Request for Proposal_Environmental Professional Services ContractTHE CITY OF
Dui
Masterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: RFP for Environmental Professional Services Contract
DATE: July 2, 2014
Dubuque
band
AI -America City
r
2007 • 2012 • 2013
Economic Development Director Maurice Jones recommends City Council approval to
distribute a Request for Proposal for environmental professional services related to
capital improvement projects, soil and groundwater management, health and safety
planning, training for City staff, and community outreach, as well as oversight of the
Brownfields Assessment Cooperative Agreement Grant.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
lAil-t44 .,
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Maurice Jones, Economic Development Director
THE CITY OF
Dui
Masterpiece on the Mississippi
Dubuque
katil
All -America City
1111
2007 • 2012 •2013
Economic Development Department
50 West 13th Street
Dubuque, Iowa 52001-4864
Office (563) 589-4393
TTY (563) 690-6678
http://www.cityofdubuque.org
TO: Michael Van Miliigen, City Manager
FROM: Maurice Jones, Economic Development Director
SUBJECT: RFP for Environmental Professional Services Contract
DATE: June 30, 2014
INTRODUCTION
The purpose of this memorandum is to request City Council approval to distribute a
Request for Proposal (RFP) for environmental professional services for a term of three
(3) to five (5) years related to: capital improvement projects, soil and groundwater
management, health and safety planning, training for City staff, and community
outreach, as well as oversight of the Brownfields Assessment Cooperative Agreement
Grant.
BACKGROUND
In December 2011, the City submitted an application to the EPA for $400,000 total in
financial assistance for the assessment of environmental contamination in the Historic
Millwork District, the South Port, and the Bee Branch Creek Restoration Area. In May
2012, City staff learned that their request for funding had been denied. The grant was
slightly altered based on comments from the EPA, including the replacement of the
Washington Neighborhood as opposed to the Bee Branch Creek Restoration Area, and
was resubmitted in November 2012. In May 2013, the EPA announced Dubuque had
received assessment grants in the amount of $200,000 for hazardous substances and
$200,000 for petroleum.
The City is also developing an environmental database that will be accessible through
the City's Geographical Information System (GIS). The database will be a library of all
known existing environmental documents and will be supplemented as additional
reports and documents are generated. The individual documents will then be linked to
the parcel to which they apply. The development of this database is focusing on the
three Brownfield areas outline herein, and then will be expanded to encompass the
entire City when data comes available.
DISCUSSION
In order to coordinate all of these Brownfield activities, staff are seeking environmental
professional services for a term of three to five years related to: capital improvement
projects, soil and groundwater management, health and safety planning, training for City
staff, and community outreach, as well as oversight of the Brownfields Assessment
Cooperative Agreement Grant. The RFP proposes an initial three (3) year contract, with
the possibility of two (2) one-year extensions.
The schedule for the RFP distribution and consultant selection is as follows:
RFP Release to Public
Response Due Date
Consultant Interviews
Recommendation to City Manager
Recommendation to City Council
July 8, 2014
July 22, 2014
Week of July 28 -August 1, 2014
August 12, 2014
August 18, 2014
The review committee for the submitted proposals is as follows:
Maurice Jones — Economic Development Director
Steve Brown — Engineering Project Manager
Denise Ihrig — Environmental Engineer
Todd Irwin — Engineering Technician
Chandra Ravada — Transportation Director, ECIA
BUDGET IMPACT
The estimated cost for professional services is anticipated to be in the range of
$500,000 to $530,000 once a final scope of work has been negotiated.
The work will be funded from the Assessment Cooperative Agreement ($400,000 over
three years beginning October 1, 2013) CIP #100-2567 and #100-2567H, and the
Environmental Consulting Professional Services CIP #710-2544 with a budget of
$50,000 in FY15 and $20,000 each for FY16 — FY19. Work performed on individual
capital projects will be recharged to those projects, with the scope and fee to be
negotiated for each project.
RECOMMENDATION/ ACTION STEP
It is recommended that the City distribute the attached RFP and solicit proposals from
qualified consultants to provide professional services for the City's Brownfields
activities.
I respectfully request authorization to release the Request for Proposal for professional
services for the City's Brownfields activities and that the City Manager be authorized to
negotiate an agreement with the recommended consultant.
cc: Steve Brown — Engineering Project Manager
Denise Ihrig — Environmental Engineer
Todd Irwin — Engineering Technician
Chandra Ravada — Transportation Director, ECIA
REQUEST FOR PROPOSAL (RFP)
THE CITY OF
ISSUE DATE: July 8, 2014
CONTACT: Maurice Jones
3
PHONE NO EMAILmjones@cityofdubuque.org
que.org
DUB Tv �-+R
Masterpiece on the Mississippi
SUBMIT PROPOSALIOFFER PRIOR TO:
CLOSING DATE: July 22, 2014
CLOSING TIME: 2:00 P.M. (local time)
SUBMIT TO:
SEE Section 7.0
FAXIEMAIL NOT ACCEPTED
DESCRIPTION:
Environmental Professional Services Contract, a term of three (3) to five (5) years, to
provide professional services relating to: capital improvement projects, soil and
groundwater management, health and safety planning, training for City staff, and
community outreach. This contract will also include oversight of the Brownfields
Assessment Cooperative Agreement Grant for three (3) redevelopment districts defined
as: South Port, Historic Millwork District, and the Washington Street Neighborhood.
RECEIPT
OF PROPOSAL ACKNOWLEDGEMENT
a response to this RFP, please mark the box to the left,
below and return this sheet as a confirmation that you
RFP.
If are considering
you
fill in the information
received this
COMPANY NAME:
DATE:
MAILING ADDRESS:
CITYISTATE:
ZIP CODE:
AUTHORIZED SIGNATURE:
PRINTED NAME:
TITLE OF AUTHORIZED REPRESENTATIVE:
EMAIL:
PHONE:
CITY OF DUBUQUE
ENGINEERING DEPARTMENT
REQUEST FOR PROPOSAL & QUALIFICATIONS
Environmental Professional Services Contract
City of Dubuque, Iowa
July 8, 2014
Page 2 of 27
RFP ORGANIZATION
Table of Contents:
Section Page
1.0 Introduction 4
2.0 Objectives and Scope 5
3.0 Schedule 8
4.0 Proposal Submittal Information 9
5.0 City Resources 11
6.0 Questions regarding the RFP 11
7.0 Proposal Requirements 12
8.0 Appendices 14
Page 3 of 27
Environmental Professional Services Contract
July 8, 2014
1.0 INTRODUCTION
The City of Dubuque, Iowa is soliciting competitive proposals for an environmental
professional consultant, as qualified under 40 CFR 312.21, 40 CFR 312.31, and ASTM
1527-13 criteria, to provide environmental engineering services on an as needed basis
for multiple City Departments.
As the City looks to repurpose, reusteve bse, and rehabilitate land, in areas of the
community, where businesses or industry used and stored petroleum products and
hazardous chemicals, the City has identified a need for an environmental consultant to
work alongside the City and assist with the many details working in and around
contaminated land and to provide insight and recommendations on how to proceed. It
is not uncommon, in these areas, for the products used to have been drained or been
disposed of into the surrounding land, leaching into the soils and/or groundwater.
During construction it is common to see and smell some of those pollutants, making it
essential for all parties involved to have a clear understanding of the health and
environmental hazards of any pollutants discovered and how to dispose of the
pollutants in an approved method. The successful consultant will be that partner
providing the appropriate level of response and direction to the City's environmental
needs.
The City has identified a specific project need for the successful firm. In May 2013, the
City was notified of its success as a recipient of two USEPA Brownfields Assessment
Grants. Per the City's Cooperative Agreement with USEPA, the City is required to
acquire the services of a qualified environmental professional to coordinate, direct, and
oversee the Brownfields Assessment activities. The City, under this proposed contract,
requires the successful consultant to perform all necessary services as the City's
Brownfields Coordinator for the City's 2013 EPA Brownfields Assessment Grants. The
grant period ends September 30, 2016. The term of this service contract will extend
beyond the Brownfields Assessment Grants period to assist with any cleanup planning
and execution. The service contract will conclude after a period of three (3) years, but
may be extended on a yearly basis for an additional two (2) years.
The City is also developing an environmental database that will be accessible through
the City's Geographical Information System (GIS). The database will be a library of all
known existing environmental documents and will be supplemented as additional
reports and documents are generated. The individual documents will then be linked to
the parcel to which they apply. The development of this database is focusing on the
three (3) Brownfield areas outlined herein, and then will be expanded to encompass the
entire City when data comes available.
Page 4 of 27
This RFP provides the specifications and requirements for prospective applicants to
complete the proposal with cost estimates for services.
2.0 OBJECTIVES AND SCOPE
2.1 General Environmental Consulting and Services (City Funded)
The consultant will provide varied environmental services for multiple City Departments.
Work may be requested either on an as needed basis or may be directed to address a
specific capital improvement project.
2.1.1 The consultant will assist the City's GIS Department by providing
information to supplement its GIS environmental database upon completion of
environmental services either performed by the consultant or any sub
consultants.
2.1.2 The consultant will work with a designated City staff member for reporting
and billing purposes, which may differ from the original point of contact.
2.1.3 The consultant will provide input on environmental issues and as
necessary conduct and direct Phase I & II Environmental Site Assessments
(ESA).
2.1.4 The consultant will assist the City in selecting and developing temporary
holding sites for contaminated soils. The sites will be used to temporarily store
excavated materials while awaiting testing results and a final disposal plan.
2.1.5 The consultant will assist the City in developing soil and groundwater
management plans for specific and non-specific projects. An example of a non-
specific project may involve evaluating an area of known contamination, which
has existing City utilities, and developing a protocol for use in an emergency
repair situation. The Soil and Groundwater Management Plans shall contain key
information including the results of the soil and groundwater sampling analysis,
appropriate and health and safety recommendations for working in and around
any contaminants that may be on the site, and the appropriate method of
disposal or on site management for any contaminated soil and groundwater.
2.1.6 The consultant will assist the City in reviewing and developing
standardized bidding specifications for contract documents where contaminated
groundwater and soils are anticipated.
2.1.7 The consultant will serve as the Brownfield Coordinator and will be
responsible for the overall coordination of the Cooperative Agreement along with
City Engineering, other appropriate City staff, and project managers. The
Brownfields Coordinator will assure compliance with administrative and reporting
requirements of the USEPA Brownfields Petroleum and Hazardous Substances
Assessment Grant.
Page 5 of 27
2.1.8 The consultant, as Brownfields Coordinator, will complete and submit post
award Brownfields Site Eligibility Evaluation forms for all parcels and right-of-way
within each district and submit to the EPA Project Officer for property specific
funding determinations. The Brownfields Coordinator will follow up with EPA
Project Officer as necessary.
2.2 USEPA Brownfields Assessment Grants 2013-2016 (Grant Funded)
In May 2013, the EPA announced Dubuque received assessment grants in the amount
of $200,000 for hazardous substances and $200,000 for petroleum.
The EPA Brownfields Petroleum and Hazardous Substances Assessment Grant allows
for expenditures pertaining to project management, site assessments, reuse planning,
and community engagement amongst the three (3) locations.
To accomplish the assessment, cleanup, and redevelopment, these Brownfield sites,
both site-specific and non -site-specific assessment activities will be conducted.
• Non -site-specific tasks include:
o Obtaining contractor services to provide technical assistance and
oversight;
• Conducting community engagement focus groups along with the
establishment of a Community Engagement Team; and
• Preparing community engagement materials pertinent to the projects.
• Site-specific tasks include:
o Performing assessments; and
o Preparing site specific technical sampling plans.
Cleanup and reuse plans will be developed by qualified environmental professionals
and economic reuse experts, with significant input from the Community Engagement
Team.
The EPA Brownfields Assessment Cooperative Agreement identifies four (4) tasks:
1. Community Engagement;
2. Site Assessments;
3. Reuse Planning; and
4. Project Management.
Once the City receives the determinations of site eligibility, the Phase I site
assessments can be started. The findings of the Phase I ESAs will be utilized to
complete preliminary reuse planning. The preliminary reuse planning will offer options
on acceptable uses of the Brownfield areas based on any contaminants found during
the subsequent Phase 11 ESAs. The preliminary reuse options will be discussed during
Community Engagement sessions. Feedback from these sessions will then be used to
prioritize and focus grant funding on the areas of highest priority, in an effort to
maximize the use of the grant funding.
The objective of the Brownfields Assessment Cooperative Agreement Project is to
identify contaminants that may exist within the defined districts and to ensure that
contamination does not impact public health or the environment during and after
Page 6 of 27
redevelopment. Results of this assessment will also be used to assist in prioritizing
capital expenditures. The progression of the assessments shall be as follows: South
Port District, Historic Millwork District, Washington Street Neighborhood District.
2.2.1 Review all Brownfields Assessment Cooperative Agreement documents.
Meet with designated City staff to review and coordinate the objectives and
scope defined within the grant and this RFP. Discuss variations in approach and
scope with the EPA Project Officer. Develop and seek approval of any
amendments deemed necessary.
2.2.2 Perform Phase I Environmental Site Assessments on all parcels and right-
of-way determined to be eligible by the EPA Project Officer. The approximate
minimum search distance is anticipated to be 250 feet. Phase I ESAs will only
be performed on privately held parcels with the Owner's full written consent.
2.2.3 Draft and Final Phase I ESA reports. The criteria and report format used
for the Phase I investigation shall conform to, but is not limited to, the
methodology outlined in 40 CFR 312.21, 40 CFR 312.31, and ASTM 1527-13.
Information obtained on contiguous privately held parcels, located within the
defined districts, must be cataloged by parcel number so that they can be added
to the City's Environmental Documents Database.
2.2.4 Develop a preliminary list of acceptable reuse options for each area based
on the Phase I ESA findings.
2.2.5 Provide a map of each district that identifies acceptable
reuse/redevelopment options for the various parcels used during preliminary
community engagement and planning sessions. The preliminary reuse plans
must be developed by qualified environmental professionals and economic reuse
experts. Participants in the community engagement and planning sessions will
help the City decide how and where to deploy EPA resources based on the best
most economically feasible reuse.
2.2.6 Perform Phase II Environmental Site Assessments on all parcels and
right-of-way on which the Phase I Assessment recommends further
investigations. The City realizes that efforts may vary from site to site. Fees for
each recommended Phase II ESA will be negotiated prior to the start of
investigations.
2.2.7 Draft and Final Phase II ESA report. The criteria and report format used
for the Phase II investigation shall conform to, but is not limited to, the
methodology outlined in ASTM E1903-11.
2.2.8 Develop a final list of acceptable reuse options for each area based on the
Phase II ESA findings.
2.2.9 Provide a map of each district that identifies acceptable
reuse/redevelopment options for the various parcels which can be used during
Page 7 of 27
final community engagement and planning sessions. The final reuse plans must
be developed by qualified environmental professionals and economic reuse
experts and must include information gathered during the preliminary community
engagement sessions along with any modifications based on Phase II ESA
results. Participants in the community engagement and planning sessions will
help advise the City on how and where to deploy EPA resources based on the
best and most economically feasible reuse.
2.2.10 Develop strategies, consistent with the preferences of the final
community engagement and planning sessions, for cleanup and redevelopment
of the individual parcels and districts.
2.2.11 Draft and Final Cleanup Recommendations Report. If Phase II ESA
reports indicate the need for cleanup, provide information describing cleanup
alternatives, a recommended approach for each cleanup area, and cost
estimates. The cleanup report must also address the preferences of the
community engagement and planning sessions and recommendations must also
provide a feasible economic approach that is consistent with the public health
and environmental objectives for each of the three districts.
3.0 SCHEDULE
1. Responses to this RFP due on or before July 22, 2014 at 2:00 PM
Anticipated contract award: August 18, 2014
2. Phase I General Environmental Assessment Reports:
South Port District - Due on or before November 1, 2014
Millwork District - Due on or before March 1, 2015
Washington Street Neighborhood - Due on or before July 1, 2015
3. Preliminary Community Engagement and Planning Sessions:
South Port District — Complete by December 1, 2014
Millwork District — Complete by April 1, 2015
Washington Street Neighborhood — Complete by August 1, 2015
4. Phase II General Environmental Assessment Reports:
South Port District - Due on or before April 1, 2015
Millwork District - Due on or before August 1, 2015
Washington Street Neighborhood - Due on or before December 1, 2015
5. Cleanup and Redevelopment Options Report:
South Port District — Due on or before July 1, 2015
Millwork District — Due on or before November 1, 2015
Washington Street Neighborhood — Due on or before March 1, 2016
6. Final Community Engagement and Planning Sessions:
South Port District — Complete by August 1, 2015
Millwork District — Complete by December 1, 2015
Page 8 of 27
Washington Street Neighborhood — Complete by April 1, 2016
7. Final Cleanup and Redevelopment Report Draft:
South Port District — Due on or before November 1, 2015
Millwork District — Due on or before March 1, 2016
Washington Street Neighborhood — Due on or before July 1, 2016
8. Final Comprehensive Cleanup and Redevelopment Report:
Due on or before September 1, 2016
4.0 PROPOSAL SUBMITTAL INFORMATION
The submitted proposal should address all aspects of the required work discussed in:
• This RFP;
• The EPA Brownfields Petroleum and Hazardous Substances Assessment Grant;
and
• The Brownfields Assessment Cooperative Agreement.
The proposal should be prepared simply and economically, providing a straight -forward,
concise description of the consultant's capabilities and experience to satisfy the
requirements of the RFP.
To simplify the review process and to obtain the maximum degree of comparability, the
proposal shall include the following information and shall be organized in the manner
specified below. While additional data may be presented, the following subjects must
be included. They represent the criteria against which the proposal will be evaluated.
1. Letter of Transmittal - Provide a letter of transmittal briefly outlining the
Proposer's understanding of the work and list the project manager's name,
address, telephone number, fax number, and e-mail address. The name that is
provided for the project manager will be used as the primary contact during this
RFP process.
2. Index - Each proposal shall contain a table of contents that delineates
each section contained in the proposal and the corresponding page number.
3. Profile of Firm - Provide general background information about the firm
and its areas of expertise related to this RFP. Provide the names of, and include
information about, the key project team members. Key project team members
are:
• The general environmental services professional/Brownfields
Coordinator;
• The project manager for the EPA Brownfields Assessment Cooperative
Agreement;
• The economic reuse expert;
• Other key team members and their roles; and
• Any subcontractors.
Page 9 of 27
Information must include areas of expertise that will be utilized on the project.
Include a flow chart that shows the communication path between the city and key
project team members. Include all project team members on the flow chart and
show the supervisory relationship between all members of the team.
4. Proposed Project Team Qualifications - Describe the experience and
success of the firm and key personnel and subcontractors working on similar
projects along with their experience and relationship with the EPA Region 7 staff
and experience with similar grants.
Include at least three (3) client references for all key project personnel and
subcontractors (including individual contact name and telephone numbers) from
similar projects that have been completed in the last five (5) years.
5. Project Understanding — A primary task of the successful consultant will
be to negotiate with the USEPA Region 7 staff on possible revisions to the
already approved Work Plan and Site Specific locations. Provide in the Project
Understanding section of the submittal how your firm will address and navigate
these possible changes to the grant and agreement.
6. Federal Requirements — Describe how the team meets the requirements
set forth in the EPA Brownfields Petroleum and Hazardous Substances
Assessment Grants (i.e., MBE/WBE, etc).
7. Certificate of Insurance - The selected firm will be required to meet the
City's insurance requirements for professional services (Insurance Schedule C -
Appendix C).
8. Sustainable Dubuque Initiatives - In 2006, the Mayor and City Council
identified Sustainability and Green City designation as a top priority. Since then,
the City has been working on numerous projects to help implement this priority
as listed on the website(http://www.sustainabledubuque.orq). The selected firm
shall follow the Vision Statement and eleven (11) sustainable principles on this
City of Dubuque project. Hard copy can be provided upon request.
9. Federal Consent Decree - All potential contractors and consultants to the
City of Dubuque that perform work that may apply to or impact the cities sanitary
sewer collection system shall sign the "Certification by Contractor or Consultant"
Consent Decree (http://www.cityofdubuque.ori/DocumentView.aspx?DID=3173)
or a hardcopy can be provided upon request. You are required to review the
Consent Decree and comply fully with its terms and conditions.
10. Fees and Compensation
A. Provide a fee schedule for services as described in Sections 2.1.1
thru 2.1.6
B. Provide a Not -to -Exceed fee to complete the scope of work in
Page 10 of 27
section 2.1 .7 and 2.1 .8 as described in this RFP and in the Brownfields
Assessment Cooperative Agreement.
C. Provide a Not -to -Exceed fee to complete the scope of work
described in section 2.2 of this RFP, the EPA Brownfields Petroleum and
Hazardous Substances Assessment Grants, and the Brownfields
Assessment Cooperative Agreement.
D. Fees for each recommended Phase II ESAs will be negotiated prior
to the start of investigations. For the purposes of this RFP, provide an
estimated average cost to conduct a full Phase II ESA.
E. Quotation of fees and compensation shall remain firm for a period
of at least sixty (60) days from the RFP submission deadline.
5.0 CITY RESOURCES
All information requests shall be directed to the City's representative as detailed in
Section 6.0 of this RFP.
The City will make Dubuque Area Geographical Information System (DAGIS) data
including contours, property lines, property ownership, public utility systems and aerial
photography available for this project as well as staff contact/resources persons in the
Information Services Department and Engineering Department.
Brownfields Assessment Cooperative Agreement — Appendix E
Cooperative Agreement Work Plan— Appendix E
Brownfields Assessment Maps - Appendix E
Environmental Professional Services Work Breakdown Structure
Existing environmental documentation will be available for download, from the City's .ftp
site, upon receipt of the Proposal Acknowledgement form.
6.0 QUESTIONS REGARDING THE RFP
If you have any questions concerning this proposal, or other technical questions, please
submit your requests to the City's designated representative. The City has used
considerable efforts to ensure an accurate representation of information in this RFP.
Each Proposer must conduct its own investigations into the material facts provided.
No answers given in response to questions submitted shall be binding upon this RFP
unless released in writing (letter, fax, or email) as an officially numbered and titled
addendum to the RFP by the City of Dubuque.
Page 11 of 27
Any questions concerning this RFP must be received on or before 2:00 p.m. (Local
time) on July 16, 2014. Any inquiries received after this date will not be answered.
When submitting a question to the City's representative, please include the appropriate
Consultant contact information.
From the date of issuance of the RFP until final City action, the Proposer shall not
discuss the RFP with or contact any other City of Dubuque staff, except as expressly
authorized by the City representative identified in Section 6.0 of this RFP. Violation of
this restriction will be considered a violation of the rules and be grounds for
disqualification of the Proposer's proposal.
Contact information is as follows:
Maurice Jones
City of Dubuque
Economic Development Director
50 West 13th Street
Dubuque, IA 52001
Phone (563) 589-4393
E-mail: mjones@cityofdubuque.org
7.0 PROPOSAL REQUIREMENTS
Before submitting a proposal, each Proposer shall make all investigations and
examinations necessary to ascertain site conditions and requirements affecting the full
performance of the contract and to verify any representations made by the City upon
which the Proposer will rely.
PROPOSAL SUBMITTAL INFORMATION
• Submittal Deadline: July 22, 2014 on or before 2:00 p.m. (Local Time)
• Mailing Address:
City of Dubuque
Economic Development
c/o Maurice Jones
50 West 13th Street
Dubuque, Iowa 52001-4864
• Submittals: Proposal: One (1) hardcopy and one electronic (.pdf)
copy shall be provided.
Fees: One (1) hardcopy and one electronic (.pdf)
copy shall be provided
✓ Submit Fees Under Separate Cover
✓ Submit one (1) signed original proposal
Services Contract
✓ Submitted proposals must be in delivered
one (1) electronic version of the proposal
e-mail proposals will be accepted.
labeled Environmental Engineering
in printed format. Additionally, supply
in Adobe Acrobat format. No faxed or
Page 12 of 27
✓ The proposal must be a document of not more than twenty (20) numbered 8 % x
11 inch pages, not including the letter of transmittal, index, project schedule,
dividers, and the front and back covers. Any proposals exceeding twenty (20)
numbered pages may not be considered.
✓ The original proposal document must be signed in blue ink by an officer of the
company who is authorized to legally bind the Proposer.
✓ Proposals are to contain a statement indicating the period during which the
proposal will remain valid. A period of not less than sixty (60) calendar days from
the proposal closing date is required.
Each Proposer assumes full responsibility for delivery and deposit of the completed
proposal package on or before the deadline. Any proposals received after the submittal
deadline will not be considered, and will be returned unopened to the Proposer. The
City of Dubuque will not be responsible for any loss or delay with respect to delivery of
the proposals.
The City of Dubuque is not liable for any cost incurred by any Proposer prior to the
execution of an agreement or contract. Nor shall the City of Dubuque be liable for any
costs incurred by the firms in responding to this RFP and those not specified in any
contract. All results from this project will remain the property of the City of Dubuque.
Thank you for your consideration and interest in the project.
Sincerely,
Maurice Jones
Economic Development Director
City of Dubuque
Page 13 of 27
Masterpiece on the Mississippi
Environmental Professional Services Contract
Request for Proposal
July 2014
Appendix A
Consultant Evaluation and Selection Process
Page 14 of 27
INITIAL EVALUATION CRITERIA
Proposals will be screened to ensure that they meet the minimum requirements of the
proposal format. A selection committee of City of Dubuque personnel will review
qualifying proposals and select firms for placement on a short-list for the project. The
following criteria are among those that will be used to initially evaluate submitted
proposals.
1. The proposed project team's level of professional competence and a
proven track record in:
o Advising municipalities on environmental assessment needs;
o Conducting and directing Phase I & II Environmental Site
Assessments;
o Selecting and developing temporary holding sites for contaminated
soils;
o Developing soils and groundwater management plans;
o Developing health and safety management plans and
recommendations;
o Developing appropriate methods of disposal or on site management for
any contaminated soil and groundwater;
o Administrative and reporting requirements of the USEPA Brownfields
Petroleum and Hazardous Substances Assessment Grants;
o Developing recommendations for reuse planning and cleanup;
❑ Developing standardized environmental specifications for municipal
capital improvement projects in Iowa;
2. The proposed project teams' experience working together on similar
projects.
3. The quality of the proposal based on the:
❑ Demonstrated understanding of the City's overall objectives;
❑ Demonstrated expertise in completing similar projects;
❑ Knowledge of the assessment areas;
o Ability to commit personnel to this project;
❑ Level of interest;
Page 15 of 27
o Proposed schedule;
o Creativity and problem solving ability;
o Ability to demonstrate initiative and motivation; and
o Local economic impact.
CONSULTANT SHORT-LIST EVALUATION CRITERIA
A selection committee may or may not interview short-listed firms. If interviews are
held, both the original submitted proposal and the results of interviews may be used to
evaluate consultants. In addition to the evaluation criteria listed above, interviews will be
judged on:
❑ Responsiveness and compatibility with the City;
❑ General attitude and ability to communicate;
o Ability to communicate ideas through prepared documents and presentations;
o Ability to listen, be flexible, and follow and/or implement direction and/or ideas or
concepts;
❑ How the team would interact with the general public, City staff, and public
officials; and
o Proposed fee in relationship to the services offered.
Should the City conduct interviews, they will be conducted in a condensed format in an
effort to save time and costs associated with interview preparations. The format will
consist of two (2) fifteen (15) minutes segments. The first segment will be for the
consultant to:
• make introductions of the team;
• describe the consultants understanding of the project; and
• discuss the consultants proposed schedule.
The second segment of the interview will be for the committee members to ask
questions of the consultant. The consultant may bring one (1) display board for use
during the interview. No power point presentations or handouts will be allowed.
Should the City conduct interviews, they will take place between July 28, 2014 and
August 1, 2014 with the intent of making a recommendation to the City Manager on
August 12, 2014.
The City may also review direct and indirect references of previous work experience.
The City may request additional material, information, and presentations from the
Proposer(s) submitting the proposals.
Page 16 of 27
SELECTED VENDOR FEE NEGOTIATION PROCESS
Upon the successful completion of proposal reviews and interviews, if conducted, the
committee shall recommend the selection to the City Manager. The City Manager may
in turn make a recommendation to the City Council. A finalized scope of work and fee
structure shall be directly negotiated with the firm that is selected by the Dubuque City
Council.
After the City Council grants authority to negotiate a final scope of work and execute a
contract for the project, the Proposer shall prepare and submit to the City a separate
Work Breakdown Structure (WBS) to reflect the firm's approach to the project. The
City's WBS — Vertical form shall be used by the Consultant. The WBS, at a minimum,
should include work tasks for each of the components outlined in the RFP, a separate
line item for each deliverable, and the WBS should include project management as a
separate task. Each major task/scope element of the WBS shall have a defined cost
and schedule. The Proposer shall indicate in the WBS the work tasks that will be
completed by City staff.
Once the selected Proposer has prepared the WBS, the final scope of work for the
project will be negotiated with the City by joint revision to the WBS in order to best meet
the goals of the project while considering available funding. During the negotiation
process, tasks to be completed by City staff, work reassignment to different project
team members, and addition or elimination of tasks may be modified on the WBS in
order to achieve the best overall results for project. The selected Proposer shall be
responsible for preparing and revising the final WBS. When the final scope has been
determined and a design fee has been negotiated and the WBS has been finalized, the
Proposer shall incorporate the WBS into the contract documents being prepared for
signature. The Proposer shall also include in the final contract documents, the
language contained in Appendix D - City of Dubuque Contract Terms and Conditions.
If a contract satisfactory and advantageous to the City can be negotiated at a price
considered fair and reasonable, the award shall be made to that Proposer/Consultant.
Otherwise, negotiations with the Proposer ranked first shall be formally terminated and
negotiations commenced with the Proposer ranked second, and so on until a contract
can be negotiated that is acceptable to the City.
Page 17 of 27
THE CITY OF
DUB
Masterpiece on the Mississippi
Environmental Professional Services Contract
Request for Proposal
July 2014
Appendix B
RFP Rules and Protest Procedure
Page 18 of 27
MINOR IRREGULARITIES
The City reserves the right to waive minor irregularities in submitted proposals, provided
such action is in the best interest of the City. Minor irregularities are defined as those
that have no adverse effect on the City's best interests, and will not affect the outcome
of the selection process by giving one Proposer an advantage or benefit not enjoyed by
other Proposers.
EXCEPTIONS
Proposer exceptions to any part of the requirements stated in this request must be
clearly identified as exceptions and noted in the transmittal letter and in the submitted
budget.
RANKING OF THE PROPOSALS
No debriefings or scoring information shall be released before the City Manager has
recommended that a contract be negotiated with the recommended firm. However, after
said authorization has been given, all contents of the selected proposal shall become
public information.
DEFINITIONS
The City has established for the purposes of this RFP that the words "shall", "must", or
"will" are equivalent in this RFP and indicate a mandatory requirement or condition, the
material deviation from which shall not be waived by the City. A deviation is material if,
in the City's sole discretion, the deficient response in not in substantial accord with this
RFP's mandatory conditions requirements.
The words "should" or "may" are equivalent in this RFP and indicate very desirable
conditions, or requirements but are permissive in nature. Deviation from, or omission
of, such a desirable condition or requirement will not in and of itself cause automatic
rejection of a proposal, but may result in being considered as not in the best interest of
the City.
DISPUTES/EXCEPTIONS
Any prospective Proposer who disputes the reasonableness or appropriateness of any
item within this RFP document, any addendum to this RFP document, notice of award
or notice of rejection shall set forth the specific reason and facts concerning the dispute,
in writing, within five (5) business days of the receipt of the proposal document or
notification. The written dispute shall be sent via certified mail or delivered in person to
the point of contract set forth in Section 7.0, who shall review the written dispute and
work with the City Manager to render a decision which shall be considered final.
Page 19 of 27
Masterpiece on the Mississippi
Environmental Professional Services Contract
Request for Proposal
July 2014
Appendix C
Insurance Requirements
(Schedule C, October 2013)
Page 20 of 27
Insurance Schedule C
shall furnish a signed Certificate of Insurance to the City of Dubuque, Iowa
for the coverage required in Exhibit I prior to commencing work and at the end of the project if
the term of work is longer than 60 days. Providers presenting annual certificates shall present a
Certificate at the end of each project with the final billing. Each Certificate shall be prepared on
the most current ACORD form approved by the Iowa Department of Insurance or an equivalent.
Each certificate shall include a statement under Description of Operations as to why issued. Eg:
Project # or Lease of premises at or construction of
2. All policies of insurance required hereunder shall be with a carrier authorized to do business in
Iowa and all carriers shall have a rating of A or better in the current A.M. Best's Rating Guide.
3. Each Certificate shall be furnished to the contracting department of the City of Dubuque.
4. Failure to provide minimum coverage shall not be deemed a waiver of these requirements by the
City of Dubuque. Failure to obtain or maintain the required insurance shall be considered a
material breach of this agreement.
5. Subcontractors and sub subcontractor performing work or service shall provide a Certificate of
Insurance in accord with Exhibit I.
6. All required endorsements to various policies shall be attached to Certificate of insurance.
7. Whenever a specific ISO form is listed, an equivalent form may be substituted subject to the
provider identifying and listing in writing all deviations and exclusions that differ from the ISO
form.
8. Provider shall be required to carry the minimum coverage/limits, or greater if required by law or
other legal agreement, in Exhibit I.
9. Whenever an ISO form is referenced the current edition of the form must be used.
Page 21 of 27
Insurance Schedule C (continued)
Exhibit 1
A) COMMERCIAL GENERAL LIABILITY
General Aggregate Limit $2,000,000
Products -Completed Operations Aggregate Limit$1,000,000
Personal and Advertising Injury Limit $1,000,000
Each Occurrence $1,000,000
Fire Damage Limit (any one occurrence) $ 50,000
Medical Payments $ 5,000
a) Coverage shall be written on an occurrence, not claims made, form. All deviations
from the standard ISO commercial general liability form CG 0001, or Business
owners form BP 0002, shall be clearly identified.
b) Include ISO endorsement form CG 25 04 "Designated Location(s) General Aggregate
Limit" or CG 25 03 "Designated Construction Project (s) General Aggregate Limit" as
appropriate.
c) Include endorsement indicating that coverage is primary and non-contributory.
d) Include endorsement to preserve Governmental Immunity. (Sample attached).
e) Include an endorsement that deletes any fellow employee exclusion.
f) Include additional insured endorsement for:
The City of Dubuque, including all its elected and appointed officials, all its
employees and volunteers, all its boards, commissions and/or authorities and
their board members, employees and volunteers. Use ISO form CG 2026.
B) AUTOMOBILE LIABILITY $1,000,000 (Combined Single Limit)
C) WORKERS' COMPENSATION & EMPLOYERS LIABILITY
Statutory benefits covering all employees injured on the job by accident or disease as
prescribed by Iowa Code Chapter 85 as amended.
Coverage A Statutory—State of Iowa
Coverage B Employers Liability
Each Accident $100,000
Each Employee -Disease $100,000
Policy Limit -Disease $500,000
Policy shall include an endorsement providing a waiver of subrogation to the City of
Dubuque.
Coverage B limits shall be greater if required by Umbrella Carrier.
D) UMBRELLA LIABILITY $1,000,000
Umbrella liability coverage must be at least following form with the underlying policies included
herein.
E) PROFESSIONAL LIABILITY $
Page 22 of 27
Preservation of Governmental Immunities Endorsement
1. Nonwaiver of Governmental Immunity. The insurance carrier expressly agrees and
states that the purchase of this policy and the including of the City of Dubuque, Iowa
as an Additional Insured does not waive any of the defenses of governmental
immunity available to the City of Dubuque, Iowa under Code of Iowa Section 670.4
as it is now exists and as it may be amended from time to time.
2. Claims Coverage. The insurance carrier further agrees that this policy of insurance
shall cover only those claims not subject to the defense of governmental immunity
under the Code of Iowa Section 670.4 as it now exists and as it may be amended
from time to time. Those claims not subject to Code of Iowa Section 670.4 shall be
covered by the terms and conditions of this insurance policy.
3. Assertion of Government Immunity. The City of Dubuque, Iowa shall be responsible
for asserting any defense of governmental immunity, and may do so at any time and
shall do so upon the timely written request of the insurance carrier.
4. Non -Denial of Coverage. The insurance carrier shall not deny coverage under this
policy and the insurance carrier shall not deny any of the rights and benefits
accruing to the City of Dubuque, Iowa under this policy for reasons of governmental
immunity unless and until a court of competent jurisdiction has ruled in favor of the
defense(s) of governmental immunity asserted by the City of Dubuque, Iowa.
No Other Change in Policy. The above preservation of governmental immunities shall
not otherwise change or alter the coverage available under the policy.
SPECIMEN
Page 23 of 27
THE CITY OF
Dui
Masterpiece on the Mississippi
Environmental Professional Services Contract
Request for Proposal
July 2014
Appendix D
City of Dubuque Contract Terms and Conditions
Page 24 of 27
TERMS AND CONDITIONS
The following clauses shall be included in the final signed contract:
1. CONSULTANT'S ENDORSEMENT ON PLANS.
The Consultant shall endorse the completed computations prepared under this
Agreement, and shall affix thereto the seal of a licensed professional engineer, or
licensed professional architect, licensed to practice in the State of Iowa, in accordance
with the current Code of Iowa.
2. CHANGE IN SCOPE OF SERVICES.
No change in scope shall be permitted during this project without the prior written
agreement of both parties and the WBS being updated.
3. SUBSTITUTION OF PROJECT TEAM MEMBERS.
The Project Manager, partners, management, other supervisory staff and technical
specialists proposed for the project may be changed if those personnel leave the
Consultant. These personnel may also be changed for other reasons however, in
either case, the City retains the right to approve or reject the replacements and no
replacements may begin working on the project without the express, prior written
permission of the City of Dubuque.
4. INSURANCE.
Consultant shall at all times during the performance of this Agreement provide
insurance as required by the attached Insurance Schedule.
5. INDEMNIFICATION.
To the fullest extent permitted by law, Consultant shall indemnify and hold harmless
the City from and against all claims, damages, losses and expenses, including but not
limited to attorneys' fees, arising out of or resulting from performance of the Contract,
provided that such claim, damages, loss or expense is attributable to bodily injury,
sickness, disease or death, or injury to or destruction of property (other than the Project
itself) including loss of use resulting therefrom, but only to the extent caused in whole or
in part by negligent acts or omissions of the Consultant, Consultant's subcontractor,
or anyone directly or indirectly employed by Consultant or Consultant's subcontractor
or anyone for whose acts Consultant or Consultant's subcontractor may be liable,
regardless of whether or not such claim, damage, loss or expense is caused in part by a
party indemnified hereunder.
6. ERRORS & OMISSIONS.
In the event that the work product prepared by the Consultant is found to be in error
and revision or reworking the work product is necessary, the Consultant agrees that it
will do such revisions without expense to the City, even though final payment may have
been received. The Consultant must give immediate attention to these changes so
there will be a minimum of delay during construction. The above and foregoing is not to
be constructed as a limitation of the City's right to seek recovery of damages for
negligence on the part of the Consultant herein.
Page 25 of 27
7. OWNERSHIP OF ENGINEERING DOCUMENTS.
All sketches, tracings, plans, specifications, reports on special studies and other data
prepared under this Agreement will become the property of the City and must be
delivered to the Project Manager upon completion of the plans or termination of the
services of the Consultant. There must be no restriction or limitations on their future
use by the City, except any use on extensions of the project or on any other project
without written verification or adaptation by the Consultant for the specific purpose
intended will be the City's sole risk and without liability or legal exposure to the
Consultant.
The City acknowledges the Consultant's plans and specifications, including all
documents on electronic media, as instruments of professional service. Nevertheless,
the plans and specifications prepared under this Agreement will become the property of
the City upon completion of the services and payment in full of all moneys due to the
Consultant.
The City and the Consultant agree that any electronic files prepared by either party will
conform to the specifications listed in the contract. Any change to these specifications
by either the City or the Consultant is subject to review and acceptance by the other
party. Additional efforts by the Consultant made necessary by a change to the CADD
software specifications will be compensated for as Additional Services.
The City is aware that significant differences may exist between the electronic files
delivered and the respective construction documents due to addenda, change orders or
other revisions. In the event of a conflict between the signed construction documents
prepared by the Consultant and electronic files, the signed construction documents will
govern.
The City may reuse or make modifications to the plans and specifications, or electronic
files while agreeing to take responsibility for any claims arising from any modification or
unauthorized reuse of the plans and specifications.
8. SUBLETTING, ASSIGNMENT OR TRANSFER.
Subletting, assignment, or transfer of all or part of the interest of the Consultant in this
Agreement is prohibited unless written consent is obtained from the City Engineer and
approved by the City.
Page 26 of 27
THE CITY OF
DUB E
Masterpiece on the Mississippi
Environmental Professional Services Contract
Request for Proposal
July 2014
Appendix E
Project Data:
EPA Cooperative Agreement (pdf)
Final Brownfield Work plan (pdf)
Overall Brownfield Assessment Area Map (pdf)
Work Breakdown Structure (pdf)
Existing Environmental reports, for the three assessment areas,
will be provided to confirmed respondents upon request
Page 27 of 27
BF -9774 1401 -0 Paae1
J�ZED STgT4'
i22 A YZ
2 ZaQ
�o=
q4. PROSE
U.S. ENVIRONMENTAL
PROTECTION AGENCY
Cooperative Agreement
GRANT NUMBER (FAIN): 97741401
MODIFICATION NUMBER: 0
PROGRAM CODE: BF
DATE OF AWARD
09/20/2013
TYPE OF ACTION
New
MAILING DATE
09/27/2013
PAYMENT METHOD:
ACHE#
776
REGIPIENTTYPE:
Municipal
Send Payment Request to:
US EPA, Las Vegas Finance Center
4220 S. Maryland Pkwy, Old C, Ste 503
Las Vegas, NV 89119
Phone: #702-798-2426, Fax: #702-798-2423
RECIPIENT:
PAYEE:
City of Dubuque
50 West 13th Street
Dubuque, IA 52001
EIN: 42-6004596
Same as Recipient
50 West 13th Street
Dubuque, IA 52001
PROJECT MANAGER
EPA PROJECT OFFICER
EPA GRANT SPECIALIST
Phil Wagner
50 West 13th Street
Dubuque, IA 52001
E -Mall: pwagner@cityoldubuque.org
Phone: 563-589-4213
Jennifer Morris
11201 Renner Boulevard, SUPR/STAR
Lenexa, KS 66219
E -Mall: Morris.Jennifer@epamail.epa.gov
Phone: 913-551-7341
Connie Allen
Grants Management Office, PLMGIRFMB/GRMS
E -Mall: AIIen.Connie@epamail.epa.gov
Phone: 913-551-7363
PROJECT TITLE AND DESCRIPTION
Dubuque Brownfields Assessment
City of Dubuque will assess properties, develop cleanup and reuse plans, and engage the communities in 3 areas of the Downtown Urban Renewal District.
These are South Port, to assess 33 acres of vacant and industrial property on the waterfront; Historic Millwork District, to assess and redevelop over 1 million
square feet of vacant historic warehouse space; and the Washington Neighborhood, to assess and reclaim former industrial land for housing and small
business development.
BUDGET PERIOD
10/01/2013 - 09/30/2016
PROJECT PERIOD
10/01/2013 - 09/30/2016
TOTAL BUDGET PERIOD COST
$400,000.00
TOTAL PROJECT PERIOD COST
$400,000.00
NOTICE
Based on your Application dated 07/15/2013 including all modifications and amendments,
Protection Agency (EPA) hereby awards $400,000. EPA agrees to cost -share
total federal funding of $400,000. Recipient's signature is not required on this
by either: 1) drawing down funds within 21 days after the EPA award or amendment
and conditions within 21 days atter the EPA award or amendment mailing date.
the authorized representative of the recipient must furnish a notice of disagreement
amendment mailing date. In case of disagreement, and until the disagreement
awardlamendment, and any costs incurred by the recipient are at its own risk.
applicable regulatory provisions are 40 CFR Chapter 1, Subchapter B, and all terms
OF AWARD
the United States
100.00% of all approved
acting by and through the US Environmental
budget period costs incurred, up to and not exceeding
demonstrates its commitment to carry out this award
not tiling a notice of disagreement with the award terms
with the terms and conditions specified in this award,
Official within 21 days atter the EPA award or
should not draw down on the funds provided by this
to applicable EPA statutory provisions. The
agreement and any attachments.
agreement. The recipient
mailing date; or 2)
lithe recipient disagrees
to the EPAAward
is resolved, the recipient
This agreement is subject
and conditions of this
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)
AWARD APPROVAL OFFICE
ORGANIZATION /ADDRESS
ORGANIZATION 1 ADDRESS
Grants Management Office
11201 Renner Boulevard
Lenexa, KS 66219
U.S. EPA, Region 7
Superfund Division
11201 Renner Boulevard
Lenexa, KS 66219
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
Digital signature applied by EPA Award Official
Karen L. Sherrill - Grants Management Officer
DATE
09/20/2013
EPA Funding Information
BF 97741401 - 0 Page 2
FUNDS
FORMER AWARD
THIS ACTION
AMENDED TOTAL
EPA Amount This Action
$
$ 400,000
$ 400,000
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
$ 400,000
$ 400,000
Assistance Program (CFDA)
Statutory Authority
Regulatory Authority
66.818 - Brownfields Assessment and Cleanup
—Cooperative Agreements
CERCLA: Sec. 101(39)
CERCLA: Sec. 104(k)(2)
40 CFR PART 31
Fiscal
Site Name
Req No
FY
Approp.
Code
Budget
Organization
PRC
Object
Class
Site/Project
Cost
Organization
Obligation /
Deobligation
DUBUQUE
DUBUQUE
1307W13113
1307W13113
13
13
E4
E4
0700AG7
0700AG7
301D79
301D79XBP
4114
4114
G700NY00
G700OR00
-
-
200,000
200,000
400,000
BF - 97741401 - 0 Page 3
Budget Summary Page
Table A - Object Class Category
(Non -construction)
Total Approved Allowable
Budget Period Cost
1. Personnel
$4,000
2. Fringe Benefits
$0
3. Travel
$4,000
4. Equipment
$0
5. Supplies
$2,000
6. Contractual
$386,000
7. Construction
$0
8. Other
$4,000
9. Total Direct Charges
$400,000
10. Indirect Costs: % Base
$0
11. Total (Share: Recipient 0.00 % Federal 100.00
%.)
$400,000
12. Total Approved Assistance Amount
$400,000
13. Program Income
$0
14. Total EPA Amount Awarded This Action
$400,000
15. Total EPA Amount Awarded To Date
$400,000
BF - 97741401 - 0 Page 4
Administrative Conditions
1. Central Contractor Registration/System for Award Management and Universal Identifier Requirements
A. Requirement for Central Contractor Registration (CCR)/System for Award Management (SAM).
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must
maintain the currency of your information in the SAM until you submit the final financial report required
under this award or receive the final payment, whichever is later. This requires that you review and
update the information at least annually after the initial registration, and more frequently if required by
changes in your information or another award term.
B. Requirement for Data Universal Numbering System (DUNS) numbers. If you are authorized to make
subawards under this award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of this
award term) may receive a subaward from you unless the entity has provided its DUNS
number to you.
2. May not make a subaward to an entity unless the entity has provided its DUNS number
to you.
C. Definitions. For purposes of this award term:
1. Central Contractor Registration (CCR)/System for Award Management (SAM) means
the Federal repository into which an entity must provide information required for the
conduct of business as a recipient. Additional information about registration procedures
may be found at the System for Award Management (SAM) Internet site
http://www.sam.gov.
2. Data Universal Numbering System (DUNS) number means the nine -digit number
established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business
entities. A DUNS number may be obtained from D&B by telephone (currently
866-705-5711) or the Internet (currently at http://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR
part 25, subpart C:
a. A Governmental organization, which is a State, local government, or Indian
tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a
non -Federal entity.
4. Subaward:
a. This term means a legal instrument to provide support for the performance of
any portion of the substantive project or program for which you received this
award and that you as the recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed
to carry out the project or program (for further explanation, see Sec. --.210 of the
attachment to OMB Circular A-133, "Audits of States, Local Governments, and
Non -Profit Organizations").
c. A subaward may be provided through any legal agreement, including an
agreement that you consider a contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the
subaward.
2. Payment Frequency:
Recipient agrees to submit, at a minimum, a quarterly billing (payment) request(s) to the EPA, for all eligible,
allowable, allocable, necessary and reasonable costs which are incurred for this project/program. A payment request
is not required to be submitted in the event that the recipient has not incurred such costs during the quarterly period,
but more frequent payments may be requested as costs are incurred.
3. Anti-Lobbvina:
Pursuant to EPA's annual Appropriations Act, the chief executive officer of this recipient agency shall require that no
grant funds have been used to engage in lobbying of the Federal Government or in litigation against the United
States unless authorized under existing law.
Recipient agrees to comply with the respective OMB Circular (A-21, A-87, or A-122), which prohibits the use of
federal grant funds for litigation against the United States. Recipients subject to the requirements of 40 CFR Part 30
agree to comply with the respective OMB Circular (A-21 or A-122), which prohibits the use of Federal grant funds to
participate in various forms of lobbying or other political activities.
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."
4. Debarment and Suspension:
Recipient agrees to fully comply with Subpart C of 2 CFR Part 180 and 2 CFR Part 1532, entitled Responsibilities of
Participants Regarding Transactions. Recipient must ensure that any lower tier covered transaction, as described in
Subpart B of 2 CFR Part 180 and 2 CFR Part 1532, entitled Covered Transactions, includes a term or condition
requiring compliance with Subpart C. Recipient agrees to include a similar term or condition in any subsequent
lower tier covered transactions. Recipient agrees that failing to disclose the required information in 2 CFR 180.335
may result in the delay or negation of this assistance agreement, or pursuance of legal remedies, including
suspension and debarment.
Recipient may access the Excluded Parties List System at www.sam.gov.
5. Drug Free Workplace:
Recipient agrees to make an ongoing, good faith effort to maintain a drug-free workplace pursuant to the specific
requirements set forth in Title 2 CFR Part 1536 Subpart B. Additionally, in accordance with these regulations, the
recipient organization must identify all known workplaces under its federal awards, and keep this information on file
during the performance of the award.
Those recipients who are individuals must comply with the drug-free provisions set forth in Title 2 CFR Part 1536
Subpart C.
The consequences for violating this condition are detailed under Title 2 CFR Part 1536 Subpart E and may be
accessed at:
http://www.access.dIDO.qov/nara/cfr/waisidx 06/40cfr36 06.html.
6. Hotel/Motel Fire Safety Act:
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.
7. Single Audit:
The Recipient agrees if $500,000 or more in total Federal funds is expended in any fiscal year, they will obtain a
single audit from an independent auditor according to the guidance provided in OMB Circular A-133. The Recipient
agrees that within nine months after the fiscal year end or 30 days after receiving the report from the auditor, they
will electronically submit a copy of the data collection form SF -SAC and a Single Audit Report Package to the
Federal Audit Clearinghouse Internet Data Entry System.
For complete instructions for electronic submission of the SF -SAC and the Single Audit Report Package are located
at the Federal Audit Clearinghouse Web site:
http://harvester.census.gov/fac/
8. Trafficking Victims Protection Act of 2000:
To implement requirements of Section 106 of the Trafficking Victims Protection Act of 2000, as amended, the
following provisions apply to this award
a. We, as the Federal awarding agency may unilaterally terminate this award, without penalty, if a
sub -recipient that is a private entity: (1) is determined to have violated an applicable prohibition in the
Prohibition Statement below; or (2) has an employee who is determined by the agency official
authorized to terminate the award to have violated an applicable prohibition in the Prohibition
Statement below through conduct that is either: (a) associated with performance under this award; or
(b) imputed to the subrecipient using the standards and due process for imputing the conduct of an
individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on
Government wide Debarment and Suspension (Non -procurement)," as implemented by our agency at
2 CFR part 1532. You must inform us immediately of any information you receive from any source
alleging a violation of a prohibition in the Prohibition Statement below.
b. Our right to terminate unilaterally that is described in paragraph a of this award term: (1) implements
section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C.
7104(g)), and (2) is in addition to all other remedies for noncompliance that are available to us under
this award.
c. You must include the requirements of the Prohibition Statement below in any subaward you make to
a private entity.
Prohibition Statement - You as the recipient, your employees, sub -recipients under this award, and sub -recipients'
employees may not engage in severe forms of trafficking in persons during the period of time that the award is in
effect; procure a commercial sex act during the period of time that the award is in effect; or use forced labor in the
performance of the award or sub -awards under the award.
9. CIVIL RIGHTS OBLIGATIONS:
GENERAL
This term and condition incorporates by reference the signed assurance provided by the recipient's authorized
representative on: 1) EPA Form 4700-4, "Preaward Compliance Review Report for All Applicants and Recipients
Requesting EPA Financial Assistance"; and 2) Standard Form 424B or Standard Form 424D, as applicable. These
assurances and this term and condition obligate the recipient to comply fully with applicable civil rights statutes and
implementing EPA regulations.
STATUTORY REQUIREMENTS
In carrying out this agreement, the recipient must comply with:
• Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on race, color, and
national origin, including limited English proficiency (LEP), by entities receiving Federal financial
assistance.
Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against persons with
disabilities by entities receiving Federal financial assistance; and
The Age Discrimination Act of 1975, which prohibits age discrimination by entities receiving Federal
financial assistance.
If the recipient is conducting an education program under this agreement, it must also comply with:
Title IX of the Education Amendments of 1972, which prohibits discrimination on the basis of sex in
education programs and activities operated by entities receiving Federal financial assistance.
If this agreement is funded with financial assistance under the Clean Water Act (CWA), the recipient must also
comply with:
• Section 13 of the Federal Water Pollution Control Act Amendments of 1972, which prohibits
discrimination on the basis of sex in CWA-funded programs or activities.
REGULATORY REQUIREMENTS
The recipient agrees to comply with all applicable EPA civil rights regulations, including:
For Title IX obligations, 40 C.F.R. Part 5; and
For Title VI, Section 504, Age Discrimination Act, and Section 13 obligations, 40 C.F.R. Part 7.
As noted on the EPA Form 4700-4 signed by the recipient's authorized representative, these
regulations establish specific requirements including maintaining compliance information,
establishing grievance procedures, designating a Civil Rights Coordinator, and providing notices of
non-discrimination.
TITLE VI — LEP, Public Participation and Affirmative Compliance Obligation
As a recipient of EPA financial assistance, you are required by Title VI of the Civil
Rights Act to provide meaningful access to LEP individuals. In implementing that
requirement, the recipient agrees to use as a guide the Office of Civil Rights (OCR)
document entitled "Guidance to Environmental Protection Agency Financial
Assistance Recipients Regarding Title VI Prohibition Against National Origin
Discrimination Affecting Limited English Proficient Persons." The guidance can be
found at
http://frwebaate.access.aDo.aov/cai-bin/aetdoc.cai?dbname=2004 register&docid=
fr25In04-79.pd
If the recipient is administering permitting programs under this agreement, the
recipient agrees to use as a guide OCR's Title VI Public Involvement Guidance for
EPA Assistance Recipients Administering Environmental Permitting Programs. The
Guidance can be found at http://edocket.access.oDo.gov/2006/pdf/06-2691.pdf.
In accepting this assistance agreement, the recipient acknowledges it has an
affirmative obligation to implement effective Title VI compliance programs and
ensure that its actions do not involve discriminatory treatment and do not have
discriminatory effects even when facially neutral. The recipient must be prepared
to demonstrate to EPA that such compliance programs exist and are being
implemented or to otherwise demonstrate how it is meeting its Title VI obligations.
10. Recycling:
The Recipient agrees, in accordance with EPA Order 1000.25 and Executive Order 13423, Strengthening Federal
Environmental, Energy and Transportation Management (January 24, 2007), the recipient agrees to use recycled
paper and double sided printing for all reports which are prepared as a part of this agreement and delivered to EPA.
This requirement does not apply to reports prepared on forms supplied by EPA, or to Standard Forms, which are
printed on recycled paper and are available through the General Services Administration.
The Recipient agrees to follow the requirements set out in Section 6002 of the Resource Conservation and Recovery
Act (RCRA) (42 U.S.C. 6962). RCRA Section 6002 that preference be given in procurement programs to the
purchase of specific products containing recycled materials identified in the guidelines contained in 40 CFR 247.
11. Subaward Reporting:
Reporting Subawards and Executive Compensation
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must
report each action that obligates $25,000 or more in Federal funds that does not include Recovery
funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e of this award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a.1. of this award term to
www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following the month
in which the obligation was made. (For example,if the obligation was made on November
7, 2010, the obligation must be reported by no later than December 31, 2010.)
3. What to report. You must report the information about each obligating action that the
submission instructions posted at www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of your five most
highly compensated executives for the preceding completed fiscal year, if –
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received—
(A) 80 percent or more of your annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
(8) $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a),78o(d)) or section 6104 of the Internal Revenue
Code of 1986. (To determine if the public has access to the compensation information,
see the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation described in
paragraph b.1. of this award term:
i. As part of your registration profile at www.ccr.gov.
ii. By the end of the month following the month in which this award is made, and annually
thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this
award term, for each first-tier subrecipient under this award, you shall report the names and total
compensation of each of the subrecipient's five most highly compensated executives for the
subrecipient's preceding completed fiscal year, if --
i. in the subrecipient's preceding fiscal year, the subrecipient received—
(A) 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
(8) $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts), and Federal financial assistance subject to the
Transparency Act (and subawards); and
ii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue
Code of 1986. (To determine if the public has access to the compensation information,
see the U.S.Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execonnp.htm.)
2. Where and when to report. You must report subrecipient executive total compensation
described in paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the subaward.
For example, if a subaward is obligated on any date during the month of October of a
given year (i.e., between October 1 and 31), you must report any required compensation
information of the subrecipient by November 30 of that year.
d. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000, you are
exempt from the requirements to report:
i. subawards, and;
ii. the total compensation of the five most highly compensated executives of any
subrecipient.
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR part 25:
i. A Governmental organization, which is a State, local government, or Indian tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for-profit organization;
v. A Federal agency, but only as a subrecipient under an award or subaward to a
non -Federal entity.
2. Executive means officers, managing partners, or any other employees in management
positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award and that
you as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and services needed to
carryout the project or program (for further explanation, see Sec. --.210 of the attachment
to OMB Circular A-133,"Audits of States, Local Governments, and Non -Profit
Organizations")
iii. A subaward may be provided through any legal agreement, including an agreement
that you or a subrecipient considers a contract.
4. Subrecipient means an entity that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the subaward.
5.Total compensation means the cash and noncash dollar value earned by the executive during
the recipient's or subrecipient's preceding fiscal year and includes the following (for more
information see 17 CFR 229.402(c)(2)):
L Salary and bonus
ii. Awards of stock, stock options, and stock appreciation rights - Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised
2004) (FAS 123R), Shared Based Payments.
iii. Earnings for services under non -equity incentive plans - This does not include group
life, health, hospitalization or medical reimbursement plans that do not discriminate in
favor of executives, and are available generally to all salaried employees.
vi. Change in pension value - This is the change in present value of defined benefit and
actuarial pension plans.
v. Above -market earnings on deferred compensation which is not tax -qualified.
vi. Other compensation - If the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the employee,
perquisites or property) for the executive exceeds $10,000.
12. Procurement Documentation Review:
Recipient agrees to submit pre -award procurement documentation [i.e., supporting information which documents
compliance with the applicable grant procurement regulations found at 40 CFR 30.43 & 30.44 or 31.36, whichever is
applicable] to the EPA Region VII Grants Office for review and approval, when the dollar amount of the purchase is
expected to exceed the small purchase threshold of $150,000.
13. Consultant Rate 2013:
The Environmental Protection Agency (EPA) participation in the salary rate (excluding overhead and travel) paid to
individual consultants retained by recipients or by a recipients contractors or subcontractors shall be limited to the
maximum daily rate for Level IV of the Executive Schedule (formerly GS -18), to be adjusted annually. This limit
applies to consultation services of designated individuals with specialized skills who are paid at a daily or hourly rate.
As of January 1, 2013, the limit is $596.00 per day and $74.50 per hour. The rate does not include overhead or
travel costs and the recipient may pay these in accordance with its normal travel practices.
Sub -agreements with firms for services which are awarded using the procurement requirements in 40 CFR Parts 30
or 31, as applicable, are not affected by this limitation unless the terms of the contract provide the recipient with
responsibility for the selection, direction, and control of the individuals who will be providing services under the
contract at an hourly or daily rate of compensation. See 40 CFR 31.36(j)(2) or 30.27(b), as applicable.
14. Disadvantaged Business Enterprises
GENERAL COMPLIANCE, 40 CFR, Part 33 - The recipient agrees to comply with the
requirements of EPA's Program for Utilization of Small, Minority and Women's Business
Enterprises in procurement under assistance agreements, contained in 40 CFR, Part 33
FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D- A recipient must negotiate with the
appropriate EPA award official, or his/her designee, fair share objectives for MBE and WBE
(MBE/WBE) participation in procurement under the financial assistance agreements.
Accepting the Fair Share Objectives/Goals of Another Recipient -The dollar amount of this
assistance agreement is $250,000, or more; or the total dollar amount of all of the recipient's
assistance agreements from EPA in the current fiscal year is $250,000, or more. The recipient
accepts the applicable MBE/WBE fair share objectives/goals negotiated with EPA by the Iowa
Department of Natural Resources (IDNR) as follows:
Iowa
MBE WBE
Supplies 0.6% 05.6%
Equipment 2.5% 10.4%
Services 2.5% 11.3%
Construction 1.7% 02.2%
By signing this financial assistance agreement, the recipient is accepting the fair share
objectives/goals stated above and attests to the fact that it is purchasing the same or similar
construction, supplies, services and equipment, in the same or similar relevant geographic buying
market as IDNR.
Negotiating Fair Share Objectives/Goals, 40 CFR, Section 33.404 - The recipient has the
option to negotiate its own MBE/WBE fair share objectives/goals. If the recipient wishes to
negotiate its own MBE/WBE fair share objectives/goals, the recipient agrees to submit proposed
MBE/WBE objectives/goals based on an availability analysis, or disparity study, of qualified MBEs
and WBEs in their relevant geographic buying market for construction, services, supplies and
equipment.
The submission of proposed fair share goals with the supporting analysis or disparity study means
that the recipient is not accepting the fair share objectives/goals of another recipient. The
recipient agrees to submit proposed fair share objectives/goals, together with the supporting
availability analysis or disparity study, to the Regional MBE/WBE Coordinator within 120 days of
its acceptance of the financial assistance award. EPA will respond to the proposed fair share
objective/goals within 30 days of receiving the submission. If proposed fair share objective/goals
are not received within the 120 day time frame, the recipient may not expend its EPA funds for
procurements until the proposed fair share objective/goals are submitted.
SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C - Pursuant to 40 CFR, Section
33.301, the recipient agrees to make the following good faith efforts whenever procuring
construction, equipment, services and supplies under an EPA financial assistance agreement,
and to ensure that sub -recipients, loan recipients, and prime contractors also comply. Records
documenting compliance with the six good faith efforts shall be retained:
(a) Ensure DBEs are made aware of contracting opportunities to the fullest extent
practicable through outreach and recruitment activities. For Indian Tribal, State and Local
and Government recipients, this will include placing DBEs on solicitation lists and
soliciting them whenever they are potential sources.
(b) Make information on forthcoming opportunities available to DBEs and arrange time
frames for contracts and establish delivery schedules, where the requirements permit, in
a way that encourages and facilitates participation by DBEs in the competitive process.
This includes, whenever possible, posting solicitations for bids or proposals for a
minimum of 30 calendar days before the bid or proposal closing date.
(c) Consider in the contracting process whether firms competing for large contracts could
subcontract with DBEs. For Indian Tribal, State and local Government recipients, this will
include dividing total requirements when economically feasible into smaller tasks or
quantities to permit maximum participation by DBEs in the competitive process.
(d) Encourage contracting with a consortium of DBEs when a contract is too large for one
of these firms to handle individually.
(e) Use the services and assistance of the SBA and the Minority Business Development
Agency of the Department of Commerce.
(f) If the prime contractor awards subcontracts, require the prime contractor to take the
steps in paragraphs (a) through (e) of this section.
MBE/WBE REPORTING, 40 CFR, Part 33, Sections 33.502 and 33.503 - The recipient agrees
to complete and submit EPA Form 5700-52A, "MBE/WBE Utilization Under Federal Grants,
Cooperative Agreements and Interagency Agreements" beginning with the Federal fiscal year
reporting period the recipient receives the award, and continuing until the project is completed.
Only procurements with certified MBE/WBEs are counted toward a recipient's MBE/WBE
accomplishments. The reports must be submitted semiannually for the periods ending March
31 and September 30.
The reports are due within 30 days of the end of the semiannual reporting periods (April
30 and October 30). Reports should be sent to ATTN: Grant Assistant. Final MBE/WBE
reports must be submitted within 90 days after the project period of the grant ends. Your
grant cannot be officially closed without all MBE/WBE reports.
EPA Form 5700-52A may be obtained from the EPA Office of Small Business Program's Home
Page on the Internet at www.epa.gov/osbp.
CONTRACT ADMINISTRATION PROVISIONS, 40 CFR, Section 33.302 - The recipient agrees
to comply with the contract administration provisions of 40 CFR, Section 33.302.
BIDDERS LIST, 40 CFR, Section 33.501(b) and (c) - Recipients of a Continuing Environmental
Program Grant or other annual reporting grant, agree to create and maintain a bidders list.
Recipients of an EPA financial assistance agreement to capitalize a revolving loan fund also
agree to require entities receiving identified loans to create and maintain a bidders list if the
recipient of the loan is subject to, or chooses to follow, competitive bidding requirements. Please
see 40 CFR, Section 33.501 (b) and (c) for specific requirements and exemptions.
Programmatic Conditions
1. Electronic and Information Technology Accessibility
Recipients and subrecipients are subject to the program accessibility provisions of Section 504 of the
Rehabilitation Act, codified in 40 CFR Part 7, which includes an obligation to provide individuals with
disabilities reasonable accommodations and an equal and effective opportunity to benefit from or
participate in a program, including those offered through electronic and information technology ("EIT").
In compliance with Section 504, EIT systems or products funded by this award must be designed to
meet the diverse needs of users (e.g., U.S. public, recipient personnel) without barriers or diminished
function or quality. Systems shall include usability features or functions that accommodate the needs
of persons with disabilities, including those who use assistive technology. At this time, the EPA will
consider a recipient's websites, interactive tools, and other EIT as being in compliance with Section
504 if such technologies meet standards established under Section 508 of the Rehabilitation Act,
codified at 36 CFR Part 1194. While Section 508 does not apply directly to grant recipients, we
encourage recipients to follow either the 508 guidelines or other comparable guidelines that concern
accessibility to EIT for individuals with disabilities . Recipients may wish to consult the latest Section
508 guidelines issued by the US Access Board or W3C's Web Content Accessibility Guidelines
(WCAG) 2.0(see http://www.access-board.gov/sec508/guide/index.htm).
2. Geospatial Data Standards
All geospatial data created must be consistent with Federal Geographic Data Committee (FGDC)
endorsed standards. Information on these standards may be found at www.fndc.gov.
3. Brownfields CERCLA § 104(k) Assessment Grant Terms and Conditions
NOTE: For the purposes of these Terms and Conditions (T&Cs) the term `assessment" includes , eligible
activities under the Comprehensive Environmental Response , Compensation , and Liability Act (CERCLA) §
104(k)(2)(A)(i) such as activities involving the inventory , characterization , assessment, and planning relating to
brownfield sites as described in the EPA approved work plan .
I. GENERAL FEDERAL REQUIREMENTS
A. Federal Policy and Guidance
1. a. Cooperative Agreement Recipients: By awarding this cooperative agreement, EPA has approved the
proposal for the Cooperative Agreement Recipient (CAR) submitted in the Fiscal Year 2013 competition for
Brownfields assessment cooperative agreements.
b. In implementing this agreement, the CAR shall ensure that work done with cooperative agreement funds
complies with the requirements of the Comprehensive Environmental Response , Compensation, and
Liability Act (CERCLA) § 104(k). The CAR shall also ensure that assessment activities supported with
cooperative agreement funding comply with all applicable Federal and State laws and regulations .
c. The recipient must comply with Federal cross -cutting requirements. These requirements include but are
not limited to, MBE/WBE requirements found at 40 CFR Part 33; OSHA Worker Health & Safety Standard
29 CFR 1910.120; the Uniform Relocation Act; National Historic Preservation Act; Endangered Species Act;
and Permits required by Section 404 of the Clean Water Act; Executive Order 11246, Equal Employment
Opportunity, and implementing regulations at 41 CFR 60-4; Contract Work Hours and Safety Standards Act,
as amended (40 USC § 327-333) the Anti Kickback Act (40 USC § 276c) and Section 504 of the
Rehabilitation Act of 1973 as implemented by Executive Orders 11914 and 11250.
d. The CAR must comply with Davis -Bacon Act prevailing wage requirements and associated U .S.
Department of Labor (DOL) regulations for all construction, alteration and repair contracts and subcontracts
awarded with funds provided under this agreement. Activities conducted under assessment grants
generally do not involve construction , alteration and repair within the meaning of the Davis -Bacon Act. The
recipient must contact EPA's Project Officer if there are unique circumstances (e.g. removal of an
underground storage tank or another structure and restoration of the site ) which indicate that the
Davis -Bacon Act applies to an activity the CAR intends to carry out with funds provided under this
agreement. The Agency will provide guidance on Davis -Bacon Act compliance if necessary.
B. Eligible Brownfields Site Determinations
1. a. The CAR must provide information to EPA about site-specific work prior to incurring any costs under this
cooperative agreement for sites that have not already been pre -approved in the CAR's work plan by the
EPA. The information that must be provided includes whether or not the site meets the definition of a
brownfield site as defined in § 101(39) of CERCLA, whether the CAR is the potentially responsible party
under CERCLA 107 and/or has defenses to liability.
b. If the site is excluded from the general definition of a brownfield , but is eligible for a
property -specific funding determination, then the CAR may request a property -specific funding
determination. In their request, the CAR must provide information sufficient for EPA to make a
property -specific funding determination on how financial assistance will protect human health
and the environment, and either promote economic development or enable the creation of ,
preservation of, or addition to parks, greenways, undeveloped property, other recreational
property, or other property used for nonprofit purposes . The CAR must not incur costs for
assessing sites requiring a property -specific funding determination by EPA until the EPA Project
Officer has advised the CAR that the Agency has determined that the property is eligible .
2. a. For any petroleum contaminated brownfield site that is not included in the CAR's EPA
approved work plan, the CAR shall provide sufficient documentation to the EPA prior to incurring costs
under this cooperative agreement which includes (see the latest version of EPA's Proposal Guidelines for
Brownfie/ds Assessment Grants dated September 2012 for discussion of this element) documenting that:
(1) a State has determined that the petroleum site is of relatively low risk, as compared
to other petroleum -only sites in the State,
(2) the State determines there is "no viable responsible party" for the site ;
(3) 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) the site is not subject to any order issued under section 9003(h) of the Solid Waste
Disposal Act.
This documentation must be prepared by the CAR or the State following contact and discussion with the
appropriate petroleum program official.
b. Documentation must include (1) the identity of the State program official contacted, (2)
the State official's telephone number, (3) the date of the contact, and (4) a summary of
the discussion relating to the state's determination that the site is of relatively low risk ,
that there is no viable responsible party and that the person assessing or investigating
the site is not potentially liable for cleaning up the site . Other documentation provided
by a State to the recipient relevant to any of the determinations by the State must also
be provided to the EPA Project Officer.
c. If the State chooses not to make the determinations described in 2.a. above, the CAR
must contact the EPA Project Officer and provide the information necessary for EPA to
make the requisite determinations.
d. EPA will make all determinations on the eligibility of petroleum -contaminated brownfields sites
located on tribal lands (i.e., reservation lands or lands otherwise in Indian country, as defined at 18
U.S.C. 1151). Before incurring costs for these sites, the CAR must contact the EPA Project Officer
and provide the information necessary for EPA to make the determinations described in 2.a.
above.
II. GENERAL COOPERATIVE AGREEMENT
ADMINISTRATIVE REQUIREMENTS
A. Term of the Agreement
1. The term of this agreement is three years from the date of award , unless otherwise extended by EPA at the
CAR's request.
2. If after 18 months from the date of award, EPA determines that the CAR has not made sufficient progress in
implementing its cooperative agreement, the recipient must implement a corrective action plan approved by
the EPA PO or EPA may terminate this agreement for material non -compliance with its terms. For purposes
of assessment grants, the recipient demonstrates "sufficient progress" when 35% of funds have been drawn
down and obligated to eligible activities; for assessment coalition grants "sufficient progress" is
demonstrated when a solicitation for services has been released , sites are prioritized or an inventory has
been initiated if necessary, community involvement activities have been initiated and a Memorandum of
Agreement (for Assessment Coalitions) is in place.
3. Assessment funding for an eligible brownfield site may not exceed $200,000 unless a waiver has been
granted by EPA. Following the granting of a waiver, funding is not to exceed $350,000 at the site.
B. Substantial Involvement
1. The EPA may be substantially involved in overseeing and monitoring this cooperative agreement .
a. Substantial involvement by EPA generally includes administrative activities such as
monitoring, reviewing project phases, and approving substantive terms included in
professional services contracts.
b. Substantial EPA involvement also includes brownfields property -specific funding
determinations described in I.B. under Eligible Brownfields Site Determinations above.
If the CAR awards a subgrant for site assessment, the CAR must obtain technical
assistance from EPA on which sites qualify as a brownfield site and determine whether
the statutory prohibition found in section 104(k)(4)(B)(i)(IV) of CERCLA applies. This
prohibition precludes the subgrantee from using EPA funds to assess a site for which
the subgrantee is potentially liable under § 107 of CERCLA. (See Section II.C.3 for
more information on subgrants.)
c. Substantial EPA involvement may include reviewing financial and environmental status
reports; and monitoring all reporting, record-keeping, and other program requirements.
d. EPA may waive any of the provisions in term and condition II .B.1., with the exception of
property -specific funding determinations. EPA will provide waivers in writing.
2. Effect of EPA's substantial involvement includes:
a. EPA's review of any project phase, document, or cost incurred under this cooperative
agreement, will not have any effect upon CERCLA § 128 Eligible Response Site
determinations or rights, authorities, and actions under CERCLA or any Federal statute.
b. The CAR remains responsible for ensuring that all assessments are protective of human
health and the environment and comply with all applicable Federal and State laws .
c. The CAR and its subgrantees remain responsible for incurring costs that are allowable
under the applicable OMB Circulars.
C. Cooperative Agreement Recipient Roles and Responsibilities
1. The CAR must acquire the services of a qualified environmental professional (s) to coordinate, direct, and
oversee the brownfields assessment activities at a particular site , if they do not have such a professional on
staff.
2. The CAR is responsible for ensuring that contractors and subgrant recipients comply with the terms of their
agreements with the CAR, and that agreements between the CAR and subgrant recipients and contractors
comply with the terms and conditions of this agreement.
3. Subgrants are defined at 40 CFR 31.3 and 40 CFR 30.2(f). The CAR may not subgrant to for-profit
organizations. The CAR must obtain commercial services and products necessary to carry out this
agreement under competitive procurement procedures as described in 40 CFR 31.36 or Procurement
Standards of 40 CFR Part 30, as applicable. In addition, EPA policy encourages awarding subgrants
competitively and the CAR must consider awarding subgrants through competition .
4. The CAR is responsible for assuring that EPA's Brownfields Assessment Grant funding received under this
grant, or in combination with any other previously awarded Brownfields Assessment grant does not exceed
the $200,000 assessment grant funding limitation for an individual brownfield site. Waiver of this funding
limit for a brownfields site must be approved by EPA prior to the expenditure of funding exceeding
$200,000. In no case may EPA funding exceed $350,000 on a site receiving a waiver.
5. CARs expending funding from a community -wide assessment grant on a particular site must include such
funding amount in any total funding expended on the site.
D. Quarterly Progress Reports
1. The CAR must submit progress reports on a quarterly basis to the EPA Project Officer . Quarterly progress
reports must include:
a. Summary of approved activities performed during the reporting quarter, summary of the
performance outputs/outcomes achieved during the reporting quarter, a description of problems
encountered during the reporting quarter that may affect the project schedule and a discussion of
meeting the performance outputs/outcomes.
b. An update on project schedules and milestones.
c. A list of the properties where assessment activities were performed and /or completed during the
reporting quarter.
d. A budget recap summary table with the following information : current approved project budget;
costs incurred during the reporting quarter; costs incurred to date (cumulative expenditures); and
total remaining funds.
2. The CAR must maintain records that will enable it to report to EPA on the amount of funds expended on
specific properties under this cooperative agreement.
3. In accordance with 40 CFR 31.40(d), the CAR agrees to inform EPA as soon as problems, delays, or
adverse conditions become known which will materially impair the ability to meet the outputs /outcomes
specified in the approved work plan.
E. Property Profile Submission
The CAR must report on interim progress (i.e., assessment started) and any final accomplishments (i.e., assessment
completed, cleanup required, contaminants, Institution Controls, Engineering Controls) by completing and submitting
relevant portions of the Property Profile Form using the Brownfields Program on -line reporting system, known as
Assessment, Cleanup and Redevelopment Exchange System (ACRES). The CAR must enter the data in ACRES as
soon as the interim action or final accomplishment has occurred , or within 30 days after the end of each reporting
quarter. EPA will provide the CAR with training prior to obtaining access to ACRES. The training is required to
obtain access to ACRES. The CAR must utilize the ACRES system unless approval is obtained from the regional
Project Officer to utilize the Property Profile Form.
F. Final Report
The CAR must submit a final performance report within 90 days after the end of the project period. The final report
may be submitted in lieu of a final quarterly report with approval from the EPA project officer . This final report shall
include a summary of the work performed at the site. It should also provide information that documents outreach
efforts by the CAR and other activities that explain how the funding was utilized .
G. Work Product and Report Submission Format
Work products and reports provided to EPA in accordance with this agreement shall be submitted in an electronic
format acceptable to EPA, unless otherwise approved by the EPA project officer. Current acceptable formats include
Microsoft WORD, Microsoft EXCEL or Portable Document (PDF).
III. FINANCIAL ADMINISTRATION REQUIREMENTS
A. Eligible Uses of the Funds for the Cooperative Agreement Recipient
1. To the extent allowable under the work plan , cooperative agreement funds may be used for eligible
programmatic expenses to inventory, characterize, assess, and conduct planning and outreach. Eligible
programmatic expenses include activities described in Section IV of these Terms and Conditions . In
addition, such eligible programmatic expenses may include:
a. Determining whether assessment activities at a particular site are authorized by CERCLA §
104(k);
b. Ensuring that an assessment complies with applicable requirements under Federal and State laws , as
required by CERCLA § 104(k);
c. Using a portion of the grant to purchase environmental insurance for the characterization or assessment
of the site. Funds may not be used to purchase insurance intended to provide coverage for any of the
Ineligible Uses under Section III .B.
d. Any other eligible programmatic costs including direct costs incurred by the recipient in reporting to
EPA; procuring and managing contracts; awarding and managing subgrants to the extent allowable under
III. B. 2.; and carrying out community involvement pertaining to the assessment activities .
B. Ineligible Uses of the Funds for the Cooperative Agreement Recipient
1. Cooperative agreement funds shall not be used by the CAR for any of the following activities:
a. Cleanup activities;
b. Development activities that are not brownfields assessment activities (e.g., construction of a new facility);
c. Job training unrelated to performing a specific assessment at a site covered by the grant ;
d. To pay for a penalty or fine;
e. To pay a federal cost share requirement (for example, a cost -share required by another Federal grant)
unless there is specific statutory authority;
f. To pay for a response cost at a brownfields site for which the recipient of the grant or subgrant is
potentially liable under CERCLA § 107;
g. To pay a cost of compliance with any federal law, excluding the cost of compliance with laws applicable to
the assessment; and
h. Unallowable costs (e.g., lobbying and fund raising) under applicable OMB Circulars.
2. Under CERCLA § 104(k)(4)(B), administrative costs are prohibited costs under this agreement. Prohibited
administrative costs include all indirect costs under applicable OMB Circulars.
a. Ineligible administrative costs include costs incurred in the form of salaries, benefits,
contractual costs, supplies, and data processing charges, incurred to comply with most
provisions of the UniformAdministrative Requirements for Grants contained in 40 CFR
Part 31. Direct costs for grant administration, with the exception of costs specifically
identified as eligible programmatic costs, are ineligible even if the grant recipient is
required to carry out the activity under the grant agreement.
b. Ineligible grant administration costs include direct costs for:
(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 of work, program plans and other
activities required under 40 CFR 31.30;
(5) Maintaining and operating financial management systems required under 40 CFR 31;
(6) Preparing payment requests and handling payments under 40 CFR 31.21;
(7) Non-federal audits required under 40 CFR 31.26 and OMB Circular A-133; and
(8) Close out under 40 CFR 31.50.
3. Cooperative agreement funds may not be used for any of the following properties:
a. Facilities listed, or proposed for listing, on the National Priorities List (NPL);
b. Facilities subject to unilateral administrative orders, court orders, administrative orders
on consent or judicial consent decree issued to or entered by parties under CERCLA ;
c. Facilities that are subject to the jurisdiction , custody or control of the United States
government except for land held in trust by the United States government for an Indian
tribe; or
d. A site excluded from the definition of a brownfields site for which EPA has not made a
property -specific funding determination.
4. The CAR must not include management fees or similar charges in excess of the direct costs or at the rate
provided for by the terms of the agreement negotiated with EPA. The term "management fees or similar charges"
refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business
expenses, unforeseen liabilities, or for other similar costs that are not allowable under EPA assistance agreements .
Management fees or similar charges may not be used to improve or expand the project funded under this agreement ,
except to the extent authorized as a direct cost of carrying out the work plan .
C. Interest -Bearing Accounts and Program Income
1. In accordance with 40 CFR 31.25(g)(2), the CAR is authorized to add program income to the funds awarded
by the EPA and use the program income under the same terms and conditions of this agreement . Program income
for the assessment CAR shall be defined as the gross income received by the recipient , directly generated by the
cooperative agreement award or earned during the period of the award . Program income includes, but is not limited
to, fees charged for conducting assessment, site characterizations, clean up planning or other activities when the
costs for the activity is charged to this agreement.
2. The CAR must deposit advances of grant funds and program income (i.e. fees) in an interest bearing
account.
a. For interest earned on advances, CARs are subject to the provisions of 40 CFR §31.21(i) to
remitting interest on advances to EPA on a quarterly basis.
b. Interest earned on program income is considered additional program income .
c. The CAR must disburse program income (including interest earned on program income)
before requesting additional payments from EPA as required by 40 CFR 31.21(f).
IV. ASSESSMENT ENVIRONMENTAL REQUIREMENTS
A. Authorized Assessment Activities
1. Prior to conducting or engaging in any on-site activity with the potential to impact historic properties (such
as invasive sampling), the CAR shall consult with EPA regarding potential applicability of the National
Historic Preservation Act and, if applicable, shall assist EPA in complying with any requirements of the Act
and implementing regulations.
B. Quality Assurance (QA) Requirements
1. When environmental samples are collected as part of the brownfields assessment , the CAR shall comply
with 40 CFR Part 31.45 requirements to develop and implement quality assurance practices sufficient to
produce data adequate to meet project objectives and to minimize data loss . State law may impose
additional QA requirements.
2. Individual or generic Quality Assurance Project Plans (QAPPs) for activities within the scope of this
agreement must be submitted for EPA approval prior to the collection of environmental data and samples .
EPA may request assistance from a state program with the review and approval of QAPPs for non -state
EPA CARs. For this to occur, the state program must be authorized through an approved Quality
Management Plan (QMP), to review and approve QAPPs in lieu of EPA. Review and approval of non -state
EPA brownfields CAR QAPPs by a state program will be limited to those instances where there is mutual
agreement among the parties involved (the state, EPA, and the CAR), and the non -State EPA CAR agrees
to participate in and follow the guidelines established within the State Response Program . Oversight of the
state's QAPP approval process for Brownfields will be part of the Management Systems Review (MSR)
process described in EPA Region 7s QMP. All QA documents will be prepared in accordance with current
EPA requirements as defined in EPA Requirements for Quality Assurance Project Plans: EPA QA/R-5
(EPA/240/B-01/003, March 2001) and Guidance for Quality Assurance Project Plans: EPA QA/G-5
(EPA/240/R-02/009, December 2002) or their subsequent revision.
C. Completion of Assessment Activities
1. The CAR shall properly document the completion of all activities described in the EPA approved work plan .
This must be done through a final report or letter from a qualified environmental professional , or other documentation
provided by a State or Tribe that shows assessments are complete .
D. All Appropriate Inquiry
1. As required by CERCLA § 104(k)(2)(B)(ii) and CERCLA § 101(35)(B), the CAR shall ensure that a Phase I
site characterization and assessment carried out under this agreement will be performed in accordance with
EPA's standard for all appropriate inquiries. The CAR shall utilize the practices in ASTM standard E 1527-05
"Standard Practices for Environmental Site Assessment: Phase I Environmental Site Assessment Process,"
or EPA's All Appropriate Inquiries Final Rule "All Appropriate Inquiries Rule: Reporting Requirements and
Suggestions on Report Content", (Publication Number: EPA 560-F-06-244). This does not preclude the
use of grant funds for additional site characterization and assessment activities that may be necessary to
characterize the environmental impacts at the site or to comply with applicable State standards .
2. All Appropriate Inquiries (AAI) final reports produced with funding from this agreement must comply with 40
C.F.R. Part 312 and must, at a minimum, include the information below. All AAI reports submitted to EPA
Project Officers as deliverables under this agreement must be accompanied by a completed "Reporting
Requirements Checklist" that EPA's Project Officer will provide to the recipient. The checklist also is
available to grantees on the EPA website at www.epa.gov/brownfields.
a. An opinion as to whether the inquiry has identified conditions indicative of releases or threatened
releases of hazardous substances , and as applicable, pollutants and contaminants, petroleum or
petroleum products, or controlled substances, on, at, in, or to the subject property.
b. An identification of `significant" data gaps (as defined in 40 C.F.R. 312.10), if any, in the information
collected for the inquiry. Significant data gaps include missing or unattainable information that affects
the ability of the environmental professional to identify conditions indicative of releases or threatened
releases of hazardous substances , and as applicable, pollutants and contaminants, petroleum or
petroleum products, or controlled substances, on, at, in, or to the subject property. The documentation
of significant data gaps must include information regarding the significance of these data gaps .
c. Qualifications and signature of the environmental professional(s). The environmental professional
must place the following statements in the document and sign the document :
• `(l, We] declare that, to the best of [my, ourj professional knowledge and belief, [l, we] meet the
definition of Environmental Professional as defined in §312.10 of this part."
- `(/, Wel have the specific qualifications based on education, training, and experience to assess a
property of the nature, history, and setting of the subject property. [i, Wel have developed and
performed the all appropriate inquiries in conformance with the standards and practices set forth in 40
CFR Part 312."
Note: Please use either "I" or "We ."
d. In compliance with §312.31(b), the environmental professional must include in the final report an
opinion regarding additional appropriateinvestigation , if the environmental professional has such an
opinion.
3. EPA may review checklists and AAI final reports for compliance with the AAI regulation documentation
requirements at 40 CFR part 312 (or comparable requirements for those using ASTM Standard 1527-05).
Any deficiencies identified during an EPA review of these documents must be corrected by the recipient
within 30 days of notification. Failure to correct any identified deficiencies may result in EPA disallowing the
costs for the entire AAI report as authorized by 40 CFR 31.43(a)(2). If a recipient willfully fails to correct the
deficiencies the Agency may consider other available remedies under 40 CFR 31.43 and 2 CFR Part 180.
V. Conflict of interest : Appearance of lack of Impartiality
A. Conflict of Interest
1. The CAR shall establish and enforce conflict of interest provisions that prevent the award of subgrants that
create real or apparent personal conflicts of interest, or the CAR's appearance of lack of impartiality. Such situations
include, but are not limited to, situations in which an employee, official, consultant, contractor, or other individual
associated with the CAR (affected party) approves or administers a grant or subgrant to a subgrant recipient in which
the affected party has a financial or other interest. Such a conflict of interest or appearance of lack of impartiality
may arise when:
(i) The affected party,
(ii) Any member of his immediate family,
(iii) His or her partner, or
(iv) An organization which employs, or is about to employ, any of the above, has a financial or other interest
in the subgrant recipient. Affected employees will neither solicit nor accept gratuities , favors, or anything of
monetary value from subgrant recipients. Recipients may set minimum rules where the financial interest is
not substantial or the gift is an unsolicited item of nominal intrinsic value . To the extent permitted by State
or local law or regulations, such standards of conduct will provide for penalties , sanctions, or other
disciplinary actions for violations of such standards by affected parties .
VI. PAYMENT AND CLOSEOUT
A. Payment Schedule
Payment information is provided to the CAR along with the award documents . The CAR shall contact the EPA Las
Vegas Finance Center, 4220 S. Maryland, Bldg C, Rm 503, Las Vegas, Nevada 89119-8515, (702) 798-2426, FAX
(702) 798-2423 for answers to questions regarding forms utilized to drawdown funds under this cooperative
agreement.
B. Schedule for Closeout
1. Closeout will be conducted in accordance with 40 CFR 31.50 following expiration of the term of the
agreement or expenditure of the funds awarded and completion of the activities described by the EPA -approved
workplan.
2. The CAR, within 90 days after the expiration or termination of the grant, must submit all financial,
performance, and other reports required as a condition of the grant.
a. The CAR must submit the following documentation:
1. The Final Report as described in II .F.
2. A Final Federal Financial Report (FFR - SF425). Submitted to:
US EPA, Las Vegas Finance Center
4220 S. Maryland Pkwy, Bldg C, Rm 503
Las Vegas, NV 89119
Fax: (702) 798-2423
http://www.epa.gov/ocfo/finservices/payinfo.html
3. A Final MBE/WBE Report (EPA Form 5700-52A). Submitted to the regional office.
b. The CAR must ensure that all appropriate data has been entered into ACRES or all Property Profile
Forms are submitted to the Region.
c. The grantee must immediately refund to the Federal agency any balance of unobligated (unencumbered)
cash advanced that is not authorized to be retained for use on other grants .
4. Subawards and Subgrants
Recipient agrees to comply with the following when selecting sub -recipients and
establishing sub -awards:
a) to establish all sub -award agreements in writing;
b) to maintain primary responsibility for ensuring successful completion of
the EPA -approved project (this responsibility cannot be delegated or transferred
to a sub -recipient);
c) to ensure that any sub-award(s) comply with the standards in Section
210(a) -(d) of OMB Circular A-133 and will not be used to acquire commercial goods or
services for the recipient;
d) to ensure that any sub-award(s) are awarded to eligible sub-recipient(s)
and that proposed sub -award costs are necessary, reasonable, and allocable;
e) to ensure that any sub-award(s) to 501(c)(4) organizations do not involve
lobbying activities;
f) to monitor the performance of the sub-recipient(s) and ensure that they
comply with all applicable regulations, statutes, and terms and conditions which flow
down in the sub -award;
g)
to obtain the appropriate consent from the EPA Project Officer prior to
making a sub -award to a foreign or international organization, or a sub -award to be
performed in a foreign country; and
h) to obtain prior approval from the EPA Project Officer for any new sub -
award work that is not outlined in the approved work plan in accordance with 40 CFR
Parts 30.25 and 31.30, as applicable.
Recipient agrees that any questions about the eligibility of a sub -recipient or other issues
pertaining to the sub-award(s) will be addressed to the recipient's EPA Project Officer listed on
the first page of your assistance award or assistance amendment document.
Recipient agrees to be responsible for selection of any sub-recipient(s) and, if applicable,
for conducting sub -award competitions.
Additional information regarding sub -awards may be found at:
http://www.epa.gov/ogd/guide/subaward-policy-part-2.pdf.
Guidance for distinguishing between vendor and sub -recipient relationships and ensuring
compliance with Section 210(a) -(d) of OMB Circular A-133 may be found at:
http://www.epa.gov/ogd/guide/subawards-appendix-b.pdf
http://www.whitehouse.clov/omb/financial fin single audit
5. Leveraging:
The Recipient agrees to provide the proposed leveraged funding , including any voluntary cost -share
contribution or overmatch, that is described in its proposal dated 12/03/2012. If the proposed leveraging
does not materialize during the period of award performance , and the recipient does not provide a
satisfactory explanation, the Agency may consider this factor in evaluating future proposals from the
recipient. In addition, if the proposed leveraging does not materialize during the period of award
performance then EPA may reconsider the legitimacy of the award ; if EPA determines that the recipient
knowingly or recklessly provided inaccurate information regarding the leveraged funding the recipient
described in its proposal dated 12/03/2012 EPA may take action as authorized by 40 CFR Parts 30 or 31
and/or 2 CFR Part 180 as applicable.
6. Hazardous Substance and Petroleum Draw Requirements :
The CAR agrees it must draw funds and maintain records that distinguish between funds expended for
hazardous substance and petroleum activities so as to report the amount of each type of funding
expended to EPA in accordance with the approved work plan and budget .
CERCLA SECTION 104(K) ASSESSMENT
COOPERATIVE AGREEMENT WORK PLAN
CITY OF DUBUQUE, IOWA
BROWNFIELDS ASSESSMENT COOPERATIVE AGREEMENT
Project Period:
October 1, 2013 — September 30, 2016
Submitted by:
City of Dubuque, Iowa
50 W. 13th Street
Dubuque, Iowa
Contact Person: Phil Wagner, (563) 589-4393, pwagner@cityofdubuque.org
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1. Goal 3: Cleaning up Communities and Advancing Sustainable Development
Objective 3.1: Promote Sustainable and Livable Communities
PROGRAM RESULTS CODES: 301D79 Hazardous Substance ($200,000)
301D79XBP Petroleum ($200,000)
CFDA: 66.818 Assessment, Cleanup, and Revolving Loan Fund Grants
OBJECTIVE:
The Small Business Liability Relief and Brownfields Revitalization Act (SBLRBRA) was signed into law on January 11, 2002. The Act
amends the Comprehensive Environmental Response, Compensation and Liability Act (CERCLA), as amended, by adding Section 104(k).
Section 104(k) authorizes the U.S. Environmental Protection Agency (EPA) to provide funding to eligible entities to inventory, characterize,
assess, conduct planning related to, remediate, or capitalize revolving loan funds for, eligible brownfield sites. Entities are selected from proposals
prepared in accordance with the "Proposal Guidelines for Brownfield Assessment, Revolving Loan Fund, and Cleanup Grants," and submitted in a
national competition. The City of Dubuque, as a general purpose unit of local government, was selected for Assessment funding in the FY 2013
competition.
Dubuque seeks EPA Assessment funding to assess, clean up and redevelop brownfields in three distinct areas of its Downtown Urban
Renewal District:
• The South Port, 33 acres of vacant and industrial waterfront property adjacent to downtown;
• The Historic Millwork District, an underutilized portion of downtown with over 1 million square feet of vacant, historic warehouse space; and
• The low-income Washington Neighborhood, where the City seeks to reclaim brownfields for housing and small business development.
Brownfields in the three targeted areas pose a number of health, welfare and environmental risks. Dubuque's previous brownfields
remediation activities on similar properties have revealed a mix of hazardous materials and petroleum contamination in the soil and groundwater.
The City expects to find a similar mix of hazardous materials and petroleum contamination in the project's target areas, likely resulting in
subsurface soil and groundwater pollution. EPA has designated some of these substances as priority pollutants. Residents most at risk would
include those living in the low-income Washington Neighborhood; pregnant women and children would be particularly vulnerable. Studies by the
National Cancer Institute show elevated rates of incidence for the Dubuque region (481.9 per 100,000 over the period of 2005 to 2009) as
2
compared to the state (481.1 per 100,000) and nation (465.0 per 100,000). Environmental contamination also poses a risk to aquatic life in the
Mississippi River. Furthermore, brownfields have produced a negative psychological impact on Dubuque's residents. Many of these properties
have cut people off from the Mississippi River, and have disconnected neighborhoods. Dark, lifeless streets have attracted crime, and for years
new development has bypassed downtown for the suburbs. Residents and visitors entering Dubuque on U.S. 20 West are also greeted by the
South Port brownfields, presenting a poor gateway to the city and state. Other environmental issues also disproportionately impact low-income
populations in Dubuque. Dubuque's air quality is approaching EPA non -attainment levels. Fine particles (PM 2.5) represent the greatest concern
for the region, measuring just under the acceptable standard.
To accomplish the assessment, clean up, and redevelopment these brownfield sites, both site-specific and non -site-specific assessment
activities will be conducted. Non -site-specific tasks included obtaining contractor services to provide technical assistance and oversight,
conducting community engagement focus groups along with the establishment of a Community Engagement Team, and preparing community
engagement materials pertinent to the projects. Site-specific tasks include performing assessments and preparing site specific technical sampling
plans. Cleanup and reuse plans will be developed by qualified environmental professionals and economic reuse experts, with significant input from
the Community Engagement Team.
Cooperative agreement funding will be used to cover the costs of activities at or in direct support of brownfields sites as defined under
CERCLA 101(39). The overall coordination of the cooperative agreement will be carried out by the Brownfields Coordinator, City of Engineering
staff, other appropriate City staff and project managers, and with technical assistance and oversight to be performed by an environmental
consultant.
2. FUNDING: Federal Funds $400,000 ($200,000 Petroleum and $200,000 Hazardous)
The budget for this Assessment cooperative agreement is $400,000 for three years beginning October 1, 2013. This amount represents $200,000
in petroleum funding and $200,000 in hazardous funding. Table 1 below reflects the budget for the project period, October 1, 2013 through
September 30, 2016.
Table 1: Budget
Budget Categories
Hazardous Substances Project Tasks
Task 1
Task 2
Task 3
Task 4
Total
Community
Site
Reuse
Project
Engagement
Assessments
Planning
Management
Personnel
$0
$0
$0
$2,000
$2,000
Fringe Benefits
$0
$0
$0
$0
$0
3
Travel
$0
$0
$0
$2,000
$2,000
Equipment
$0
$0
$0
$0
$0
Supplies
$1000
$1000
Contractual
$10,250
$156,250
$25,050
$1,450
$193,000
Other
$1000
$0
$1000
$0
$2000
Total Federal Funds
$11,250
$156,250
$26,050
$6,450
$200,000
Budget Categories
Petroleum Project Tasks
(programmatic costs only)
Task 1
Community
Engagement
Task 2
Site
Assessments
Task 3
Reuse
Planning
Task 4
Project
Management
Totals
Personnel
$0
$0
$0
$2,000
$2,000
Fringe Benefits
$0
$0
$0
$0
$0
Travel
$0
$0
$0
$2,000
$2,000
Equipment
$0
$0
$0
$0
$0
Supplies
$1000
$1000
Contractual
$10,250
$156,250
$25,050
$1,450
$193,000
Other
$1,000
$0
$1,000
$0
$2,000
Total Federal Funds
$11,050
$156,250
$26,050
$6,450
$200,000
Budget Narrative:
Tasks which equally support work at both hazardous substance and petroleum prospective sites and activities that are not distinguishable as
being supportive of one or the other shall be charged 50% to hazardous and 50% to petroleum. For site-specific activities, actual costs incurred
and the type of funding used shall be tracked by the project manager, who will serve as a liaison between EPA Region 7 and Dubuque, and will be
responsible for assuring compliance with administrative, financial and reporting requirements and separate accounts will be established from the
onset to ensure timely and accurate reimbursements are requested from the appropriate PRCs. A project manager will be designated who has
experience managing federal funding and who will ensure that all grant requirements are followed.
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Personnel: $4,000 ($2,000 Hazardous and $2,000 Petroleum)
Table 2
Allowed Personnel Costs
Budget Period September 1, 2013—August 31, 2016
Position
FTE
Hazardous Budget
Petroleum Budget
Total Federal
City staff
.07
$2,000
$2,000
$4,000
Total
.07
$2,000
$2,000
$4,000
Personnel costs are for City staff to attend meetings and conferences related to the project. The City will provide project management and contract oversight as an in-
kind expense, saving approximately $34,000 from proposal estimates for investment in site investigation and planning Fringe benefits are not included and are also
provided in-kind.
Travel: $4,000 ($2,000 Hazardous and $2,000 Petroleum)
City staff, or another designated Brownfields staff member will attend and participate in relevant training opportunities including National
Brownfields Conferences and annual state Brownfields conference. (Estimate 2 national conferences to include airfare, per diem, lodging 2 x
$1800=$3,600. Estimate 3 state conferences to include mileage, per diem, lodging 3x120=$360. Estimate local travel to attend public meetings,
participate in on-site activities to include mileage, $40.)
Equipment: $0
No equipment purchase is needed to conduct this project.
Supplies: $2,000 ($1,000 Hazardous and $1,000 Petroleum)
Funding of approximately $2,000 ($1,000 for each) will be spent on cooperative agreement oversight supplies which could include
computer hardware or software, photography supplies, paper, printing, mailing of reports and other documents, and basic office materials.
Contractual: $386,000 ($193,000 Hazardous and $193,000 Petroleum)
Funding of $386,000 is anticipated in two separate contractual services. The first contract will be for Tasks 1, 3 and 4: To organize and
conduct Community Engagement focus groups; Reuse Planning and: Project Management. The second contract will provide for Site
5
Assessments. The second contractual amount also includes, but is not limited to, working with a consultant to develop Phase 1 assessments,
Data Quality Assurance documents for each Phase 11 assessment, working with property owners, observing and documenting field work, reviewing
reports and laboratory data; consultant procurement, contract management, and coordination on project specific tasks. The City will coordinate
with the Environmental Protection Agency, and the DNR, on assessments and cleanup planning, to determine the most appropriate cleanup
response in the event it is necessary following a Phase 11 assessment. Under this category, contracted project managers, along with city staff, will
monitor and guide the project, document and report activity including the completion of Quarterly Reports and ACRES data entry, and
communicate with EPA and the DNR as needed and required Contracted staff will also attend project meetings, give presentations, and develop
and provide information to property owners, the Community Engagement Team.
Other Expenses: $4,000 ($2,000 Hazardous and $2,000 Petroleum)
Funding of approximately $4,000 ($2,000 for each) will be spent on promotional materials (e.g. Radio/TV advertising, public notices,
translation services), facility costs and audio-visual equipment rentals for meetings with the residents, community groups, property owners and
businesses for Community Engagement (Task 1) and Reuse Planning (Task 3). Five meetings, workshops and charrettes are anticipated with
input in the Community Engagement Team.
WORKPLAN TASKS
Task 1: Community Engagement - Dubuque will engage residents, businesses and other stakeholders to discuss brownfields revitalization
opportunities. Participants will help the City decide how and where to deploy EPA resources. Engaged citizens will also be involved in determining
reuse options for the assessed and cleaned up sites. Dubuque will connect with the community through public meetings, neighborhood
association gatherings, church groups, speaker's bureaus, newsletter mailings, web sites, social media, and other communication vehicles. The
City will also establish a Community Engagement Team that includes representatives of the affected parties, including area residents, business
leaders, and nonprofit officials. The project management team and environmental consultants will manage the engagement process
Projected Environmental Outcome: The people most impacted by brownfield sites and their reuse are involved in the decision-making and
priority -setting regarding assessment, cleanup and redevelopment.
6
Expected
Timeframe for
Accomplishment
(FFY Quarter)
Projected Results of
Activities (Outputs)
& Reporting
Established Baseline for
Measurement
Actual
Accomplishments
this Quarter
Activity 1: Continue to develop, improve, and update the current
website making information readily available in a user friendly
format
Quarterly report
status
Updated content.
Report statistics on
page views, quarterly.
Comprehensive website
that is well maintained
and used by the public
6
Activity 2: Contractpr to develop display boards and electronic
presentations with information about the Brownfields Program,
projects, and future plans
3"' quarter, report
status on uses
each quarter after
development.
Display boards and
electronic
presentations;
displayed in a public
location and/or at
special events and
neighborhood
meetings
Creation of the boards
and electronic
presentations and number
of times/places on display
and estimated number of
citizens exposed to the
information
Activity 3: Public Meetings, workshops and charettes involving
the Community Engagement Team which include representatives
from the Washington Neighborhood Association, the Washington
Neighborhood Development Corporation, Greater Dubuque
Development Corporation, Community Foundation of Greater
Dubuque, East Central Governmental Association, Dubuque Area
Chamger of Commerce and Dubuque Main Street.
Ongoing, report
on attendance of
public outreach. It
is anticipated that
there will be 5
public meetings,
dates and
locations to be
determined.
Presentations for
community groups
and as part of
educational programs
will be noted in
quarterly report and
on the website. The
purpose of this
engagement will be to
target EPA funding to
properties that will
provide the greatest
community benefits.
Number of presentations
given and public input
meetings held each year,
and public participation
Activitiy 4: Social Media
Ongoing, include
links to any media
coverage of
public outreach
The City will develop
and participate in
Dubuque social media
presence by sharing
links to media
coverage of
Brownfields work,
successful
redevelopment and
community
involvement with EPA
PO in "real-time."
Number of postings and
number of hits to each
social media site
Activity 5: Updating existing public outreach materials
Ongoing,
quarterly check of
"Cleanups in my
Community" and
integrate to
Dubuque
materials and
public information
as is fitting.
Update related maps
of assessment sites,
cleanup locations,
photos of
assessments, and
facts about the
program and projects
underway
Current database,
assessment map,
maintain photo data file,
and current outreach
materials
7
Task 2: Site Assessment — Site Specific Activities - Provide assessments for eligible sites along with associated activities necessary to
complete the assessments and gain necessary information for clean-up planning and selection to move toward redevelopment of sites including
determining site eligibility, obtaining access agreements, performing phase 1 and phase Il assessments, providing TSAP and Health & Safety Plan,
ABCA, etc.
Projected Environmental Outcome: The three priority eligible sites South Port, Historic Millwork District and the Washington
Neighborhoodlare assessed..
8
Expected
Timeframe for
Accomplishment
(FFY Quarter)
Projected Results of
Activities (Outputs)
& Reporting
Established Baseline for
Measurement
Actual
Accomplishments
this Quarter
Activity 1: Develop a QAPP and obtain EPA approval.
By 2014
Activity 2: Contractor will obtain eligibility determination
information, complete request form for City review. City will
obtain eligibility determination from the Region 7 EPA Project
Officer. For Petroleum sites, the City will get determinations from
the IDNR also. City will send copy of the IDNR determination with
all petroleum eligibility requests.
Ongoing
15 determinations
by 2014 4Q
Eligibility
determinations
18 properties will be
assessed
8
Activity 3: Site-specific Phase I Environmental Assessments
Ongoing
8 assessment by
2015 10
Phase I assessments
in accordance with
latest ASTM per AAI
standards
18 Phase I Assessments
Actual
Accomplishments
this Quarter
Activity 4: Development of a Technical Sampling Plan (TSAP)
Ongoing
10 plans by
2015 4Q
A TSAP for each
Phase II assessment
conducted
One TSAP per Phase II
Assessment
Activity 5: Phase 11 Assessments
Ongoing
5 assessment by
2016 10
Phase II assessments
in accordance with
latest ASTM per AAI
standards
10 Phase II Assessments
Activity 6: Property Profiles and ACRES reporting
Ongoing
Property Profile form
with appropriate
information for each
assessment.
18 properties with
complete data in ACRES.
Task 3: Cleanup and Reuse Planning — cleanup and reuse plans will be developed by qualified environmental professionals and
economic reuse experts, with significant input from the community.
Activities (Commitments)
Expected
Timeframe for
Accomplishment
(FFY Quarter)
Projected Results of
Activities (Outputs)
& Reporting
Established Baseline for
Measurement
Actual
Accomplishments
this Quarter
Activity 1: Reuse and Cleanup Planning
Ongoing
If a Phase II indicates
At least two (one hazard
The Brownfield's Coordinator, City Engineer, Project Management
team and Development Economist will work closely with the
2 plans by 2016
4Q
the need for cleanup,
provide information
substance and one petro)
ABCA and cleanup plan
Brownfield's Consultant to develop strategies for cleanup and reuse of
describing the
for each site on which
any properties requiring cleanup with significant input from the
cleanup alternatives
Phase II indicates the
community. Planning activities will include the consideration of which
and proposed cleanup
need for cleanup.
reuse options and feasible economic approaches are consistent with
along with cost
Development of a matrix
the public health and environmental objectives at these sites. Each of
the three sites has outlined specific goals hoped to achieve through
Cleanup Planning:
South Port — Redevelop as a new downtown neighborhood and extend
the Riverwalk from the North Port nto the South Port, and connect the
trail to the Mines of Spain Recreation Area.
Historic Millwork District — Economic opportunities for Dubuque's
Washington Neighborhood through immediate construction jobs and
produce long-term retail and other professional jobs.
Washington Neighborhood — Serve as green infrastructure for
stormwater management infrastructure and become a community
attraction for residents and visitors, improve the quality of life for
estimates
that tracks the number of
brownfields cleaned up;
number of jobs created;
dollars leveraged; tax
incentives utilized; acres
redeveloped; health
impacts avoided;
increased accessibility;
reduced transportation
costs for low-income
residents; green
infrastructure created;
and materials recycled.
9
neighborhood residents, serve as a catalyst for economic development
and positively impact property values.
Expected
Timeframe for
Accomplishment
(FFY Quarter)
Projected Results of
Activities (Outputs)
& Reporting
Established Baseline for
Measurement
Actual
Accomplishments
this Quarter
Activity 2: Consider Reuse Options Outlined in Proposal and
those made via the Community Engagement process and
Feasible Economic Approaches
Ongoing
BCA and feasibility
reports for multiple
sites.
Results of BCA and
feasibility for multiple
sites.
Activity 3: Determination of sites to move forward for full cleanup
plan
By 2014 01
Confirmation in
quarterly report that
contractor selection
was completed and
made.
Contract negotiated.
Task 4: Project Management —Provide general oversight of the cooperative agreement including contracting with both an experienced project
management team and a Qualified Environmental Professional (QEP), attending relevant training & conferences, preparing quarterly/final
progress reports, Property Profile Form review and reporting to ACRES, and financial status reports, administering project closeout, obtaining
legal assistance (property title search, applicable regulation interpretation, etc., and such).
Projected Environmental Outcome: Effective stewardship of public funds provides for acres readied for reuse and prepares properties for cleanup
and redevelopment.
Activities (Commitments)
Expected
Timeframe for
Accomplishment
(FFY Quarter)
Projected Results of
Activities (Outputs)
& Reporting
Established Baseline for
Measurement
Actual
Accomplishments
this Quarter
Activity 1: Obtain Project Management Services.
Contract with Project Management group to oversee Tasks 1, 3 and 4
and to work with City Staff to coordinate all phases of the each task.
The project management group will report directly to City staff
By 2014 01
Confirmation in
quarterly report that
contract selection was
completed and made.
Contract negotiated.
Activity 2: Obtain QEP services.
Prepare Request For Proposals, evaluate applications, conduct
interviews, hire contractor. Prepare scope of work which will include
providing assessments for eligible sites along with associated acitivites
necessary to complete the assessments and gain necessary
information for cleanup planning and selection to move toward
redevelopment of sites. Performing Phase I and Phase II
assessments, providing TSAP and Health and Safety Plan, ABCA, etc.
By 2014 01
Confirmation in
quarterly report that
contractor selection
was completed and
made.
Contract negotiated.
Activity 3: Reporting
Quarterly performance reports are due 30 days after the end of each
federal fiscal quarter. Information from PPFs will be reported to
ACRES within 30 days of recipient acceptance of PPF information.
Highlights and good news will be reported to Project officer for EPA
echo communication or consideration for a national highlight story.
Each quarter,
annually, and end
of grant
Provide EPA with
accomplishments of
the grant and financial
information
12 complete quarterly
reports received on time.
1 Final report received on
time.
ACRES reporting
regularly updated
10
Activity 4: Travel
Brownfields conference(2); State conference (3); local
Report
expenditures
quarterly.
Brownfields staff
attends relevant
conferences, forums,
meetings, and/or
other related
education
Number and relevance of
conferences, forums, and
meetings attended by
Brownfields staff
Activity 5: Oversight of Consultants
Quarterly report
High quality
AAI checklist completed
Prioritize, track and evaluate contractors products. Conduct periodic
on number of AAI
contractors work
and maintained on site.
project status meetings with contractors to discuss project issues and
checklist
products that meet
priorities. Conduct annual performance evaluations for contractors.
completed. Note
deficiencies and
how they were
addressed.
the recipients'
expectations and
Environmental
assessments in
accordance with AAI
regulations.
Activity 6: Oversight of Outcomes
Quarterly
meetings with
City Manager and
Update and review
matrix on outputs and
outcomes.
Project Managers
4. QUALITY ASSURANCE:
Will environmental data be collected under this agreement? Yes X No
Does the Dubuque have an approved Quality Assurance Project Plan? Yes _ No _X_
11
City of Dubuque, Iowa
Work Breakdown Structure (WBS)
Scope of Services Element
2.1 General Environmental Consulting and Services
Proposal
Amount
Proposal
Total %
Prime
Amount
Prime
To
Sub 1
Amount
Sub 1
To
Sub 2
Amount
Sub 2
To
Sub 3
Amount
Sub 3
To
2.1.1 GIS Database
Hourly based on submitted Fee Schedule
2.1.2 Project Management
Hourly based on submitted Fee Schedule
2.1.3 Environmental Site Assessments
Hourly based on submitted Fee Schedule
2.1.4 Holding Site Development
-c-1_....,.-
Hourly based on submitted Fee Schedule
2.1.5 Soils and Goundwater Management Plans
Hourly based on submitted Fee Schedule
2.1.6 Project Review
i -
Hourly based on submitted Fee Schedule
2.1.7 Brown Fields Coordinator
$ -
#DIV/01
2.1.8 Brownfields Site Eligibility Evaluation forms
$ -
#DIV/01
Sub Total:
$ -
#DIV/0!
$ -
$ -
$ -
$ -
2.2 USEPA Brownfields Assessment Grants 2013-2016
2.2.1 Review Brownfields Assessment Cooperative Agreement
$ -
#DIV/01
2.2.2 Phase 1 Environmental Site Assessments
$ -
#DIV/01
2.2.3 Preliminary list of acceptable reuse options
$ -
#DIV/01
2.2.4 Phase 11 Environmental Site Assessments
$ -
#DIV/01
2.2.5 Final list of acceptable reuse options
$ -
#DIV/01
2.2.6 Cleanup Strategies
$ -
#DIV/01
Sub Total:
$ -
#DIV/0!
$ -
$ -
$ -
$ -
EPA Brownfields Cooperative Agreement Total
$ -
#DIV/0!
$ -
$ -
$ -
$ -