EPA Grant Brownfields Port of DMEMORANDUM
October 14, 2002
TO:The Honorable Mayor and City Council Members
FROM:Michael C. Van Milligen, City Manager
SUBJECT:Cooperative Agreement for EPA Grant
Economic Development Director Bill Baum is recommending City Council approval of
the Cooperation Agreement with the Environmental Protection Agency (EPA) for a
Brownfields Assessment Demonstration Pilot program in the amount of $200,000, which
will be used to complete Phase I and Phase II Environmental Assessments in the Port
of Dubuque.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Michael C. Van Milligen
MCVM/jh
Attachment
cc: Barry Lindahl, Corporation Counsel
Cindy Steinhauser, Assistant City Manager
Bill Baum, Economic Development Director
CITY OF DUBUQUE, IOWA
MEMORANDI IM
October 8, 2002
To:Michael C. Van Milligen, City Manager
From:Bill Baum, Economic Development Director
Subject:Cooperative Agreement for EPA Grant
Introduction
The purpose of this memorandum is to provide information and request action on
a Cooperative Agreement with the Environmental Protection Agency (EPA) for a
Brownfields Assessment Demonstration Pilot program.
Discussion
In December of 2001, the City Council approved a proposal to EPA for a grant
through the Brownfields Assessment Demonstration Pilot program. The proposal
discussed the City's Master Plan for the Port of Dubuque, and the City's need to
complete Phase I and Phase II Environmental Assessments in the area. The
proposal requested $200,000.
The City's proposal was selected for funding. A formal application was prepared
and approved by the City Council on July 1,2002. The application has been
approved by EPA, and a Cooperative Agreement has been executed by EPA,
and forwarded to the City for approval and signature.
Action
I recommend the City Council approve the Cooperation Agreement, and adopt
the resolution authorizing and directing the Mayor to sign the Cooperation
Agreement.
F:\USERS\WBaum\Brownfields\MVM Memo on EPA Cooperation Agreement.doc
RESOLUTION NO.561-02
RESOLUTION APPROVING A COOPERATIVE AGREEMENT WITH THE
ENVIRONMENTAL PROTECTION AGENCY FOR THE BROWNFIELDS
ASSESSMENT DEMONSTRATION PILOT PROGRAM FOR
ENVIRONMENTAL ASSESSMENTS IN THE PORT OF DUBUQUE.
Whereas, the City of Dubuque is in the process of redeveloping the Port
of Dubuque; and
Whereas, certain properties in the Port of Dubuque may be in need of
environmental assessment, and cleanup to promote their sustainable reuse;
and
Whereas, the Environmental Protection Agency (EPA) provides grants
for environmental assessments under the Brownflelds Assessment
Demonstration Pilot program; and
Whereas, a formal application for a $200,000 grant from the Brownfields
Assessment Demonstration Pilot program has been approved by the City
Council on July 1,2002, and said application has been approved for funding,
and a Cooperative Agreement has been executed by EPA.
NOW THEREFORE BE IT RESOLVED BY THE CITY COUNCIL OF
DUBUQUE, IOWA:
The Cooperative Agreement, attached hereto, for the Brownfields
Assessment Demonstration Pilot program is hereby approved and the Mayor is
hereby directed and authorized to execute the Agreement on behalf of the City
of Dubuque.
Passed, approved, and adopted this 21 st day of October 2002.
Terrance M. Duggan, .Mayor
Attest:
Jeanne F. Schneider, City Clerk
F:\USERS\WBaum\Brawnfields\RESOLUTION on Brownfields Cooperative Agreementdoc
US Environmental Protection Agency
Cooperative Agreement
EPA Funding Information BP-98719701-0 Page2
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) Statutory Authority Regulatory Authority
66.811 - Brownfield Pilots Cooperative CERCLA: Sec. 104 40 CFR PTS 31 & 35 SUBPT O
Agreements
Fiscal
Site Name DCN FY Approp. Budget PRC Object Site/Project Cost Obligation /
Code Organization Class Organization Deobligation
DUBUQUE D2D125 02 T D1D 50108D 4185 HQCONY00 200,000
200,000
BP-98719701-0 Page 3
Budget Summary Page
~ Table A - Object Class Category Total Approved Allowable
(Non-construction) Budget Period Cost
1. Personnel $0
2. Fringe Benefits $0
3. Travel $5,000
4. Equipment $0
5. Supplies $1,000
6. Contractual $194,000
7. Construction $0
8. Other $0
9. Total Direct Charges $200,000
10. Indirect Costs: % Base $0
'11. Total (Share: Recipient 0.00 % Federal 100.00%.) $200,000
12. Total Approved Assistance Amount $200,000
t3. Program Income $0
Administrative Conditions
BP-98719701-0 Page 4
In accordance with OMB Circular A-21, A-87 or A-122, as appropriate, the Recipient
agrees that it will not use project funds, including the Federal and non-Federal share, to engage in
lobbying the Federal Government or in litigation against the United States. The recipient agrees to
provide EPA Form 5700-53, Lobbying and Litigation Certificate as mandated by EPA's annual
Appropriations act. The Chief Executive Officer of any entity receiving assistance funds must
certify that none of these funds have been used to engage in the lobbying of the Federal
Government or in litigation against the United States unless authorized under existing law. The
certification must be submitted to the EPA grants specialist, who is identified on the award
document, within 90 days after the end of the project period.
Recipient agrees to comply with the Anti-Lobbying Act, Section 319 of Public Law 101-121,
effective December 23, 1989.
Recipient acknowledges that if any expenditure is made as prohibited by the Act, that he shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such
expenditure.
Recipient further acknowledges that failure to file or amend the disclosure form, if required, shall
be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such
failure.
Recipient also agrees to include in all solicitation documents the following:
"Sub recipients who request or receive from the grant recipient a subgrant, contract, or
subcontract exceeding $100,000, at any tier under a federal grant shall comply with the
Anti-Lobbying Act, Section 319 of Public Law 101-121, and file an Anti-Lobbying Certification
form, and the Disclosure of Lobbying Activities form, if required, to the next tier above."
Recipient agrees to comply with Federal Register, Volume 53, No. 102, dated May 26, 1988,
Debarment and Suspension Under EPA, Assistance, Loan and Benefit Programs, which requires
all solicitations for subagreements to include the following statement:
The prospective participants must certify by submittal of EPA Form 5700-49, Certification
Regarding Debarment, Suspension and Other Responsibility Matters, that to the best of its
knowledge and belief that it and its principals are not presently debarred, suspended, proposed
for debarment, declared ineligible or voluntarily excluded from covered transactions by any
Federal department or agency."
The Recipient acknowledges that doing business with any party appearing on the
non-procurement portion of the "List of Parties Excluded from Federal Procurement Programs"
may result in disallowance of costs under this agreement and may also result in suspension or
debarment.
Recipient agrees to ensure that all space for conferences, meetings, conventions or training
funded in whole or in part with Federal funds comply with the Hotel and Motel Fire Safety Act of
1990.
The recipient agrees to comply with the requirements far EPA's Program for Utilization of Small,
Minority and Women's Business Enterprises in procurement under assistance agreements:
(a) Except as otherwise provided, the recipient accepts the applicable FY 1999 Minority Business
Enterprise (MBE)RVomens Business Enterprise (WBE) "fair share" goals/objectives negotiated
with EPA by the Iowa Department of Natural Resources (IDNR) as follows:
IA MBE WBE
Supplies 0.6% 05.6%
Equipment 2.5% 10.4%
Services 2.5% 11.3%
Construction 1.7% 02.2%
(b)(1) The recipient agrees to ensure, to the fullest extent possible, that at least the applicable "fair
share" objectives of Federal funds for prime contracts or subcontracts for supplies, construction,
equipment or services are made available to organizations owned or controlled by socially and
economically disadvantaged individuals, women and Historically Black Colleges and Universities.
(2) For assistance agreements related to research under the Clean Air Act Amendments of 1990,
the recipient agrees to ensure, to the fullest extent possibIe, that at least the applicable "fair share"
objectives of Federal funds for prime contracts or subcontracts for supplies, construction,
equipment or services are made available to organizations owned or controlled by socially and
economically disadvantaged individuals, women, disabled Americans, Historically Black Colleges
and Universities, Colleges and Universities having a student body in which 40% or more of the
students are Hispanic, minority institutions having a minority student body of 50% or more, and
private and voluntary organizations controlled by individuals who are socially and economically
disadvantaged.
(c) The recipient agrees to include in its bid documents the applicable "fair share" objectives of
Federal funds and require all of its prime contractors to include in their bid documents for
subcontracts the negotiated "fair share" percentages.
(d) The recipient agrees to follow the six affirmative steps stated in 40 CFR §30.44(b), 40 CFR
§31.36(e), or 40 CFR §35.6580, as appropriate, and retain records documenting compliance.
(e) The recipient agrees to submit an EPA form 5700-52A "MBENVBE Utilization Under Federal
Grants, Cooperative Agreements and Interagency Agreements," beginning with the Federal fiscal
year quarter the recipient receives the award and continuing until the project is completed. These
reports must be submitted to the EPA, MBENVBE Coordinator, within 30 days of the end of the
Federal fiscal quarter (January 30, April 30, July 30, and October 30). For assistance awards for
continuing environmental programs and assistance awards with institutions of higher education,
hospitals and other non-profit organizations, the recipient agrees to submit an EPA form 5700-52A
to the EPA, MBENVBE Coordinator, by October 30 of each year.
(f) If race and/or gender neutral efforts prove inadequate to achieve a "fair share" objective, the
recipient agrees to notify EPA in advance of any race and/or gender conscious action it plans to
take to more closely achieve the "fair share" objective.
(g) Non-governmental recipients that wish to negotiate their own FY 1999 MBENVBE goats must
submit proposed MBERVBE goals based on an availability analysis, or, at their option, a disparity
study, of quaIified MBEs and WBEs to do the work in the relevant market for construction,
equipment, services, and supplies. The recipient agrees to submit proposed "fair share"
objectives, together with the supporting availability analysis or disparity study, to the EPA,
MBE/WBE Coordinator, within 30 days of award. EPA will conclude "fair share" negotiations
within 30 days of receiving the submission. Once EPA approves the objectives, the recipient
agrees to apply them in accordance with paragraphs (b)-(f).
3. EPA may take corrective action under 40 CFR Parts 30, 31, and 35, as appropriate, if the
recipient fails to comply with these terms and conditions.
Any State agency or agency of a political subdivision of a State which is using appropriated
Federal funds shall comply with Section 6002 of the Resource Conservation and Recovery Act
(RCRA) (42 U.S.C. 6962). RCRA Section 6002 requires that preference be given in procurement
programs to the purchase of specific products containing recycled materials identified in
guidelines developed by the Environmental Protection Agency (EPA). Current guidelines are
contained in 40 CFR 247-254. State and local recipients and subrecipients of grants, loans,
cooperative agreements or other instruments funded by appropriated Federal funds shall give
preference in procurement programs to the purchase of recycled products pursuant to the EPA
guidelines.
Recipient agrees, pursuant to EPA Order 1000.25, dated January 24, 1990, to use recycled paper
for all repor[s which are prepared as a part of this assistance award and delivered to the Agency.
Programmatic Conditions
Nothing contained in this Agreement shall be construed to create, either expressly or by
implication, the relationship of Agency between EPA and the Recipient. Any standards,
procedures, or protocols prescribed in this Agreement to be followed by the Recipient during the
performance of its obligations under this Agreement are to assure the quality of the final product
of the actions contemplated by this Agreement, and do not constitute a right to control the actions
of the Recipient. EPA (including its employees and contractors) is not authorized to represent or
act on behalf of the Recipient in any matter relating to this Agreement, and the Recipient
(including its employees and contractors) is not authorized to represent or act on behalf of EPA in
any matter related to this Agreement. Neither EPA nor the Recipient shall be liable for the
contracts, acts, errors, or omissions of the agency, employees, or contractors of the other party
entered into, committed, or performed with respect to or in the performance of, this Agreement.
This Agreement is intended to benefit only the Recipient and the EPA. It extends no benefit or
rights to any party not a signatory to this Agreement. In addition, EPA does not assume any rights
to third parties with respect to losses due to bodily injury or property damages that exceed the
limitations contained in the provisions of 28 U.S.C. Section 1346(b), 2671-2680. To the extent
permitted by State law, the Recipient does not assume liability to any third parties with respect to
losses due to bodily injury or property damage.
Where State laws, other restrictions, or any other event may prevent the Recipient from acting
consistent with the Comprehensive Environmental Response, Compensation, and Liability Act of
1980 (CERCLA), as amended by the Superfund amendments and Reauthorization Act of 1986
(SARA), in carrying out any portion of this agreement, the Recipient agrees to promptly notify and
consult with EPA regarding the use of such laws or other restrictions.
Recipient agrees to provide the following reports and deliverables:
a. Recipient agrees to submit quarterly performance reports and final performance
reports on all activities identified in the work plan in accordance with 40 CFR 31.40 and
CFR 35.6650. These reports will document the incremental or final progress in achieving
the project goals and milestones.
In describing the work accomplished during the reporting period, recipients are
encouraged to describe related brownfields efforts in their quarterly and final
performance reports if they occurred as part of the Recipient's broader
Brownfields redevelopment and reuse efforts; however, the report must clearly
delineate which tasks are funded by the cooperative agreement and which items
are funded from other sources.
ii.
In describing the work accompY~shed during the reporting period (e.g., quarter), recipients are
required to provide, at a minimum, hfformafion on the following Key Measures for the
Brownfields Assessment Demunstmtion pilots:
· Number of Properties Estimated in Brownfields Pilot Jurisdiction;
· Number of Properties Reported to be Contained th Pilot Inventories;
· Number of Properties Reported to be Targeted by Pilot;
· Number of Properties with Brownfields Assessment Started with Pilot Funding;
· Number of Properdes with Brownfields Assessment Completed with Pilot Funcrmg;
· Number of Properties with Brownfields Assessment Completed with Other Funding;
· Number of Properties with Brownfields Assessment that Do Not Require Cleanups;
· Number of Properi/es with Brownfields Cleanup Activities Started;
· Number of Properties with Brownfields Cleanup Activities Completed;
· Number of Properties with Brownfields Redevelopment Activities Underway;
· Number of Cleenup/Constmcfion Jobs Leveraged;
· Number of Cleanup Dollars Leveraged;
· Number of Redevelopment Jobs Leveraged; and
· Number of Redevelopment/Constmctiun Dollars Leverage&
Additionally, ali Brownfields Showcase Community pilots are required and Brownfields
Assessment Demonstration Pilots are encouraged to provide information on the following Key
Measures for Brownfields Showcase Communities:
· Number of Brownfields-related Partnerships with other Orgar/tzations including the following
subtotals:
· Number of PartnerslY~ps with Other Federal Agencies;
· Number of Pattnerships with State and Tribal Government Agencies;
· Number of Parmerships with Local Government Agencies; and,
· Number of Parmerships with Private Entities and Non-governmental Organizations;
and,
· Brownfields-related Functmg Received from Other Sources including the following subtotals: · Funffmg Received fi.om Other Federal Agencies;
· FuncVmg Received from State and Tribal Government Agencies;
· Funffmg Received fi.om Local Government Agencies; and
· FuncVmg Received fi.om Private Entities and Non-governmental Organizations.
All of the above Key Measures are described in the July I0, 2002 letter regarffmg "Updated
Brownfields Key Measures Reporting Requirements for Brownfields Cooperative, "that was sent to
the Program/Project Director for this CA by Susan Klein, USEPA Region 7's Brownfields
CoorcVmator.
The quarterly performance reports shall be due no later than 30 days after the end of the
federal fiscal quarter.
The Recipient agrees to submit the odginal and one copy of the quarterly performance
report to the following:
EPA Project Officer (See EPA Grant Agreement)
US EPA Region 7
901 N. 5~ Street
Kansas City, KS66101
The Recipient is also encouraged to send a courtesy copy of these reports to their State
Environmental Voluntary Cleanup Program.
The final performance report shall be due no later than 90 days after the expiration or
termination of this cooperative agreement.
Recipient agrees to submit the original and two copies of the final performance report.
These copies shall be submitted as directed for the quarterly performance reports above.
ii.
These final performance reports will provide a summation of the information required in
the quarterly performance reports. The final performance report will also clearly address
the items below:
(1)
(2)
(3)
(4)
(5)
(6)
An abstract or overview of the project in terms of its overall process and
outcomes. Indicate which eligible activities and/or EPA criteria were addressed
and how these were fulfilled;
Information on the target audience (i.e.,local residents, community activists,
businesses, etc.);
Description of evaluation measures and results;
Plans for dissemination of project results in terms of method of dissemination
and target audience (i.e., conference presentations, educator networks,
community forums, etc.);
Any problems encountered that prohibited the completion of the project goals or
objectives and how they have been resolved; and,
Benefits gained by the recipient and their target audience from this program.
After review of the final report, the EPA Project Officer may request additional information
from the recipient. In addition to the report, the recipient agrees to supply two copies to
EPA of ali tangible final products that were created for the purposes of the funded
projects (i.e., videos, research findings, curriculum, presentations,, etc.) Inan exhibit or
slide show was created or an item is too large and/or expensive to duplicate, photos or
transcripts of the product may be substituted.
Financial Status Reports (Standard Form 269) are due in accordance with 40 CFR 35.6670 and 40
CFR 31.41. For programs or projects with a project period in excess of one year an annual
Financial Status Report will be due within 90 days after the end of each federal fiscal year. A
Final Financial Status Report will also be due within 90 days after the termination or c[oseout
of the cooperative agreement.
The Recipient will submit the Financial Status Reports as discussed above to the
following:
US EPA Las Vegas Financial Management Center
PO Box 98515
Las Vegas, NV 89193-8515
The funding provided in this agreement must be used in accordance with CERCLA and the guidelines set
forth in the document "The Brownfields Economic Redevelopment Initiative: Proposal Guidelines for Brownfields
Assessment Demonstration Pilots" (September 2001, EPA 500-F-01-343).
In accordance with 40 CFR 31.25(g)(2) the Recipient is authorized to add program income to the funds
committed in this cooperative agreement and to use the income for the same purposes and under the same
conditions as those contained in this agreement.
Any transaction involving the transfer of CA funds to acquire goods and services must comply with 40 CFR
35.6550-35.6610. The Recipient may use contracts, intergovernmental agreements or subgrents. All
subgrants must be approved by the EPA Project Officer prior to the Recipient entering into the subgrant
agreement.
7. The Recipient agrees, before publication of the results of this assistance agreement (such as fact sheets,
brochures, or press releases) to provide the EPA Project Officer with a draft of the material proposed for
publication for EPA review and written suggestions, and to incorporate any necessary disclaimer statement
provided by the EPA Project Offic~er in the final document when published.
The Recipient must provide written request, and receive EPA Project Officer approval prior to expenditure
of federal funds under this cooperative agreement for changes in the approved work plan in accordance
with 40 CFR 31.30, including the following:
For any site which was not specifically identified in the approved work plan and thus changing the
scope of project, the Recipient must provide sufficient site-specific information demonstrating the
site meets the definition of a Brownfield; and
For activity at privately-owned property, the Recipient must demonstrate in writing: a) there is
formal mechanism for the Recipient to receive appropriate compensation for the proposed
assessment activities, or b) there is an overriding public benefit that would ensue from the
performance of the site assessment; or c) there is a commitment from the property owner to pay
for, or conduct, any necessary cleanup activities at the site..
As with all program income, any income generated from transactions between the Recipient and
owners of privately owned sites will be subject to the program income provisions of 40 CFR 31:25.
If the Recipient's project involves environmentally related measurements or data generation, the Recipient
shall develop and implement quality assurance practices consisting of policies, procedures, specifications,
standards, and documentation sufficient to produce data of quality adequate to meet project objectives and
to minimize loss of data due to out-of-control conditions or malfunctions (40 CFR 31.45). The Recipient
must submit a Quality Assurance Project Plan (QAPP) to the EPA Project Officer for review and receive
EPA Region VIl's approval prior to the collection of environmental data.
BP - 98719701 - 0 Page 1
ASSISTANCE ID NO.
~) b~4..~ IAMEND# DATE OF AWARD
U.S. ENVIRONMENTAL PRG I DOC D
~ ~ BP - 98719701 - 0
PROTECTION AGENCY TYPE OF ACTION MAILING_DATE
¢_¢.~ New ;-f,U 5~P ~'~
~¢.~.'7~_ ~,4P'~< ~¢¢"Cooperative Agreement AcHPAYMENT METHOD: ACH#
RECIPIENT TYPE: Send Payment Request to:
Municipal U.S. Enviranmental Protection Agency - Las Vegas FMC
P.O. Box 98515, Las Vegas, NV 89193-8515
Cesta~: 702-798-2507, FAX: 702-798-2423
RECIPIENT: PAYEE:
City of Dubuque Same as Recipient
50 West 13th Sb'eet 50 West 13th Street
Dubuque, IA 52001 Dubuque, IA 52001
EIN: 42~004596
PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST
WiiIiam J. Baum Shane Reed Robert Bukaty
50 West 13th Street 901 North Fifth Street
Dubuque, IA 52001 Kansas City, KS 66101 E-Mail: Bukaty. Robert@epa.gov
E-Mail: E-Mail: Reed. Shane@epa.gov Phone: 913-551-7846
Phone: 563-589-4393 Phone: 913-551-7988
PROJECT TITLE AND DESCRIPTION
port of Dubuque Brawnfie[ds Redevelopment Project
Brewnfields Assessment Demonstration Pilot - The proje~ includes Phase I and ii environmental site assessments which will enable the Port of Dubuque
to identify and assess Brownfields properties in their project area.
10/01/2002 - 12/30/2004. 10/01/2002 - 12/30/2004 ,$200,000.00 $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 City of Dubuque for t00.00 % of all approved costs incurred
up to and not exceeding $200,000 for the support.of approved budget period effo~dsscribed in application (including
all application modifications) cited in the Project Title and Description above, signed 07/0112002 included herein
by reference.
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE) AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS ORGANIZATION / ADDRESS
Grants Management Office U.S. EPA, Region 7
901 North Fifth Street
Kansas City, KS 66101 901 North Fifth Street
Kansas City, KS 66101
~ ~;;;~HE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
· '~ Carol Rompage, Grants Management Official
This agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance regulations. In
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 I, 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
SIGNATURE I TYPED NAME AND TITLE IDATE
Terrance M. Duggan, Mayor
EPA Funding Information BP- 98719701- 0 Page 2
FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL
EPA Amount This Action $ $ 200,000 $ 200,000
EPA In-Kind Amqu~nt $ $ $ 0
Une×pend~d Prior Year Balance $ $ $ 0
Other Federal Funds $ $ $ 0
Recipient Contribution $ $ $ 0
State Contribution $ $ S 0
Local Contribution $ $ $ 0
Other Contribution $ $ $ 0
Allowable Project Cost $ 0 $ 200,000 $ 200,000
Assistance Program (CFDA) Statutory Authority Regulatory Authority
66.611 - Brownfield Pilots Cooperative CERCLA: Sec. 104 40CFR PTS 31 & 35 SUBPT O
Agreements
Fiscal
Site Name DCN FY Approp. Budget PRC Object Site/Project Cost Obligation /~
Code Organization Class Organization Deob gat on
DUBUQUE D2D125 02 '~ DID 50'i06D 4185 . HQC0NY00 200,000
200,000
BP-98719701-0 Page 3
Budget Summary Page
Table A - Object Class Category Total Approved Allowable
(Non-construction) Budget Period Cost
1. Personnel $0
2. Fringe Benefits $0
3. Travel $5,000
4. Equipment $0
5. Supplies $1,000
6. Contractual $194,000
7. Construction $0
8. Other $0
9. Total Direct Charges $200,000
10. Indirect Costa: % Base $0
1t. Total (Share: Recipient-0~0 % Federal '[00.00 %.) $200,000
t2. Total Approved Assistance Amount $200,000
13. Program Income $0
Administrative Conditions
BP-98719701-0 Page 4
In accordance with OMB Circular A-21, A-87 or A-122, as appropriate, the Recipient
agrees that it will not use project funds, including the Federal and non-Federal share, to engage in
lobbying the Federal Government or in litigation against the United States. The recipient agrees to
provide EPA Form 5700-53, Lobbying and Litigation Certificate as mandated by EPA's annual
Appropriations act. The Chief Executive Officer of any entity receiving assistance funds must
certify that none of these funds have been used to engage in the lobbying of the Federal
Government or in litigation against the United States unless authorized under existing law. The
certification must be submitted to the EPA grants specialist, who is identified on the award
document, within 90 days after the end of the project period.
Recipient agrees to comply with the Anti-Lobbying Act, Section 319 of Public Law 101-121,
effective December 23, 1989.
Recipient acknowledges that if any expenditure is made as prohibited by the Act, that he shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for.each such
expenditure.
Recipient further acknowledges that failure to file or amend the disclosure form, if required, shall
be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such
failure.
Recipient also agrees to include in all solicitation documents the following:
"Sub recipients who request or receive from the grant recipient a subg~ant, contract, or
subcontract exceeding $100,000, at any tier under a federal grant shall comply with the
Anti-Lobbying Act, Section 319 of Public Law 101-121, and file an Anti-Lobbying Certification
form, and the Disclosure of Lobbying Activities form, if required, to the next tier above."
Recipient agrees to comply with Federal Register, Volume 53, No. 102, dated May 26, 1988,
Debarment and Susper)sion Under EPA, Assistance, Loan and Benefit Programs, which requires
all solicitafions f_or subagreements to include th~ following statement: .
The prospective participants must certify by submittal of EPA Form 57,00-49, Certification
Regarding Debarment, Suspension and Other Responsibility Matters ~'that to the best of its
know edge and be ef that t and ts pr nc pa s are not present y debarred, suspended, proposed
for debarment, declared ineligible or voluntarily excluded from covered transactions by any
Federal department or agency."
The Recipient acknowledges that doing business with any party appearing on the
non-procurement portion of the "List of Parties Excluded from Federal Procurement Programs"
may result in disallowance of costs under this agreement and may also result in suspension or
debarment.
Recipient agrees to ensure that all space for conferences, meetings, conventions or training
funded in whole or in part with Federal funds comply with the Hotel and Motel Fire Safety Act of
1990.
The recipient agrees to comply with the requirements for EPA's Program for Utilization of Small,
Minority and Women's Business Enterprises in procurement under assistance agreements:
(a) Except as otherwise provided, the recipient accepts the applicable FY 1999 Minority Business
Enterprise (MBE)/VVomens Business Enterprise 0NBE) "fair share" goals/objectives negotiated
with EPA by the Iowa Department of Natural Resources (IDNR) as follows:
IA MBE WBE
Supplies 0.6% 05.6%
Equipment 2.5% 10.4%
Services 2.5% 11.3%
Construction 1.7% 02.2%
(b)(1) The recipient agrees to ensure, to the fullest extent possible, that at least the applicable "fair
share" objectives of Federal funds for prime contracts or subcontracts for supplies, construction,
equipment or services are made available to organizations owned or controlled by socially and
economically disadvantaged individuals, women and Historically Black Colleges and Universities.
(2) For assistance agreements related to research under the Clean Air Act Amendments of 1990,
the recipient agrees to ensure, to the fullest extent possible, that at least the applicable "fair share"
objectives of Federal funds for prime contracts or subcontracts for supplies, construction,
equipment or services are made available to organizations owned or controlled by socially and
economically disadvantaged individuals, women, disabled Americans, Historically Black Colleges
and Universities, Colleges and Universities having a student body in which 40% or more of the
students are Hispanic, minority institutions having a minority student body of 50% or more, and
private and voluntary organizations controlled by individuals who are socially and economically
disadvantaged. ~
(c) The recipient agrees to include in its bid documents the applicable "fair share" objectives of
Federal funds and require all of its prime contractors to include in their bid documents for
subcontracts the negotiated "fair share" percentages.
(d) The recipient agrees to follow the six affirmative steps stated in 40 CFR §30.44(b), 40 CFR
§31.36(e), or 40 CFR §35.6580, as appropriate, and retain records documenting compliance.
(e) The recipient agrees to submit an EPA form 57.00-52A "MBENVBE Utilization Under Federal
Grants, Cooperative Agreements and Interagency Agreements," beginning with the Federal fiscal
year quarter the recipient receives the award and;continuing until the project is completed. These
reports must be submitted to the EPA, MBENVBE Coordinator, within 30 days of the end of the
Federal fiscal quarter (January 30, April 30, July 30, and October 30). For assistance awards for
continuing environmental programs and assistance awards with institutions of higher education,
hospitals and other non-profit organizations, the recipient agrees to submit an EPA form 5700-52A
to the EPA; MBE/VVBE Coordinator, by October 30 of each year.
(f) If race and/or gender neutral efforts prove inadequate to achieve a "fair share" objective, the
recipient agrees to notify EPA in advance of any race and/or gender conscious action it plans to
take to more closely achieve the "fair share" objective.
(g) Non-governmental recipients that wish to negotiate their own FY 1999 MBE/WBE goals must
submit proposed MBE/WBE goals based on an availability analysis, or, at their option, a disparity
study, of qualified MBEs and WBEs to do the work in the relevant market for construction,
equipment, services, and supplies. The recipient agrees to submit proposed "fair share"
objectives, together with the supporting availability analysis or disparity study, to the EPA,
MBE/WBE Coordinator, within 30 days of award. EPA wilt conclude "fair share" negotiations
within 30 days of receiving the submission. Once EPA approves the objectives, the recipient
agrees to apply them in accordance with paragraphs (b)-(f).
3. EPA may take corrective action under 40 CFR Parts 30, 31, and 35, as appropriate, if the
recipient fails to comply with these terms and conditions.
Any State agency or agency of a political subdivision of a State which is using appropriated
Federal funds shall comply with Section 6002 of the Resource Conservation and Recovery Act
(RCRA) (42 U.S.C. 6962). RCRA Section 6002 requires that preference be given in procurement
programs to the purchase of specific products containing recycled materials identified in
guidelines developed by the Environmental Protection Agency (EPA). Current guidelines are
contained in 40 CFR 247-254. State and local recipients and subrecipients of grants, loans,
cooperative agreements or other instruments funded by appropriated Federal funds shall give
preference in procurement programs to the purchase of recycled products pursuant to the EPA
guidelines.
Recipient agrees, pursuant to EPA Order 1000.25, dated January 24, 1990, to use recycled paper
for all reports which are prepared as a part of this assistance award and delivered to the Agency.
Pro Trammatic Conditions
Nothing contained in this Agreement shall be construed to create, either expressly or by
implication, the relationship of Agenc,~ between EPA and the Recipient. Any standards,
procedures, or protocols prescribed i¢~ this Agreement to be followed by the Recipient during the
performance of its obIigations under this Agreement are to assure the quality of the final product
of the actions contemplated by this Agreement, and do not constitute a right to control the actions
of the Recipient. EPA (including its employees and contractors) is not authorized to represent or
act on behalf of the Recipient in any matter relating to this Agreement, and the Recipient
(including its employees and contractors) is not authorized to represent or act on behalf of EPA in
any matter related to this Agreement. Neither EPA nor the Recipient Shall be liable for the
contrasts, acts, errors, or omissions of the agency, employees, or contractors of the other party
entered into, committed, or performed, with respect to or in the performance of, this Agreement.
This Agreement is intended to benefit only the Recipient and the EPA. It extends no benefit or
rights to any party not a signatory to,this Agreement. In addition, EPA does not assume any rights
to third parties with respect to Iosse~ due to bodily injury or property damages that exceed the
limitations contained in the provisions of 28 U.S.C. Section 1346(b), 2671-2680. To the extent
permitted by State law, the Recipient does not assume liability to any third parties with respect to
losses due to bodily injury or property damage.
Where State laws, other restrictions, or any other event may prevent the Recipient from acting
consistent with the Comprehensive Environmental Response, Compensation, and Liability Act of
1980 (CERCLA), as amended by the Superfund amendments and Reauthorization Act of 1986
(SARA), in carrying out any portion of this agreement, the Recipient agrees to promptly notify and
consult with EPA regarding the use of such laws or other restrictions.
Recipient agrees to provide the following reports and deliverables:
Recipient agrees to submit quarterty performance reports and final performance
reports on ali activities identified in the work plan in accordance with 40 CFR 31.40 and
CFR 35,6650. These reports will document the incremental or final progress in achieving
the project goals and milestones.
In describing the work accomplished during the reporting period, recipients are
encouraged to describe related brownfields efforts in their quarterly and final
performance reports if they occurred as part of the Recipient's broader
Brownfields redevelopment and reuse efforts; however, the report must clearly
delineate which tasks are funded by the cooperative agreement and which items
are funded from other sources.
ii.
In descr/bing the work accomplished during the reporting period (e.g., quarter), recipients are
reqt/rred to provide, at a rrdnimum, information on the following Key Measures for the
Brownfields Assessment Demonstration pilots:
· Number of Properties Estimated in Brownfialds Pilot Jurist~icdon;
· Number of Properties Reported to be Contained in Pilot Inventories;
· Number of Properties Reported to be Targeted by Pilot;
· Number of Properties with Brownfields Assessment Started with Pilot Funding;
· Number of Properties with Brownfields Assessment Completed with Pilot Funding;
· Number of Propezties with Brownflelds Assessment Completed with Other Funding;
· Number of Properties with Brownfields Assessment that Do Not Require Cleanups;
· Number of Properties with Browrdields Cleanup Activities Started;
· Number of Properties with Brownfields Cleanup Activities Completed;
· Nmuber of Properties with Brownfialds Redevelopment ActiviiSes Underway;
· Number of Cleanup/Construction Jobs Levemged;
· Number of Cleanup Dollars Leveraged;
· Number of Redevelopment Jobs Levaraged; and
· Number of Redevelopment/Cunstmcfiun Dollars Leveraged.
Additionally, all Bmwnfields Showcase Cornmuff~ty pilots are required and Brownfields
Assessment Dernonstmtion Pilots are encouraged to provide information on the following Key
Measures for Brownfields Showcase Communities:
· Number of Brownfields-related Parmerstfips with other Organizations including the following
subtotals:
· Number of Partnerships with Other Federal Agencies;
· Number of Parttterships with State and Tribal Government Agencies;
· Number of Partoerships with Local Government Agencies; and,
· Number of Partnerships with Private Entities and Non-governmental Organizations;
and,
· Brownfialds-ralated Funding Received from Other Sources including the following subtotals: · Funding Received from Other Federal Agencies;
· Funding Received from State and Tribal Government Agencies;
· Funding Received from Local Government Agencies; and
· Funding Received from Private Entities and Non-governmental Organizations.
All of the above Key Measures are described in the July I0, 2002 letter regarding "Updated
BrownfieIds Key Measures Reporting Requirements for Brownfields Cooperative," that was sent to
the ProgranffProject Director for this CA by Susan Klein, USEPA Region 7's Brownfields
Coordinator.
The quarterly performance reports shall be due no later than 30 days after the end of the
federal fiscal quarter.
i. The Recipient agrees to submit the original and one copy of the quarterly performance
report to the following:
EPA Project Officer (See EPA Grant Agreement)
US EPA Region 7
901 N. 5~ Street
Kansas City, KS 66101
The Recipient is also encouraged to send a courtesy copy of these reports to their State
Environmental Voluntary Cleanup Program.
The final performance report shall be due no later than 90 days after the expiration or
termination of this cooperative agreement.
Recipient agrees to submit the odginal and two copies of the final performance report.
These copies shell be submitted as directed for the quarterly pedormance reports above.
These final performance reports will provide a summation of the information required in
the quarterly performance reports. The final performance report will also cleady address
the items below:
d.
(4)
(2)
(3)
(4)
(5)
(6)
An abstract or overview of the project in terms of its overall process and
outcomes. Indicate which eligible activities and/or EPA criteria were addressed
and how these were fulfilled;
Information on the target audience (i.e.,local residents, community activists,
businesses, etc.);
Description of evaluation measures and results;
Plans for dissemination of project results in terms of method of dissemination
and target audience (i.e., conference presentations, educator networks,
community forums, etc.);
Any problems encountered that prohibited the completion of the project goals or
objectives and how they have been resolved; and,
Benefits gained by the recipient and their target audience from this program.
After review of the final report, the EPA Project Officer may request additional information
from the recipient. [n addition to the report, the recipient agrees to supply two copies to
EPA of all tangible final products that were created for the purposes of the funded
projects (i.e., videos, research findings, curriculum, presentations,, etc.) Inan exhibit or
slide show was created or an item is too large and/or expensive to duplicate, photos or
transcripts of the product may be substituted.
Financial Status Reports (Standard Form 269) are due in accordance with 40 CFR 35.6670 and 40
CFR 31.41. For programs or projects with a project period in excess of one year an annua!
Financial Status Report will be due within 90 days after the end of each federal fiscal year. A
Final Financial Status Report will also be due within 90 days after the termination or closeout
of the cooperative agreement.
The Recipient will submit the Financial Status Reports as discussed above to the
following:
US EPA Las Vegas Financial Management Center
PO Box 98515
Las Vegas, NV 89193-8515
The funding provided in this agreement must be used in accordance with CERCLA and the guidelines set
forth in the document "The Brownfields Economic Redevelopment Initiative: Proposal Guidelines for Brownfields
Assessment Demonstration Pilots" (September 2001, EPA 500-F-01-343).
In accordance with 40 CFR 31.25(g)(2) the Recipient is authorized to add program income to the funds
committed in this cooperative agreement and to use the income for the same purposes and under the same
conditions as those contained in this agreement.
Any transaction involving the transfer of CA funds to acquire goods and services must comply with 40 CFR
35.6550-35.6610. The Recipient may use contracts, intergovernmental agreements or subgrants. All
subgrants must be approved by the EPA Project Officer prior to the Recipient entering into the subgrent
agreement.
7. The Recipient agrees, before publication of the results of this assistance agreement (such as fact sheets,
brochures, or press releases) to provide the EPA Project Officer with a draft of the matedal proposed for
publication for EPA review and written suggestions, and to incorporate any necessary disclaimer statement
provided by the EPA Project Officer in the final document when published.
The Recipient must provide wdtten request, and receive EPA Project Officer approval prior to expenditure
of federal funds under this cooperative agreement for changes in the approved work plan in accordance
with 40 CFR 31.30, including the following:
For any site which was not specifically identified in the approved work plan and thus changing the
scope of project, the Recipient must provide sufficient site-specific information demonstrating the
site meets the definition of a Brownfield; and
For activity at privately-owned property, the Recipient must demonstrate in writing: a) there is
formal mechanism for the Recipient to receive appropriate compensation for the proposed
assessment activities, or b) there is an overriding public benefit that would ensue from the
performance of the site assessment; or c) there is a commitment from the property owner to pay
for, or conduct, any necessary cleanup activities at the site.
As with all program income, any income generated from transactions between the Recipient and
owners of privately owned sites will be subject to the program income provisions of 40 CFR 31.25.
If the Recipient's project involves environmentally related measurements or data generation, the Recipient
shall develop and implement quality assurance practices consisting of policies, procedures, specifications,
standards, and documentation sufficient to produce data of quality adequate to meet project objectives and
· to minimize loss of data due to out-of-control conditions or ma[functions (40 CFR 31.45). The Recipient
must submit a Quality Assurance Project Plan (QAPP) to the EPA Project Officer for review and receive
EPA Region VIl's approval pdor to the collec[ion of environmental data.