMAIL dpersaud@augustaga.gov
ATTACHMENT 3
SUPPLEMENTAL GENERAL INSTRUCTIONS
ATTACHMENT 4
QUALITY ASSURANCE STATEMENT
The attached form should be completed and included with your application.
Information on QA requirements may b~ found by accessing the following EP A web site:
http://www.epa.gov/ncerqa/qa
or by contacting the Region 4 Quality Assurance Officer
Gary Bennett at 706-355-8551
QUALITY ASSURANCE PLAN
This program/project does not involve environmentally related measurements or
data generation; therefore, a Quality Assurance Plan is not required pursuant to
the above referenced assistance regulations.
This program/project involves environmentally related measurements or data.
generation; therefore a Quality Assurance Plan which meets the requirements of:
40 CFR 30.54 for Universities and Non-Profit Organizations is attached
or will be developed before field work begins; or,
~ 40 CFR 31.45 for State and Local Governments is attached or will be
. -
develope efore fieldwork be ins.
ATTACHMENT 5
CERTIFICATION ON DEBARMENT
AND
SUSPENSION
This form certifies that you are not included in the "List of Parties Excluded from Federal Procurement
of N onprocurement Programs." You must also obtain this certification from each contractor or vendor
when acquiring goods and services in excess of $100,000 during the project period of the award.
Your Prime Contractors must submit this certification to you for retention in your project file.
Subcontractors must submit the certification to their Prime Contractor for retention in the Prime.
Contractor's project files.
, .
,
U.S. Environmental Protection Agency
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY
MATTERS
The prospective pmiicipant certifies to the best of its knowledge and belief that it and its
principals:
(a)
(b)
(c)
(d)
Are not presently debarred, suspended; proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any Federal department or agency;
Have not within a three year period preceding this proposal been convicted of or had a
civil judgement rendered against them for commission of fraud or a criminal offense in
connection with obtaining. attempting to obtain, or performing a public (Federal, State,
or local) transaction or contract under a public transaction; violation of Federal or State
antitrust statutes or cOlllinission of embezzlement. theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property; .
Are not presently indicted for or otherwise criminally or civilly charged by a government
entity (Federal. State, or ocal) with commission of any of the offenses enumerated.in
paragraph (1 )(b) of this certification; and
Have not within a three-year period preceding this application/proposal had one or more
public transactions (Federal, State, or local) terminated for cause or default. .
I understand that.a false statement on this certification may be grounds for rejection of this
proposal or termination of the award. In addition, under 18 US C Sec. 1001, a false statement
may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both.
Geti A. SAms Purchasing Director
Typed Name & Title of Authorized Representative
~
Signature of Authorized Representative
Date
I am unable to cert~fy to the above statements. My explanation is attached.
ATTACHMENT 6
LOBBYING CERTIFICATION
The attached Anti-Lobbying Recipient Certification must
be completed and returned if you are requesting $100,000
or more in federal furids.
Please use the Disclosure of Lobbying Activities form (SF-LLL)
for reporting Lobbying activities to the EP A
pursuant to 31 V.S.C. 1352.
CERTIFICATION REGARDING LOBBYING
Certification for Contracts, Grants,
Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to' influence an officer or employee of
an agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of
any Federal grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify and
disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any
person who fails to file the required certification shall be subject to a civil penalty of not less
than $10,000 and not more than $100,000 for each such failure.
ORIZED REPRESENTATIVE
1
REPRESENTATIVE
_ I am unable to cert~ to the above statements. My explanation is attached.
DISCLOSURE OF LOBBYING ACTIVITIES
Approv.~d by OMB
0348-0046
Complete this form to disclose lobbying activities pursuant to 31 V.S.C. 1352
(See reverse for public burden disClosure.)
1. Type of Federal Action:
n a. contract
~ b. grant
c. cooperative agreement
d. loan.
,e. loan guarantee
f. loan insurance
2. Status of Federal Action:
W a. bid/offer/application
b. initial award
c. post-award
3. Report Type:
[J a. initial filing
a b. material change
For material Change Only:
year quarter_
date of last report
4. Name and Address of Reporting Entity:
n Prime D Subawardee
LKJ . Tier , if known.
5. If Reporting Entity in No. 4 is Subawardee,
enter Name and Address of Prime:
Augusta-Richmond County
530 Greene Street
Augusta, GA 30911
Congressional District, if known: 12
Congressional District, if known:
6. Federal Department/Agency:
Environmental Protection Agency
7. Federal Program Name/Description:
cFDANumber, ifapplicable: 66-818
8. Federal Action Number, if known:
9. Award Amount, if known:
$200,000
10. a. Name and Address of Lobbying Registrant
. (If individual, last name, first name, MI): .
b. Individuals Performing Services (including
. address. if different from No. 10a)
(last name, first name, MI):
None
None
11.
Information requested through this form is authorized by title
31 U.S.C. section 1352. This disclosure of lobbying activities is a
material representation of fact upon which reliance was placed
by the tier above when this transaction was made or entered
into. This disclosure is required pursuant to 31 U.S.c. 1352.
This information will be reported to the Congress semi-annually
and will be available for public inspection. Any person who
fails to file the required disclosure shall be subject to a civil
penalty of not less than $10,000 and not more than $100,000 for
each such failure.
Signature:
Print Name
Title:
Telephone No.: (706) 821-2400
Authorized for Local Rellroduction
Standard Form LLL (Rev. 7-97)
ATTACHMENT 7
COMPLIANCE REPORT - EP A FORM 4700-4
This report must be completed and submitted with vour application.
Washington, DC 20460
Preaward Compliance Review Report for
All Applicants Requestmg Federal FinancIal Assistance
Note: Read instructions on reverse side before com letin form.
I. A. Applicant (Name, City, State) B. Recipient (Name, City, State)
Augusta-Richmond County, Augusta, Georgia Augusta-Richmond County
II. Brief description of proposed project, program or activity.
he City is considering a number of sites in Hyde Park area, a disadvantage neighborhood, for site
ssessment, including a former scrap yard and a metal recycling facility. The Hyde Park area typifies blight
aused py bro~nfield~. J.V!:an:r. residel!ts have devel9ped .health problems that mIght be attributed to
ontammated Industnal sItes located In or near resIdentIal area. .
III. Are any civil rights lawsuits or complaints pendin~ against applicant and/or recipient?
If yes, list those com plaints and Hie disposition oT each complaint.
Law Enforcement Related
IV. Have any civil rights compliance reviews of the applicant and/or recipient been conducted by aI!}'
Federal a~ency ouring the two years prior to this application for activities which would receIve EP A
assistance.
If yes, list those compliance reviews and status of each review.
V. Is any other Federal financial assistance being applied for or is any other Federal financial assistance
being applied to any portion of this project, program or activit:r.?
If yes, list the other Federal Agency(s), descriOe the associated work and the dollar amount of
ssistance.
VI. If entire community under the applicant's jurisdiction is not served under the existing facilities/services,
or will not be served under the proposed plan, give reasons why.
J<Ul<1Vl Apyroveo
OMB No. 2090-0014
Expires 4-30-99
C. EPA Project No.
riYes 0 No
o Yes ~No
DYes f!1No
N/A
Number ofPeo Ie
199,775
108,678
199,775
108,678
829
810
o
o
DYes ONo
N/A
IX. Give the schedule for future projects, programs or activities (or of future plans), by which services will be
provided to all beneficiaries within applicant'sjurisdiction. If there is no schedule, explain why.
Presently basic services are available in project area. The City has special purpose sale tax program and revenue from this tax
could b~come available for infrastructure improvement in project area if need arises to make the targeted sites suitable for
productIve reuse.
x.
A.
Administrator
For the U.S. Environmental Protection Agency
o Approved 0 Disapproved'
Authorized EPA Official
EP A Form 4700-4 (Rev. 1/90) Previ'ous editions are obsolete.
Date
ATTACHMENT 8
I RESERVED 1
ATTACHMENT 9
You must include a fair share objective for the utilization of minority (MBE) and
women's (WBE) business enterprises in procurement under EP A assIstance agreements.
These objectives must be based on negotIations prior to award of any assistance .
agreement. Please read the attacped guid~nce and contact the DBE coordinator for your
sfate as shown below for further InformatIOn: .. ..
Brenda Banks - 404/562-8420 - KY, NC, SC, and TN
Dorothy Dimsdale - 404/562-8398 - AL, FL, GA, and MS
DISADVANTAGED BUSINESS ENTERPRISE FAIR SIIAJlli
COMMITMENT
EP A's policy is that recipients of Federal assistance award a fair share of procurement
actions to disadvantaged business enterp'rises (DBEs), including historically black
colleges and universities (HBCUs). These fair share objectives must be based on
availability of qualified minority businesses enterprises (MBEs) and women's business
enterprises (WBEs)to do work in the relevant market for procurement activities for four
separate categories, Le., construction, equipment, .and services. Please indicate below
whether you chose to use the State negotiated rates as your fair share objective or to
develop your' own rates based on availability in your market area. The Region 4 state
rates are attached. For rates outside Region 4 or for questions concerning the rates,
please call Brenda Banks at 404/562-8420 or Dorothy Dimsdale at 404/562-8398.
chooses
(Name of applicant)
to use the State negotiated rates for procurement activities funded by any EP A agreement as follows:
Construction
Equipment
Services
Supplies
. Consolidated goal
MBE
4%
4.75%
4.75%
4.75%
4.75%
WBE
4%
1%
1%
1%
1%
chooses
(Name of applicant)
to conduct an availability analysis of the relevant market area and submit the package to EP A for
negotiation prior to any procurement activity funded by an assistance agreement.
APPLICANT'S CONTACT FOR DBE ISSUES:
NAME:
~"'.,.; A C::;!>l"e
TITLE:
Pur-ehas ingr:Direc tor
PHONE: 706-821-2422
ALABAMA
REGION 4 MBE/WBE NEGOTIATED RATES
Supplies (commodities) 2% MBE and 2.6% WBE
Services (contractual) 4% MBE and 4.9% WBE
Equipment 3.3% MBE and 3.3% WBE
Construction 3.1 % MBE and 2.4 % WBE
FLORIDA
SRF Construction
(both SRF)
A & E Services:
Commodities:
Contractual:
Construction:
(non SRF)
GEORGIA
GA DNR
Construction:
(includes all SRF)
All Other Categories:
GAEFA
SRF Construction:
(Drinking & Clean
Water Program)
KENTUCKY
SRF Construction:
(both programs)
Equipment:
Services:
Supplies:*
-11% MBE and 3% WBE
10% MBE and 15% WBE
7% MBE and 17% WBE
14% MBEand36%WBE
10% MBE and 11 % WBE
4% MBEand4% WBE
4;75% MBE and 1% WBE
4.6% MBE and 2.7% WBE
3% MBE and 5% WBE
1.5% MBE and 6.4% WBE
4% MBE and 1.8% WBE
2% MBE and 5% WEE
* As explained elsewhere, this goal applies to only non-State grantees in Kentucky as State recipients
are already contractually co~mitted to an exclusive supplier.
ATTACHMENT 10
REGULATIONS
AND
OMB CIRCULARS
REGULATIONS
AND
OMB CIRCULARS
The general grant regulations and OMB Circulars listed below apply to all EP A
assistance programs. (NOTE: General Administrative Regulations and Cost Principles
apply by type of organization, e.g. State Agency, non-profit, etc.) Compliance is a
recipient responsibility; accordingly, applicants/recipients should read and follow these
documents. EPA will provide assistance, if needed, in interpretation and compliance
with these documents. Additional regulations for specific EPA programs (e.g. 40 CFR
Parts 35, 39,45, 47) may also apply to the work for which funding is requested. Contact
your EP A program representative or Project Officer for details.
These documents may be accessed electronically at the following Internet address:
http://www.epa.gov/ogd/regs.htm
Hard copies are available upon request. Contact a Grants Specialist for further
information.
GENERAL GRANT REGULATIONS:
40 CFR -
PART 7 - NON-DISCRIMINATION IN PROGRAMS RECEIVING
FEDERAL ASSISTANCE FROM EPA (1990)
PART 29 - INTERGOVERNMENTAL REVIEW OF EPA PROGRAMS AND
ACTIVITIES
PART 30 - GRANTS AND AGREEMENTS WITH INSTITUTIONS OF HIGHER
EDUCATION, HOSPITALS, AND OTHER NON-PROFIT
ORGANIZATIONS (1996)
PART 31- UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND
COOPERATIVE AGREEMENTS TO STATE AND LOCAL
GOVERNMENTS (1995)
PART 32 - GOVERNMENT-WIDE DEBARMENT AND SUSPENSION (NON-
PROCU~MENT) AND GOVERNMENT-WIDE REQUIREMENTS FOR
DRUG-FREE WORKPLACE; CLEAN AIR ACT AND CLEAN WATER
ACT INELIGIBILITY OF FACILITIES IN PERFORMANCE OF
FEDERAL CONTRACTS, GRANTS, AND LOANS (1996)
PART 34 - NEW RESTRICTION ON LOBBYING (1995)
PROGRAM SPECIFIC GRANT REGULATIONS:
40 CFR -
PART 35 - STATE AND LOCAL ASSISTANCE (1995)
SUBPART A - CONTINUING ENVIRONMENTAL PROGRAMS
SUBP ART C - CONSTRUCTION OF WASTEWATER
TREATMENT WORKS
SUBPART D - REIMBURSEMENT GRANTS
SUBP ART E - CONSTRUCTION OF :rREA TMENT WORKS, CW A
SUBPARTH. -FRESHWATERLAKES..
SUBPART I - CONSTRUCTION OF TREATMENT WORKS
SUBPART J - DELEGATION OF CONSTRUCTION GRANTS PROGRAM
SUBPART K - STATE REVOLVING FUNDS, CWA
SUBPART M - SUPERFUND TECHNICAL ASSISTANCE
SUBPART.O - SUPERFUND RESPONSE ACTIONS
SUBPART P - NATIONAL ESTUARY PROGRAM
PART 39 - LOAN GUARANTEES FOR CONSTRUCTION OF TREATMENT
WORKS (1995)
PART 45.. TRAINING ASSISTANCE (1995)
PART 47 - NATIONAL ENVIRONMENTAL EDUCATION ACT GRANTS (1995)
OMB CIRCULARS
A-21 - COST PRINCIPLES FOR EDUCATIONAL INSTITUTIONS
A-87 - COST PRINCIPLES FOR STATE, LOCAL AND TRIBAL
GOVERNMENTS
A-122 - COST PRINCIPLES FOR NON-PROFIT ORGANIZATIONS
A-133 - AUDIT REQUIREMENTS - ALL APPLICANTS
ATTACHMENT 11
SUPERFUND SPECIFIC REQUIREMENTS
.. SUPERFUND SPECIFIC INFORMATION
PROCUREMENT
Superfund program re.,gulations are found in 40 CFR Part 35, Subpart 0, CooJ?erative
agreem~nts and Superfund State Contracts for Superfup.d Response Act!ons. These
regulatIOns have program specIfic procurement regulatIOns that all applIcants must
follow. Included In these requirements is the necessity for the aQplicant to evaluate its
procurement procedures to determine if they meet the intent of~ubpart O. After
evaluating its system, the applicant or recipIent must complete a "Procurement System
CertificatIOn': and su~mi~ tlie form to EPA. A copy ofthelorm with additional .
procurement mformatlOn lS attached.
EQUIPMENT
Apflicants may include eguipment in the aQplication but there are certain requirements
tha are specific to Superfund agreements. If equipment is included in the proposed
budget, you must include documentation that ~ cost analysis has been conducted to
determine the most cos.t effective method of procuring the item: lease, use of contractor
serVIces or purchase wIth CERCLA funds. .
If you p'lan. to purchase ~quipment with your own fund~ and charge EPA a user fee, you
must submit documentatIOn of the usage rate computatIOn to EP A. The rate must be
included in the cooperative agreement Defore the recipient incurs these equipment costs.
CERTIFICATIONS FOR SITE SPECIFIC AWARDS
If the ap-plication is for site sJlecific activities, the following items/assurances must be
include(f or assurance. given that these requirements will oe satisfied. (40CFR 35.6105)
(b) Site specific community relations plan and site specific health and safety plan or
assurance that site work will not liegin until these items are in place. ,
(c) CERCLA assurances, as appropriate
(d) 0 & M Assurance
(e) Twenty year waste capacity assurance, if appropriate
(f) Off site storage, treatment or disposal assurance, if appropriate.
(g) Real property assurance, if applicable
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, DC 20460
Form Approved
OMS No. 2030-002
Approval ExpIres 12/31/92
EPA
PROCUREMENT SYSTEM CERTIFICATION
APPLICANT'S
NAME
AUQusta-Richmond County
ASSISTANCE APPLICATION NUM8ER
APPLICANT'S ADDRESS
530 Greene Street, Room 701. AUQusta, GA 30911
SECTION I . INSTRUCTIONS
The applicant must complete and submit a copy of this form with each application for EPA Assistance. If the applicant has certified its
!lrocurement system to EPA within the past 2 years and the system has not been substantially revised complete Part A in Section II,
then sign and aate the form. If the system has not been certified within the past 2 years, complete Part 8, then sign and date the form.
SECTION I-CERTIFICATION
A. I affirm that the applicant has within the !last 2 'Lears certified to EPA that its procurement system complies with 40 CFR Part 33 and
that the system meets the requirements in 40 CFRPart 33. The date of the applicant's latest certification is: . .
MONTHIYEAR.
8. Ba,se(l u'fon my evaluation of the applicant's procurement system, I, as authorized representative of the applicant: (Check one of the
701. .oWing.
_1. CERTIFY that the applical')t'sJ;lrocureplent system will meet all of the requirements of 40 CFR Part 33 before undertaking any
procurement action With EPA assistance.
Please furnish citations to applicable procurement ordinances and regulations:
2. DO NOT CERTIFY THE APPLICANT'S PROCUREMENT SYSTEM. The applicant agrees to follow the requirements of 40 CFR
PUSaerr-EPA 33, inclljding the procedures in Appendix A, and allow EPA preaward re\f1ew of proposed procurement actions that will
assistance.. .
TYPED NAME AND Title
Gari A. Sams, Purchasinq Director
Dift ~3
.
Previous edition Is obsolete.
TO BE OR NOT TO BE CERTIFIED
Procurement System Certification .................... Limited EP A Procurement Oversight
Non-Procurement System Certification ............... EP A May Review All Contracts
KEY POINTS:
(a)
Under 40 CFR 35, Subpart 0, recipients may use their own
procurement policies and procedures when conducting procurements
for Superfund responses. .
To certify its system, a recipient must evaluate its own procurement
system to determine if the system meets the intent of the requirements
of 40 CFR Part 35, Subpart O. Mter evaluating its procurement
~ystem, the ap.plicant or recil~ient must complete the "Procurement
~stem Certillcation" (EP A Form 5700-48) and submit the form to
EP A with its application. (40 CFR 35.6550(a))
If the reci.Rient certifies that its procurement system meets the full
intent of 4U CFR Part 35, Subpart 0, EP A will have limited oversight
responsibilities. (40 CFR 35.6550) .
If the recipient's system is not certified, the recipient must follow the
re~quirements set up in 40 CFR Part 35, Subpart 0 and must allow .
EPA pre-!lward review of all proposed procurement actions under the
CooperatIve Agreement.
EP A oversight of procurement includes reviewing the recipient's
evaluation of a contractor's capability to perform the work for which
they were contracted, the recipIent's solicItation process, and
compliance with procurement requirements, such as using minority-
and women-owned business enterprises.
A recipient must certify its system once every two years, unless the
assistance agreement specifies a longer project duration.
Recipients are encouraged to seek assistance from EP A at all stages of
the procurement process. It is particularly important that rec!rHents
consult with EP A when a procurement may be controversial. The
Re,gion plays an important role in providing this assistance by
offering appropriafe technical, financial, administrative, or legal
experts who can address the issues.
(b)
(c)
(d)
(e)
(f)
(g)
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WORK PLAN
Brownfields Site Characterization & Assessment Cooperative Agreement
AUGUSTA BROWNFIELDS PROGRAM
SUBMITTED BY
AUGUSTA, GEORGIA
[City of Augusta & Richmond County]
530 Greene Street, Augusta, Georgia
SUBMITTED TO
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION 4
August 2003
SECTION 1: BACKGROUND
The Augusta Brownfields Program was established in 1999 when the EP A selected the
City of Augusta as a Brownfields Pilot Site. The Program, which is managed by the
Mayor's Brownfields Commission, targeted a predominantly African American, very
low-income area called Hyde Park, which typifies the blight caused by Brownfields
properties. Focusing on a former scrap metal recycling site located on a main entry point
into Hyde Park, the pilot grant found significant contamination at the site. Not only has
this site presented an unattractive nuisance to the neighborhood, it now appears that it
may have also been a major health hazard. Moreover, the site was offering no support to
the economic base of the community. The pilot grant also sponsored several highly
successful community workshops and seminars, and along with community members, the
Brownfields Commission. is now developing a plan to revitalize the site and bring
environmentally friendly income into the neighborhood.
Two other' former scrap metal yards sit across the street from the Pilot site -- both
constitute similar eyesores and health hazards to the community, and neither contributes
to the community's economic base. This Expanded Project will combine those two
properties with the Pilot site. This combination accomplishes several major tasks. First,
enlarging the site will make it more attractive to investors and expand its potential for
reuse. Second, preliminary investigations at the Pilot site have revealed significant
contamination both at the site and along its perimeter. Enlarging the site will eventually
lead to expanded investigations and environmental cleanup in this area, making it a safer
place for Hyde Park and the entire Augusta community. In addition, the Expanded
Project will expand and facilitate community participation in site redevelopment and
environmental problem solving. Finally, the Expanded Project will be one more step
towards Augusta's overall goal of identifying Brownfields sites throughout its environs,
and developing a master Brownfields Redevelopment Plan for the entire Augusta-
Richmond County.
SECTION 2: PROJECT GOALS. and OBJECTIVES
Overall Goal
The overall'goal of this Brownfields Redevelopment Project is to develop a plan to assess
and develop potential Brownfields sites in Hyde Park area with an eye toward using the
approach on other potential Brownfields sites in Augusta.
Specific Objectives
. Complete an environmental assessment and economic feasibility study of the two
parcels, and create a plan for environmental cleanup of the parcels.
Augusta Brownfields Program
August 2003 ,I
WORK PLAN
- 2 -
. Develop a unified and comprehensive conceptual site redevelopment and
revitalization plan for both the pilot site and the newly targeted sites.
. Expand community outreach activities to improve the flow of information to the
community, as well as to improve community participation in the decision making
process.
. Maintain and expand existing Brownfields inventory and information system on a
website.
SECTION 3: ACTIVITIES and TASKS
Representative from the project partners formed the Mayor's Brownfields Commission in
1999. This commission will manage all Brownfields activities. This project tasks
include Outreach & Public Participation, Site Assessment, Productive Reuse Planning
and expansion of existing potential Brownfields sites database. Because the Commission
will include community representatives, commuility members will participate in all levels
of the decision-making process.
Task 1 (Community Involvement and Outreach): The community involvement that
was initiated with the Pilot will be continued and expanded. The Brownfields
Commission will continue to hold its regular monthly public meetings and quarterly
public seminars and workshops to solicit community input and educate community
members about Brownfields redevelopment processes, and facilitate their input into
redevelopment planning.
Task 2 (Environmental Site Assessments/ Conceptual Site Reuse Planning): Phase I
and Phase II Environmental Site Assessments (ESAs) will be performed by an outside
environmental engineering firm on the two proposed sites. ESA will be extended to the
third site (residential area) depending on the funds availability. The Phase I ESAs will
follow the American Society for Testing and Materials (ASTM) E-1527 Guidance for
conducting Phase I ESAs.
Prior to performing Phase II field activities, a quality assurance .project plan (QAPP),
site-specific sampling and analysis plan (SAP), and a site-specific health and safety plan
(HASP) will be developed for the proposed sites and submitted to the EP A for approval.
Phase II ESAs will be conducted in accordance with these documents and include soil
and groundwater sampling and analyses to characterize the general nature and extent of
contamination. Information gathered from the original Pilot project will be used to focus
the Phase II ESAs so that funds are used effectively.
Based upon the ESA results, we will solicit input from the .community, stakeholders, ,
investors, and developers to create one or more conceptual site reuse plans. Efforts will
be made to preserve- and/or create greenspace in the redevelopment. This may ine1ude
the addition of small pocket parks, green buffer zones around commercial/industrial
settings, and potentially a nonprofit community recreational facility.
Augusta Brownfields Program
August 2003
WORK PLAN
- 3 -
Task 3 (GIS and Project Website Expansion): This task includes funding for supplies
and GIS training and support to expand Augusta's GIS Brownfields Inventory System
and Brownfields Website. Specifically, this task will include building upon an inventory
of additional Brownfields properties that have been identified under the existing Pilot
project. The characteristics of each propeliy (e.g., location, size, zoning classification,
desired land use, access to transportation routes, presence of public utilities, potential for
contamination, tax revenues, and perceived potential environmental conditions) will be
identified and added to the City's GIS Brownfields database created under the original
Pilot project. This information will be used to rank sites for potential future Brownfields
assessments under other funding means. Additionally, we will expand our Brownfields
Website to include instruction guides for using Internet and GIS software to investigate
community environmental issues and provide up-to-date information on the Brownfields
Program and updates on Project progress.
Task 4 (Program Administration): This task includes activities associated with the day-
to-day management and reporting of work performed under this grant. Travel costs and
expenses are included for participation at Brownfields conferences/workshops and
program meetings with the EP A and state agencies, and interaction with other successful
Brownfields Redevelopment Programs/communities.
SECTION 4: PROJECT SCHEDULINGIREPORTING MECHANISM
Project tentative schedule is presented at the last page ofthis document.
The following reports and deliverable will be provided.
. Quarterly Progress RepOlis including Community Relations/Outreach
Materials;
. Site Specific QAPP Plan;
. . Phase I Site Assessment Report;
. Phase II Site Assessment and Feasibility Plan;
. GIS Inventory Report;
. Final Report at Conclusion of Pilot Term; and
.
SECTION 5: MEASURES OF SUCCESS
The Mayor's Brownfields Commission will measure project success using the criteria
outlined below:
Environmental Success
1. Completion of site assessment, feasibility study and conceptual
redevelopment plan for the targeted sites;
Augusta Brownfields Program
August 2003
WORK PLAN
- 4 -
II. Community understanding of environmental contamination and its risk based
solution; and
III. Expansion of GIS based potential brownfields sites inventoried.
Economic Success
1. Expansion of Mayor's Brownfields Commission role in redevelopment
process;
II. Number of new jobs created as result of redevelopment activities;
III. Partnerships formed to address Brownfields cleanups and redevelopments;
and
IV. Number of potential developers attracted.
Community Involvement
I. Number of property owners contacted and given the benefits of redeveloping
Brownfields sites;
II. Continue implementation of a public participation plan for Brownfields
redevelopment; ,
III. Number of workshops, seminars and public meetings conducted during the
project period; and
IV. Increase in community pride as a result of the redevelopment activities;
measured through interviews and surveys.
ESTIMATED BUDGET SUMMARY
The budget and task descriptions for this Project are summarized below.
Task 1 Task 2 Task 3 Task 4
Budget Community Environmental GIS and Program
Categories Outreach Site Assessments / Project Administration
Site Reuse Plannin Web site
Personnel $10,000
Travel $10,000
Equipment $4,000 .
Su lies $1,500 $3,000
Contractual $148,000 $15,000
Other
(seminars, $8,500
workshops
and trainin )
Totals: $20,000 $148,000 $22,000 $10,000
Augusta BrownfieldsProgram
August 2003
WORK PLAN
- 5 -
SCHEDULE
AUGUSTA BROWNFIELDS PROJECT
TASK & DELIVERABLE
Start
Finish
Mayor's Brownfields Commission
1. Commission Community Meeting 10/03 08/04
3. Consultant Selection 11/03 03/04
4. RepOli Review & Submittal to EP A 09/03 09/05.
Environmental Site Assessment
IPhase I Report 11/03 05/04
2. Quality Assurance (QAPP) & Sampling 02/03 07/04
Plan
3. Phase II Site Assessment and 04/04 06/05
Characterization, and Feasibility Plan
4. Data Analysis 11/00 06/05
5. Quarterly Progress RepOli 12/03 9/05
6. Final Assessment Document 04/05 09/05
Outreach & Public Participation
1. Public Meeting/Seminar 10/03 09/05
3. Web Site Update 10/03 09/05
GIS Browrifields Site Inventory
L Inventory Data Base 05/04 01/05
2. Inventory GIS Mapping 09/04 09/05
3. Web Site Update 01/05 09/05
Planning & Administration
L Other Pilot Brownfields Site 10/03 09/05
Visit/Community Meeting, Brownfields
Conferences/Workshops, Meeting with
EP A and other Agencies
2. Alternate/Additional Funding Source o 1/04 09/05
Exploration
Augusta Brownfields Program
August 2003
Oct -
Dec.
2003
Jan. -
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2004
April -
June
2004
April -
June
2005
July-
Sept.
2005
July -
Sept.
2004
Oct.-
Dec.
2004
Jan.. -
March
2005
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WORK PLAN
- 6 -
l.
BF - 97493603 - 0 Page 1
Cooperative Agreement
ASSISTANCE 10 NO.
PRG DOC 10 AMEND#
SF. 97493603 . 0
TYPE OF ACTION
New
PAYMENT METHOD:
Reimbursement
Send Payment Request to:
Financial Management Office
PAYEE:
Augusta-Richmond County
530 Greene Street, Room 701
Augusta, GA 30911
DATE OF AWARD
#i$'i.P st-4"'~
i aft 1,
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"~l, PR~';#
RECIPIENT TYPE:
Municipal
RECIPIENT:
Augusta-Richmond County
530 Greene Street, Room 701
Augusta, GA 30911
EIN: 58-2204274
PROJECT MANAGER
Hameed Malik
530 Greene Street, Room 701
Augusta, GA 30911
E-Mail: .hm8053@augustaga.gov
Phone: 706/821-1706
U.S. ENVIRONMENTAL
PROTECTION AGENCY
EPA PROJECT OFFICER
Olga Perry
61 Forsyth Street
Atlanta, GA 30303-8960
E"Mail: Perry.Olga@epa.gov
Phone: 404-562-8534
EPA GRANT SPECIALIST
Ralph Robinson
REG; 04; WTMD
E-Mail: Robinson.Ralph@epa.gov
Phone: 404-562-8418
PROJECT TITLE AND DESCRIPTION
Brownfields Assessment and Cleanup Cooperative Agreements
New Award. This action approves an award in the amount of $200,000 to assess, plan for remediation, conduct public outreach related to.brownfields
sites.
BUDGET PERIOD
1 % 1/2003 - 09/30/2005
PROJECT PERIOD
10/01/2003 - 09/30/2005
TOTAL BUDGET PERIOD COST
$200,000.00
TOTAL PROJECT PERIOD COST
$200,000.00
NOTE: The Agreement must be completed in duplicate and the Original returned to the appropriate Grants Management Office listed below,
within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA. Receipt of a written refusal or
failure to return the properly executed document within the prescribed time. may result in the withdrawal of the offer by the Agency.
Any change to the Agreement by the Recipient subsequent to the document being signed by the EPA Award Official, which the
Award Official determines to materially alter the Agreement, shall void the Agreement. '
OFFER AND ACCEPTANCE
The United States, acting by and through the U.S. Environmental Protection Agency (EPA). hereby offers
Assistance/Amendment to the Auausta-Richmond County for 100.00 % of all approved costs
incurred up to and not exceeding $200.000 for the support of approved budget period effort described in application
(including all application modifications) cited In the Project Title and Description above, signed 07/18/2003
included herein by reference.
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)
ORGANIZATION / ADDRESS
61 Forsyth Street
Atlanta, GA 30303-8960
AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS
U.S, EPA, Region 4
Waste Management Division
61 Forsyth Street
Atlanta, GA 30303-8960
HE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
F , TYPED NAME AND TITLE
J. I. Palmer, Jr., Regional Administrator
This agreement is s' applicable U.S. Environmental Protection Agency statutory provisions and assistance regulatio s.~
accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned represents that he is duly ,
authorized to act on behalf of the recipient organization, and (2) the recipient agrees (a) that the award is subject to the applicable
provisions of 40 CFR Chapter 1, Subchapter B and of the provisions of this agreement (and all attachments). and (b) that
acceptance of any payments constitutes an agreement by the payee that the amounts, if any found by EPA to have been overpaid
will be refunded or credited in full to EPA.
BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
TYPED NAME AND TITLE
".'Boh.Y.oung, Mayor
EPA Funding Information
BF - 97493603 - 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 $ $ $0
State Contribution $ $ $0
Local Contribution $ $ $0
Other Contribution $ $ $0
Allowable Project Cost $0 $ 200,000 $ 200,000
Assistance Program (CFDA)
66.818 - Brownfields Assessment and Cleanup
Cooperative Agreements
Statutory Authority
CERCLA: Sec. 101 (39)
CERCLA: Sec. 104(k)(2)
Regulatory Authority
40 CFR PART 31
Fiscal
Site Name DCN FY Approp. Budget PRC Object Site/Project Cost Obligation /
Code Organization Class Organization Deobligation
- VT3032 03 E4 04VOAG7 501080 41.14 G400NYOO C001 200,000
. 200,000
BF - 97493603 - 0 Page 3
Budget Summary Page
Table A . Object Class Category
(Non-construction)
1. Personnel
2. Fringe Benefits
3. Travel
4. Equipment
5. Supplies
6. Contractual
7. Construction
a. Other
9. Total Direct Charges
10. Indirect Costs: % Base
11. Total (Share: Recipient 0.00 % Federal 100.00%.)
12. Total Approved Assistance Amount
13. Program Income
Total Approved Allowable
Budget Period Cost,
$10,000
$0
$10,000
$4,000
$4,500
$163,000
$0
$8,500
$200,000
$0
$200,000
$200,000
$0
SF - 97493603- 0 Page 4
Administrative Conditions
1. LOBBYING - ALL RECIPIENTS
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. LOBBYING AND LITIGATION - ALL RECIPIENTS
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:
Recipient shall abide by its respective OMB Circular (A-21 , A-87, or A-122), which prohibits the use offederal
grant funds for litigation against the United States. Any Part 30 recipient shall abide by its 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. RECYCLING TERM AND CONDITION
ALL APPLICANTS:
In accordance with EPA Order 1000.25 and Executive Order 13101, Greening the Government Through
Waste Prevention, Recycling, and Federal Acquisition, the recipient agrees to use recycled paper for all
reports which are prepared asa 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. Please note that Se,ction 901 of
E.O. 13101, dated September 14,1998, revoked E.O. 12873, FederalAcquisition, Recycling, and Waste
Prevention in its entirety.
STATE AGENCIES AND POLITICAL SUBDIVISIONS:
Any State agency or agency of a political subdivision of a State which is using appropriated Federal funds
shall comply with the requirements' set forth in Section 6002 of the Resource Conservation and Recovery
Act (RCRA) (42 U.S.G. 6962). Regulations issued under RCRA Section 6002 apply to any acquisition of
an item where the purchase price exceeds $10,000 or where the quantity of such items acquired in the
course of the preceding fiscal year was $10,000 or more. RCRA Section 6002 requires that preference be
given in procurement programs to the purchase of specific products containing recycled materials
identified in guidelines developed by EPA. These guidelines are listed in 40 CFR 247.
STATE AND LOCAL INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS, AND NON-PROFIT
ORGANIZATIONS:
Pursuant to 40 CFR 30.1,6, State and local institutions of higher education, hospitals, and non-profit
organizations that receive direct Federal funds shall give preference in their procurement programs funded
with Federal funds to the purchase of recycled products pursuant to EPA's guidelines.
4. HISTORIC PROPERTIES
The recipient agrees to consult with the appropriate State Office in the identification and evaluation of any
pre-1946 structures which may be impacted by scheduled project activities, or properties located adjacent
to the activities areas. The recipient agrees to comply with efforts to identify, evaluate and appropriately
design project activities to avoid or minimize adverse project impacts to any historic properties listed, or
which satisfy the criteria for eligibility for listing (36 CFR 6004), in the National Register of Historic Places.
5. HOTEL/MOTEL CONDITION
The recipient agrees to ensure that all conference, meeting, convention, or training space funded in whole
or in part with Federal funds, complies with The Hotel and Motel Fire Safety Act of 1990.
6. DISADVANTAGED BUSINESS ENTERPRISE (DBE) CONDITION for non-SRF Recipients
REQUIREMENTS:
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.
FAIR SHARE GOALS:
(a) The recipient accepts the Minority Business Enterprise/Women's Business Enterprise
(MBE/WBE) "fair share" goals and objectives negotiated with EPA as follows:
GEORGIA DNR
Construction: 4.0% MBE and 4.0% WBE
(includes all SRF)
All Other Categories: 4.75% MBE and 1.0% WBE
(b) If the recipient does not want to rely on the applicable State's MBE/WBE goals, the
recipient agrees to submit proposed MBE/WBE goals based on availability of qualified
minority and women-owned businesses to do work in the relevant market for construction,
services, supplies and equipment "Fair share" objectives must be submitted to the EPA
Grants Management Office, 61 Forsyth Street, Atlanta, GA 30303 within 30 days of award
and approved by EPA no later than 30 days thereafter.
PURPOSE AND OBJECTIVE:
The recipient agrees to ensure, to the fullest extent possible, that at.leastthe 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.
BID DOCUMENTS FOR PRIME AND SUBCONTRACTORS:
. The recipient agrees to include in its bid documents the applicable "fair share" objectives and
require all of its prime contractors to include in their bid documents for subcontracts the negotiated
"fair share" percentages.
REQUIRED STEPS AND DOCUMENTATION:
The recipient agrees to follow the six affirmative steps or positive efforts stated in
40 CFR 930A4(b), 40 CFR 931.36(e), or 40 CFR 935.6580, as appropriate, and retain records
documenting compliance.
REPORTING:
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 Grants Management Office 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 Grants Management Office, 61 Forsyth Street, Atlanta, GA 30303 by October 30 each
year.
RACE AND GENDER NEUTRAL ACTION:
If race and lor gender neutral efforts prove inadequate to achieve a "fair share" objective, the
recipient agrees to notify EPA in advance of any race andlor gender conscious action it plans to
take to more closely achieve the "fair share" objective.
SMALL AND RURAL BUSINESSES:
In accordance with Section 129 of Public Law 100-590, the Small Business Administration
Reauthorization and Amendment Act of 1988, the recipient agrees to utilize and to encourage any
prime contractors under the assistance agreement to utilize small business located in rural areas
to the maximum extent possible. The recipient agrees to follow the six affirmative steps stated in
40 CFR 30.44(b), 31.36 or 35.6580 as appropriate, in the award of any contracts under this
assistance agreement Compliance with this requirement will be monitored during- management
review conducted by EPA.
7. ,PERFORMANCE POLICY
This agreement is performance based and developed consistent with EPA's Policy on Performance Based
Grants and Reqion 4's Policy for Manaqement of Grants and Cooperative Aqreements. The workplan
constitutes the recipient's and EPA's commitment to accomplish the program goals and objectives. EPA's
review and evaluation of performance under this agreement and EPA's response to the findings of
oversight will be carried out in accordance with the stated policies.
Programmatic Conditions
See Brownfields Assessment and Cleanup program Terms and Conditions Attached.
Brownfields Assessment Grant Terms and Conditions
I. GENERAL FEDERAL REQUIREMENTS
NOTE: For the purposes of these Terms and Conditions the term "assessment" includes, eligible activities
under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
l04(k)(2)(A)(i) such as activities involving the inventory, characterization, assessment, and planning relating
to brownfield sites as described in the EPAapproved,workplan.
A. Federal Policy and Guidance
1.
a.
Cooperative Agreement Recipients: In implementing this agreement, the cooperative agreement
Recipient (Recipient) 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 Recipient 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 Recipient uses funds awarded
under this agreement to contract for construction, repair or alteration work, it must obtain recent
and applicable wage rates from the US. DepartrilentofLabor and incorporate them into the
construction, alteration or repair contract.
c. The Recipient agrees to comply with ExecutiveOrdel\,J3202;(Feb.'22;,,400l; 661Fed. Reg. 11225 )
of February 17, 2001, entitled "Preservation"of Open Competition ,and; Goy;emment,N eutrality
Towards Government Contractors' Labor Relations on Federal and Fedel"ally Fdhded.Construction
Projects," as amended by Executive Order 13208 (Apl"il11, 2001, 66J<ed..Reg./187J7) of April 6,
2001, entitled "Amendment to Executive Order,13202, Pres~atiolLofopen,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:s,;rhese.requirements include
but are not limited to, MBE/WBE requirementsfoun(hat40€JFR'~il36(e)'or40o!CFR 30.44(b);
OSHA Worker Health & Safety Standard 29 CFR 1910.120; the Uniform Relocation Act;
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 Recipient must provide information about site-specific work .and receive written EP A
approval prior to incurring any costs under this cooperative agreement for sites that have not
already been pre-approved in the Recipient's workplanbythe"EP~"4,;Th~inff)_atitiln~that must be
provided includes whether or not the site-meetsthe<.defmitioD ofabrownfield<as,defmed in
SlOI(39) ofCERCLA, the identity of the owner{andthe dateofacquisitioh':'>Failureto comply
with this requirement may result in denial of reimbursement of exp.ensesfofsuch activities.
b. If the site is excluded from the general defmition of a brown:field,.butiseligiblefora
property-specific funding determination, then the Recipient must provide information
sufficient for EP A to make a property-specific funding determination. The Recipient
must provide sufficient information on how fmancial assistance will protect human
1
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 Recipient must
not incur costs for assessing sites requiring a property-specific funding determination by
EPA until the EPA Project Officer has advised the Recipient of the Agency's
determination.
2.
a.
F or any petroleum contaminateJhkrownfieId site4hat-is not included in the RecipieF).t's EP A
approved work plan, the Recipient shall provide sufficient documentation to the,EPA prior to
incurring costs under this cooperative agreement which includes:
(1) that a State has determined that the petroleum-only site is of relatively low risk, as
compared to other petroleum-only sites in the State,
(2) that the State detennfues there,is "noviablt:: responsible party" for the site;
(3) 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
(4) 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 Recipient 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 thatthesite is of relatively low risk, that
there is no viable responsible party and that the person assessing Qr investigating the site
is a person who is not potentially liable-for cleaning up the site. '., Other documentli'tion
provided by a State to the Recipient,relevant.to anY'.of thedeterminations.bYdhetState
must also be provided to the EP A Project.Officer.
c. If the State chooses not to make the determinations.describedin,Q.a. above,:the,Recipient
must contact the EP A ProjectOfficeFand<provide,theinformation"'neoessa11Y,,for:EP A to
make the requisite determinations.. .
3. Historic Properties
The Recipient agrees to consult with the appropriate State Office in theideritification and evaluation of any
pre-1946 structures which may be impacted by scheduled project activities, or properties located adjacent
to the activities areas. The Recipient agrees to comply with efforts to identify, evaluate and appropriately
design project activities to avoid or minimize adverse project impacts to any historic properties listed, or
which satisfy the criteria for eligibility for listing (36 CFR 60A),in the National Register of Historic
Places.
II. GENERAL. COOPERATIVE AGREEMENT
ADMINISTRATIvE REQUIREMENTS
A. Term of the Agreement
1. The term of this agreement is two years from the date of award;,unless(,oth6l'Wise>extendecl-bYlEP A at the
Recipient's request.
2. If after 1 Y2 years from the date of award, . EP A determines that .theRecipient'haS',notmade~sufficient
progress in implementing its cooperative agreement; the.AgencymaY',terminat~,this agtteem.ent.
3. Assessment funding for any eligible brownfield site may not exceed $200,000 unless a waiver has been
received and then it is not to exceed $350,000.
2
B. Substantial Involvement
1. This is a cooperative agreement that will entail substantial involvement by EP A. Substantial EP A
involvement may include:
a. Consultation and collaboration on technical and policy matters at the Recipient's request. To the
extent Agency resources permit, EP A will provide data, advice and information that will help the
Recipient carty. out th6fagr~.em~n~~ffeeti:vely.
b. EPA review of the substantive terms of professional services contracts the Recipiententers into to
carry out specific elements of the workplan.( EPAapproval is not required for contracts for
supplies, equipment, information technology and other administrative support services.)
c. EP A review of the qualifications of consultants the Recipient hires to carry out specific elements
of the workplan.
d. Monitoring by EPA of the Recipient's performance under the agreement.
e. Review of project and community involvement activities and phases.
f. Substantial EP A involvement also. includes brownfields property-specific funding
determinations described in I.B.l. under Eligible Brownfields Site Determinations above.
If the Recipient awards a subgrant for site assessment, the Recipient may also request '
technical assistance from EP A on what sites qualify as a brownfield site and determining
whether the statutory prohibitionfoundin,section,,104~)4'40)eB)Ci)(IV) of CERCLA
applies to potential subgrant Recipients;.,GeneFally,\thig"prohibition.prohibits a.subgrant'
Recipient from using grant funds to assess a site ifthe~$ubgrl'l;nt~eeipi~tispo~entially
liab Ie under ~ 107 of CERCLA for that'site,'
g. Substantial EP A involvement may include reviewing.f1p~p,pJil-L.and.environmentaJ,$tatus
reports; and monitoring all reporting, record-keeping,and.other programreqtlirements.
h. EP A may waive or modify its substantiah.involvement,relating49.an~,:afthe~'Pf(!)N:isions in
term and condition II.B.l on any particular.matter.or classes,~fma*rs:.tht'0ugh.:written
advice to the Recipient.
2. Effect ofEPA's substantial involvement includes:
a. EPA's review of any project phas.e, document, or cost incurred under this cooperative
agreement (including assessments,' see B3 below), will not have any affect upon
CERCLA ~ 128 Eligible Response Site determinations or for rights, authorities, and
actions under CERCLA or any Federal statute.
b. The Recipient 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 Recipient and its sub-Recipients remain responsible-forincurringqosts.that.are:',!
allowable under the applicableOMB Circulars.
3. Approval of Work plan
Implementation of the award of this cooperative agreement by the Recipient is contingent upon EPA
approval of the Final Cooperative Agreement Workplan. Unless approved prior to the awar~, the
Recipient must receive written EP A approval of a Final W orkplan within 60 calender days following the
3
date of the award. Recipient must receive written EPA approval of the Workplan prior to expenditure of
federal funds under this cooperative agreement. No financial reimbursement may be made without an EPA
approved workplan.
C. Cooperative Agreement Recipient Roles and Responsibilities
4. The Recipient must acquire the services of a qualified environmental professional(s) or a qualified
federaVstate/county agency to coordinate, qirect" andover8ee~the brownfields assessmentactivitiesata
particular site, if they do not have such a professional-on staff.
5. The Recipient is responsible for ensuring that contractors and subgrant Recipients comply with thetenns
of their agreements with the Recipient, and that agreements between the Recipient andsubgrant Recipients
and contractors are consistent with the terms and conditions of this agreement.
6. Subgrants are defmed at 40 CFR 31.3. The Recipient may not subgrant to for-profit organizations. The
Recipient 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 Recipient must con'sider awarding subgrants through
competition.
D. Quarterly Progress Reports
1. The Recipient must submit progress reports on a quarterly basis (30 days after the end of each Federal
fiscal quarter, Le., October 30, January 30, April 30, July 30) to the EPA Project Officer. The progress
reports must document incremental progress at achieving the. project.goals.andmilestones..(Quarterly
progress reports must include:
a. Documentation of progress at meeting the performance ,objectives,:cproject,narrative.and project
time line.
b. An update on project milestones.
c. A budget recap summary page with the fol1owingl),.eading~~;,Ctirr.entApPJ;ovedBudget; 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 separately.
e. Recipient quarterly reports must clearly identifywhich"activities!peJ;fonnecl.>,dlWingthe reporting
period wer~ undertaken with EPA funds,'and'IDust'relat&'!iEPA..funded?3ctivitiesttothe 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 workplan for this agreement,
activities undertaken with EP A funds to be included in quarterly performance and fmandal
reporting may include:
1. Acres per property
2. Assessments completed
3. No cleanup required '
4. Types of contaminants assessed
5. Acres of greenspace to be created/preserved
6. Number of properties with one or more engineering/institutional controls
7. Redevelopment underway
8. Funds leveraged
9. Jobsleveraged
10. Health monitoring studies, insurance, institutional controls funded"
2. The Recipient must maintain records that will enable it to report tor;p.Ii.. on the atnountoffunds expended
on specific sites under this grant.
3. The Recipient must maintam. records that will enable it to report to EPA on the amount of funds expended
4
. by the Recipient at petroleum sites identified in the EP A approved workplan.
4. The Recipient must complete Property Specific Profile Forms (Information Collection Request form, OMB
Number 2050-0192) provided by EPA.
5, One copy ofthe quarterly report should be submitted to each of the following individuals:
a. EP A Designated Proj ect Dfficer
U.S. Environmental Protection Agency
Waste Management Division/Brownfields Program
61 Forsyth Street,S. W.
Atlanta, GA 30303-8960
b. Brownfields Data Manager
US EPA, Office of Brown fields Cleanup and Redevelopment (MS 5105 T)
1200 Pennsylvania Avenue, NW
Washington, DC 20460
E. Financial Status Report
Recipient shall submit two copies of the Financial Status Report (Standard Form 269) annually to the EP A
Grants Management Office, 61 Forsyth Street, S. W., Atlanta, GA 30303-8960, within 90 days after the
end of each project year. A copy must also be submitted to the Project Officer listed above in II.D.5.
llI. FINANCIAL ADMINISTRATIONRE-QUIREMENTS
A. Eligible Uses of the Funds for the Cooperative Agreement'Reeipienhi;
1, To the extent allowable under the workplan, cooperativ.eagreement funds may be used,for eligible
programmatic expenses to inventory, characterize, assess, and conduct planning:llPlihiutreach. Eligible
programmatic expenses include activities described in Section IV of!hese Tenns 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. Purchasing environmental insurance if the purchase of such insurance is necessary to carry out
assessment activities;
d. Any other eligible programmatic costs including costs incurred by the Recipient in reporting to
EP A; procuring and managing contracts; awarding and managing sub grants; and carrying out
outreach pertaining to the assessment activities.
2. Brownfield Program Development and Implementation. No more than 10% of the funds awarded by
this agreement may be used for brownfield program developmentandimplementati<i>n.(inoluding
monitoring of health and institutional controls) as described in the EPA approvedgran~workplan. The
Recipient must maintain records on funds that will be used to carry out thesetasks.inits EPA approved
grant workplan to ensure that no more than 10% of its funds are used for brownfieldprogram 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 Recipient for any of the following activities:
5
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 ata site covered by the grant;
d. To payfor apenaltyorfme;.
e. To pay a fedevaLcost 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 sub grant is
potentially liable under CERCLA ~ 1 07;
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 A-21
(universities), A-87 (state, tribal and local governments), A-122 (non-profit organizations), and
Subpart 31.2 of the Federal Acquisition Regulation (commercial organizations), as applicable.
1. Assessment, identification, characterization or remediation planning from products which are part
of a structure (Le., lead paint and.asbestos}and.result.inexposUfe.within,residentiakbuildings, 'or
businesses, or community structures,'"
j. Activities at any Federally owned or operate<1 facility>"
2. Under CERCLA 104(k)(4)(B), administrative.costs.,are,prohibited.iCOsts;;un<1~Jil.this'iag~m.ent. ,Prohibited
administrative costs include all indirect costs under-.appl,icableOMBCirculars,,,',
a. Ineligible administrative costs include costsdncurred'<in.th~~fotm'ofsalar:iesl"benefits,
contractual costs, supplies, and data processingcp.arges';iipC1;:lrr~d,tocomply;~ith,most
provisions of the Uniform Administrative Requirementslor6rants'cont~#led~-i,1140'CFR
Part 31. Direct costs for grant administration, with the exception of costs specifically
identified as eligible programmatic costs, are ineligible even if the Recipient is required
to carry out the activity under the grant agreement.
b. Ineligible grant administration costs include:
(1). Preparation of applications for Brownfields grants;
(2) Record retention required under 40 CFR 31.42;
(3) Record-keeping associated with supplies and equipment purchases required under 40 CFR
31.32 and 31.33;
(4) Preparing revisions and changes in the budgets, scopes' ofwork;'prOgl'1Wl'plansandother
activities required under 40 CFR 31.30;
(5) Maintaining and operating [mancial management systems'required under 40 <:FR31 ;
(6) Preparing payment requests and handling payments under 40 CFR 3 1.21 ;
6
(7) Non-federal audits required under 40 CFR 31.26 and OMB Circular A-l33; and
(8) Close out under 40 CFR 31.50.
3. EP A Brownfields Cooperative Agreement funds may not be used for payment of activities at the following
properties, including parcels of properties, unless, to the extent allowable under the law, EPA makes a
property specific determination, prior to expenditure of grant funds:
a. Properties where thereareCERCLA removal actions planned or ongoing;
b. Properties,subjectto corrective action orders under RCRA (Sections 3004(u) or 3008(h)),and to
which a corrective action permit or order has been issued or modified to require the
implementation' of correetive'measures;
c. Properties that are land disposal units that have filed a closure notification under RCRA Subtitle
C and to which closure requirements have been specified in a closure plan or permit;
d. Properties where there has been a release of polychlorinated biphenyls (PCBs) are subject to
remediation under TSCA;
e. Portions of properties for which funding for remediation has been obtained from the Leaking
Underground Storage Tank (LUST) Trust Fund;
f. Facilities listed, or proposed for listing, on the National Priorities List (NPL);
g. Facilities subject to unilateral administrativeordCil1~srcoUFt,orders, administrative'orders on consent
or judicial consent decree issued to or entered'bypartiesunder,.CEReEA; <
h. Facilities that are subject to the jurisdiction, custody or control oftheVnited States government
except for land held in trust by the United StatesgQyernmentforan Indian tripe; or
i. A site excluded from thedefmition of a brownfields site for whichEP A has not made a
property-specific funding determination.
C. Interest -Bearing Accounts and Program Income',
1. Any income generated with funds from this Cooperative Agreement from transactions between
the Recipient and owners of privately owned properties will be subject to the program income
provisions of 40 CFR 31.25. In accordance with 40 CFR 31.25(g)(2) the Recipient is authorized
to add this program income to the funds committed to the Cooperative Agreement by EPA'and to
usethe income for the same purposes and under the same condition!) as tl10se contained in the
Cooperative Agreement. Program income for the assessment Recipient shall be defmed as the
gross income received by the Recipient, directly generated by the cooperative agreement award or
earned during the period of the award. Program income includes, but is not limited to, fees
charged for conducting assessment, site characterizations, clean up planning or other activities
when the costs forthe activity is charged to this agreement.
2. The Recipient must deposit advances of grant funds and program,income(e;'g"fees)~in an interest
bearing account.
a. Interest earned on advances, Recipients are subjecttothe?provisionsyof40CFR
931.21(i) to remitting interest on advancest(rEPA'bha'quaIterly'basi,~.,,,,
b. Interest earned on program income is considered additional program income.
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IV. ASSESSMENT ENVIRONMENTAL REQUIREMENTS
A. Quality Assurance/Quality Control (QA/Qc) Requirements
1. When environmental samples are collected as part of the brown fields assessment, the Recipient 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. QMP: Recipient must have an EP A approved Quality Assurance Management Plan (QMPYin place
before beginning any field work, funded wholly or in part by this agreement, that includes'samplingand
analysis of environmental media. One QMP can be approved for all such work under this agreement. The
Recipient should allow EPA adequate time (generally 45 days) for review and approvaL The QMP should
be consistent with the "EP A Requirements for Quality Management Plans; (QAlR-2)."
3. QAPP: Recipient, or its service agent/contractor(s), must have an EPA approved Quality Assurance
Project Plan (QAPP) in place before beginning each property specific field work, funded wholly or in
part by this agreement, that includes sampling and analysis of environmental media. The Recipient should
allow EPA adequate time (generally 45 days) for review and approval. The QAPP should be consistent
with the "EP A, Region 4, Standard Operating Procedures and Quality Assurance Manuaf' and "Quality
Assurance Guidancefor Conducting Brownfields Site Assessments EPA 540-R-038(PB98-963307)
September 1998" or "EP A Guidance on Quality Assurance Project Plans (QAlG-5) (EP A 1998)" and later
revisions.
B. Community Relations and Public Involvement in Assessm~ntActivities
I. All assessment activities require a site-specific communityrelations.pl~~,thatJncludes!Jproviding
reasonable notice, opportunity for involvementi,responsetocommentS-;',andJadministrative records that are
available to the public, EPA must approve any>changes,tothe'activities~described'inits-workplan that the
Recipient makes in response to public comments.
C. Completion of Assessment Activities
I. The Recipient shall properly document the completion ofallactivities,deseFibedinthe.~EPA approved
workplan. This must be done through a fmalrepoworiletter,frorn,aqualifieckenvironmental professional,
or other documentation provided by a State or Tribe that shows assessments are complete. This .
documentation must be included as part of the administrative record.
D. All Appropriate Inquiry
1. As required by CERCLA ~ 104(k)(2)(B)(ii) and CERCLA ~101(35)(B) , the Recipient shall ensure that a
"Phase I" site characterization and assessment carried out under this agreement will be perfprrned in
accordance with American Society of Testing and Materials (ASTM) standard EI527-00, "Standard
Practices for Environmental Site Assessment: Phase I Environmental Site AssessmentProcess," until EPA
promulgates fmal federal standards governmg the conduct of "all appropriate inquiry." After EPA
promulgates fmal regulations governing the conduct of all appropriate inquiry, Phase I.~ite
characterizations and assessments will have to be conducted in compliahQe,:.with::.the-l-f'mrebwegq.lations. This
does not preclude the use of grant funds for additional' site characterization and'assessrnent activities that
may be necessary to characterize the environmentaHmpacts at the site or to comply'with applicable State
standards.
E. Publication of Results
EPA encourages the publication of the results of its assistance programs. The Recipient may publish the
material for its own use if it includes the following statement:
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"Although the information in this document has been funded wholly or in part by the United
States Environmental Protection Agency under assistance agreement (number) to, (Recipient), it
has not been subjected to the Agency's publications review process and, therefore, may not
necessarily reflect the views of the Agency and no official endorsement should be inferred."
If the Recipient chooses to publish the results of its assistance program as an "EPA Product", it must
comply with EPA's publication review process. Recipient should contact the Grants Project Officer listed
above for specific details.
V. CONFLICT OF INTEREST: APPEARANCE OF LACK OF IMPARTIALITY
A. Conflict of Interest
1. The Recipient 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 Recipient's appearance oflack of
impartiality. Such situations include, but are not limited to, situations in which an employee, official,
consultant, contractor, or other individual associated with the Recipient (affected party) approves or
administers a grant or subgrant to a sub grant Recipient in which the affected party has a financial or other
interest. Such a conflict of interest or appearance oflack 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 abouMoemploy,'anyoftherabove;-
has a financial or other interest in the subgrant Recipient;;..
Affected employees will neither solicit nor acceptgratuities;favorsr'ONmythirtg'4~ftfionetary value from
subgrant Recipients. Recipients may set minimum:rules where'thefmanciahirtterest-isnotsubstantial or
the gift is an unsolicited item of nominal intrinsicvalue/"Tothe'extent'permitted"by'6tn:t-e"or local law or
regulations, such standards of conduct will provideforpenalties;sanctionsii0r otherdisGiplinary actions for
violations of such standards by affected parties;.",
,VI. PAYMENT AND CLOSEOUT
A. Payment Schedule
1. Reimbursements
The" Recipient must request reimbursements, not advances. using Standard Form 270 (SF-270),
"Request for Advancement or Reimbursement" as costs are incurred on the assistance agreement, and use
the Automated Standard Application for Payment System (ASAP). The SF-270 should be submitted
quarterly, butno more frequently than monthly. Although not required, it is preferable that requests for
reimbursements be, submitted with the quarterly progress report.
The request should be submitted to:
EP A Designated Project Officer
U.S. Environmental Protection Agency
Waste Management Division/Brownfields Program
61 Forsyth Street, S. W.
Atlanta, GA 30303-8960
Along with the SF-270, the Recipient shall provide sufficient documentation to provide adequate
9
explanation of the incurred costs. Such documentation may include invoices, receipts, narrative Or other
types of itemization. NOTE: The'Project Officer must approve Recipient's expenditures requested for
reimbursement through ASAP prior to electronic payment.
B. Schedule for Closeout
I. Closeout will be conducted in accordance with 40 CFR 31.50.
2, Within 90 days after the end of the project period, the Recipient agrees to submit a copy of the final project
report to each of the addressees listed above (Section II. D.5). The report must clearly address the items
below:
a. An abstract or overview of the project in terms of its overall process and outcomeg,;i' Indicate
which eligible activities and/or EPA criteria were addressed and how these were fulfilled.
b. Information on the target audience, such as local residents, community activists, businesses, etc"
and demographics of the target audience.
c. A description of evaluation measures and results.
d. Plans for dissemination of project results in terms of method of dissemination and target audience
(i.e. conference presentations, educator networks, community forums, etc.).
e. Problems encountered that prohibited the completion of the project goals or objectives and how
they have been resolved.
f. What benefits were gained from the program. '.
3. In addition to the report, the Recipient should also supply to the EPPd3rant'ProjectOfficerlisted above
one copy of all tangible fmal products that were created.for thepurposesmf-theifuiided'project, funded
wholly or partly with EPAfunds (Le., videos, research fll1dings;'PhaseUIl'Bfownfield assessment
reports, Brownfield inventories, presentations, etc.). If an exhibit orslide'show:was'created or an item too
large and/or expensive to duplicate, photos or digitizedfiles,.in anacceptable.fotmat.iofthe product, may
be substituted. . .
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