HomeMy WebLinkAboutAgenda Report - February 3, 2016 C-06TM
CITY OF LODI
COUNCIL COMMUNICATION
AGENDA TITLE:
MEETING DATE:
PREPARED BY:
AGENDA ITEM
C-6
Adopt Resolution Accepting the U.S. Environmental Protection Agency
Brownfields Community -Wide Assessment Grant and Appropriating Funds
($400,000); and Awarding Contract for Brownfields Grant Implementation
Assistance to Stantec Consulting Corporation, of Rancho Cordova ($376,000)
February 3, 2016
Community Development Director
RECOMMENDED ACTION:
Adopt resolution accepting the U.S. Environmental Protection
Agency (US EPA) Brownfields Community -Wide Assessment
Grant and appropriating funds ($400,000); and awarding contract
for Brownfields Grant Implementation Assistance to Stantec
Consulting Corporation (Stantec), of Rancho Cordova
($376,000).
BACKGROUND INFORMATION On January 6, 2015, Council approved Task Order #6 with
Stantec Consulting, Inc. for work that included the following:
• Phase 1 — Grant Application and Cooperative Agreement /Work Plan Services
• Phase 2 — Grant Implementation Assistance
Stantec agreed to prepare the grant application and assist with the Cooperative Agreement/Work Plan
and other pre -award services at their sole risk, with no cost to the City. Phase 2 of the scope of work
would only occur if the City was awarded the grant by the US EPA and any fees for services would be
at the rates provided in a subsequent contract compliant with federal procurement requirements and
allowed by the EPA grant regulations.
The City received notification from US EPA on June 1, 2015, that it had been selected as one of the
cities to receive a $400,000 Brownfields Community -Wide Assessment Grant for Hazardous
Substances and Petroleum. The grant funds will be used to establish a sustainable brownfields
program. The City will create a comprehensive brownfield inventory, prioritize revitalization
opportunities, perform environmental site assessments (ESAs), and conduct remedial action/reuse
planning activities in alignment with established community plans and objectives.
The Project will conduct assessments and Area -Wide Planning (AWP) in brownfield-impacted areas,
including the focus areas and targeted communities in the downtown, Union Pacific Railroad (UPRR)
Corridor and the Highway 99 Corridor. These focus areas include five targeted communities, which
make up some of Lodi's most economically distressed and culturally diverse neighborhoods and many
brownfield sites.
The City has entered into a Cooperative Agreement (CA) with US EPA effective October 1, 2015,
which includes an approved CA Work Plan and budget,
APPROVED:
'*eph - Schwa f r, City Manager
2015 EPA Brownfields Grant — Stantec
February 3, 2016
Page 2 of 2
The assistance with grant implementation will be performed by Stantec in accordance with the scope
of work and budget defined in the CA and CA Work Plan and consistent with the contractual amount
not to exceed $376,000. Services will be performed on a time and materials basis and billed in
accordance with the Rate Schedule.
The remaining $24,000 of the grant funds will cover the cost of the City's pre-award/post-award
activities and expenses for travel to both regional and national Brownfields conferences.
FISCAL IMPACT: The receipt of this US EPA Assessment Grant will provide future
opportunities for additional EPA grant funding for both Brownfield
remediation and development activities, which will stimulate economic
development within the community.
The consultant costs related to the grant implementation activities are covered entirely by the grant
funding. There are also grant funds budgeted to cover some of the City's staff's costs for providing
oversight as the Project Manager and for travel to EPA conferences.
FUNDING AVAILABLE: 2015 US EPA Brownfields Community -Wide Assessment Grant
Revenue account: 27083000.56004 $400,000
Expense account: 27083000.72450 $376,000
27083000.72315 $ 4,000
27083000.71189 $ 20,000
27080000.71188 ($ 20,000)
Sora n Ayers, Deputy Aty
n er
tephen Schw-bbau-
Community Development Director
Attachments:
A. U.S. Environmental Protection Agency Cooperative Agreement
B. Professional Services Agreement with Stantec
BF - 99T30201 - 0 Pa 1
t osrq'.s
m. ilrik
t
a
44. w3oF
U.S. ENVIRONMENTAL
PROTECTION AGENCY
Cooperative Agreement
GRANT NUMBER (FAIN): 99T30201
MODIFICATION NUMBER: 0
PROGRAM CODE: BF
DATE OF AWARD
08/04/2015
TYPE OF ACTION
New
MAILING DATE
08/11/2015
PAYMENT METHOD:
ASAP
ACH#
90345
RECIPIENT TYPE:
Municipal
Send Payment Request to:
Las Vegas Finance Center email:
Ivfc-grants@epa.gov or Fax (702) 798-2423
RECIPIENT:
PAYEE:
City of Lodi
221 W. Pine Street
Lodi, CA 95240
EIN: 94-6000361
City of Lodi
221 W. Pine Street
Lodi, CA 95240
PROJECT MANAGER
EPA PROJECT OFFICER
EPA GRANT SPECIALIST
Joseph Wood
221 W. Pine Street
Lodi, CA 95240
E -Mail: jwood[7a Iodi.gov
Nova Blazej
75 Hawthorne Street, SFD-6
San Francisco, CA 94105
E -Mail: Blazej.Nova@epa.gov
Susan Chiu
Grants Management Office, MTS
E -Mail: chiu.susan@epa.gov
-7
Phone: 415-972-3674
Phone: 209-333-6842
Phone: 415-972-3846
PROJECT TITLE AND DESCRIPTION
Brownfields Assessment Cooperative Agreement
This project provides funding for the City of Lodi to inventory, characterize, assess, and conduct cleanup planning and community involvement related activities
for Brownfields sites in five focus areas in the Downtown and Union Pacific Railroad (UPRR) Corridor and the Highway 99 Corridors.
This agreement provides full federal funding in the amount of $400,000. Preaward costs are approved back to 8/1/2015.
BUDGET PERIOD
08/01/2015 - 10/31/2018
PROJECT PERIOD
08/01/2015 - 10/31/2018
TOTAL BUDGET PERIOD COST
$400,000.00
TOTAL PROJECT PERIOD COST
$400,000.00
NOTICE
Based on your Application dated 07/15/2015 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 after 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
award/amendment, and any costs incurred by the recipient are at its own risk.
all terms and conditions of this agreement and any attachments.
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 filing a notice of disagreement with the award terms
with the terms and conditions specified in this award,
Official within 21 days after the EPA award or
should not draw down on the funds provided by this
to applicable EPA regulatory and statutory provisions,
agreement. The recipient
mailing date; or 2)
If the recipient disagrees
to the EPA Award
is resolved, the recipient
This agreement is subject
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)
AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS
ORGANIZATION / ADDRESS
U.S. EPA, Region 9
Grants Management Office, MTS -7
75 Hawthorne Street
San Francisco, CA 94105
U.S. EPA, Region 9
Superfund Division, SFD-1
75 Hawthorne Street
San Francisco, CA 94105
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
Digital signature applied by EPA Award Official Sara L. Russell - Grants Management Officer
DATE
08/04/2015
EPA Funding Information
BF - 99T30201 - 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. 104(k)(2)
2 CFR 200
2 CFR 1500 and 40 CFR 33
Fiscal
Site Name
Req No
FY
Approp.
Code
Budget
Organization
PRC
Object
Class
Site/Project
Cost
Organization
Obligation /
Deobligation
-
-
1509K0B024
1509K0B024
15
15
E4
E4
09K2AG7
09K2AG7
301D79
301D79XBP
4114
4114
G900NY00
G900OR00
-
-
200,000
200,000
400,000
BF - 99T30201 - 0 Page 3
Budget Summary Paae
Table A - Object Class Category
(Non -construction)
Total Approved Allowable
Budget Period Cost
1. Personnel
$25,200
2. Fringe Benefits
$14,800
3. Travel
$4,000
4. Equipment
$0
5. Supplies
$0
6. Contractual
$356,000
7. Construction
$0
8. Other
$0
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 - 99T30201 - 0 Page 4
Administrative Conditions
The recipient agrees to comply with the current EPA general terms and conditions available at:
http://www.epa.gov/ogd/tc/general tc applicable aa recipients dec 26 2014.pdf. These terms and
conditions are in addition to the assurances and certifications made as part of the award and
the terms, conditions or restrictions cited below. The EPA repository for the general terms and
conditions by year can be found at: http://www.epa.gov/ogd/tc.htm.
A. Annual Federal Financial Report (FFR) - SF 425
For awards with cumulative project and budget periods greater than 12 months, the recipient will submit
an annual FFR (SF 425) covering the period from "project/budget period start date" to September 30 of
each calendar year to the U.S. EPA Las Vegas Finance Center (LVFC). The FFR will be submitted
electronically to Ivfc-grants@epa.gov no later than December 30 of the same calendar year. The form
with instructions can be found on LVFC's website at http://www2.epa.gov/financial/forms.
B. Procurement
The recipient will ensure all procurement transactions will be conducted in a manner providing full and
open competition consistent with 2 CFR Part 200.319. In accordance 2 CFR Part 200.323 the grantee
and subgrantee(s) must perform a cost or price analysis in connection with applicable procurement
actions, including contract modifications.
C. 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 require 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.
D. Utilization of Disadvantaged Business Enterprises
General Compliance, 40 CFR Part 33
The recipient agrees to comply with the requirements of EPA's Disadvantaged Business Enterprise (DBE)
Program for procurement activities under assistance agreements, contained in 40 CFR Part 33. A
recipient must negotiate with the appropriate EPA award official, or his/her designee, fair share objectives
for MBE and WBE participation in procurement under the financial assistance agreements.
In accordance with 40 CFR Section 33.411 some recipients may be exempt from the fair share objective
requirements as described in 40 CFR Part 33, Subpart D. Recipients should work with their DBE
coordinator if they think their organization may qualify for an exemption.
The dollar amount of this assistance agreement, or the total dollar amount of all of the recipient's financial
assistance agreements in the current federal fiscal year from EPA is $250,000 or more. The recipient
accepts the applicable MBE/WBE fair share objectives/goals negotiated with EPA by the California State
Water Resources Control Board (CSWRCB), as follows:
MBE WBE
Construction 2% 1%
Equipment 1% 1%
Services 1% 1%
Supplies 1% 1%
The recipient accepts 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 CSWRCB.
Negotiating Fair Share Objectives/Goals, 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, Joe Ochab at Ochab.Joe@epa.gov, 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.
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.
E. MBE/WBE Reporting
General Compliance, 40 CFR Part 33, Subpart E — Reporting Condition
MBE/WBE reporting is required annually. Reporting is required for assistance agreements where there
are funds budgeted for procuring construction, equipment, services and supplies, including funds
budgeted for direct procurement by the recipient or procurement under subawards or loans in the "Other"
category, that exceed the threshold amount of $150,000, including amendments and/or modifications.
Based on EPA's review of the planned budget, this award meets the conditions above and is subject to
Disadvantaged Business Enterprise (DBE) Program reporting requirements. Conversely, the recipient
must submit to the GrantsRegion9@epa.gov a justification and budget detail within 21 days of the award
date demonstrating that this award is not subject to the DBE reporting requirements.
The recipient agrees to complete and submit a "MBE/WBE Utilization under Federal Grants, Cooperative
agreements" report (EPA Form 5700-52A) on an annual basis. All procurement actions that are
reportable, not just that portion which exceeds $150,000.
When completing the annual report, recipients are instructed to check the box titled "annual:" in section 1B
of the form. For the final report, recipients must check the box indicated for the "last report" of the project
in section 1B of the form. Annual reports are due by October 30`h of each year. Final reports are due by
October 30th or 90 days after the end of the project period, whichever comes first.
The reporting requirement is based on total procurements. Recipients with expended and/or budgeted
funds for procurement are required to report annually whether the planned procurements take place
during the reporting period or not. If no budgeted procurements take place during the reporting period, the
recipient should check the box in section 5B when completing the form.
MBE/WBE reports should be sent to GrantsRegion9@epa.gov . The current EPA Form 5700-52A can be
found at the EPA Office of Small Business Program's Home Page at
http://www.epa.qov/osbp/dbe reporting.htm .
This provision represents an approved deviation from the MBE/WBE reporting requirements as described
in 40 CFR Part 33, Section 33.502; however, the other requirements outlined in 40 CFR Part 33 remain in
effect, including the Good Faith Effort requirements as described in 40 CFR Part 33, Subpart C, and Fair
Share Objectives negotiation as described in 40 CFR Part 33, Subpart D.
F. Indirect Costs
The Cost Principles under 2 CFR Part 200, Subpart E apply to this award. Since there are no indirect
costs included in the assistance budget, they are not allowable under this Assistance Agreement.
Programmatic Conditions
Refer to Attachment A for applicable programmatic conditions.
END OF DOCUMENT
ATTACHMENT A
Assessment Terms and Conditions
These Terms and Conditions apply to U.S. Environmental Protection Agency Brownfields
Assessment Grants awarded under CERCLA § 104(k)
City of Lodi, CA
BF -99T30201-0
I. GENERAL FEDERAL REQUIREMENTS
NOTE: For the purposes of these Terms and Conditions the term "assessment" includes,
eligible activities under the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA) § 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.
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 2015 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, DBE 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
Assessment T&C 5/20/05 1
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 (refer to the
latest version of EPA's Proposal Guidelines for Brownfields Assessment Grants dated
October 2014 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
Assessment T&C 5/20/05 2
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 Project Officer, 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 subaward 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
subrecipient from using EPA funds to assess a site for which the subrecipient is
potentially liable under § 107 of CERCLA. (See Section II.C.3 for more
Assessment T&C 5/20/05 3
information on subawards.)
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 subrecipients remain responsible for incurring costs that are
allowable under 2 CFR Part 200 Subpart E.
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 subrecipients comply with the
terms of their agreements with the CAR, and that agreements between the CAR and
subrecipients and contractors comply with the terms and conditions of this agreement.
3. Subawards are defined at 2 CFR 200.92. The CAR may not subaward 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 2 CFR Part
200.317 through 200.326. In addition, EPA policy encourages awarding subawards
competitively and the CAR must consider awarding subawards 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.
Assessment T&C 5/20/05 4
6. Competency of Organizations Generating Environmental Measurement Data: In
accordance with Agency Policy Directive Number FEM-2012-02, Policy to Assure the
Competency of Organizations Generating Environmental Measurement Data under
Agency -Funded Assistance Agreements, the CAR agrees, by entering into this agreement,
that it has demonstrated competency prior to award, or alternatively, where a pre -award
demonstration of competency is not practicable, the CAR agrees to demonstrate
competency prior to carrying out any activities under the award involving the generation or
use of environmental data. The CAR shall maintain competency for the duration of the
project period of this agreement and this will be documented during the annual reporting
process. A copy of the Policy is available online at http://www.epa.gov/fem/lab_comp.htm
or a copy may also be requested by contacting the EPA project officer for this award.
D. Quarterly Progress Reports
1. In accordance with EPA regulations 2 CFR Parts 200 and 1500 (specifically, 200.328
monitoring and reporting program performance), the CAR agrees to submit quarterly
progress reports to the EPA Project Officer within thirty days after each reporting period.
These reports shall cover work status, work progress, difficulties encountered, preliminary
data results and a statement of activity anticipated during the subsequent reporting period,
including a description of equipment, techniques, and materials to be used or evaluated. A
discussion of expenditures and financial status for each workplan task, along with a
comparison of the percentage of the project completed to the project schedule and an
explanation of significant discrepancies shall be included in the report. The report shall also
include any changes of key personnel concerned with the project.
Quarterly progress reports must clearly differentiate which activities were completed with
EPA funds provided under the BF Assessment grant, versus any other funding source used
to help accomplish grant activities.
In addition, the report shall include brief information on each of the following areas: 1) a
comparison of actual accomplishments to the anticipated outputs/outcomes specified in the
cooperative agreement work plan; 2) reasons why anticipated outputs/outcomes were not
met; and 3) other pertinent information, including, when appropriate, analysis and
explanation of cost overruns or high unit costs. The CAR agrees that it will notify EPA of
problems, delays, or adverse conditions which materially impair the ability to meet the
outputs/outcomes specified in the cooperative agreement work plan. See the quarterly
report outline included in the Work Plan.
2. The CAR must submit progress reports on a quarterly basis to the EPA Project Officer.
Quarterly progress reports must include:
a. Summary and status of approved activities performed during the reporting quarter,
summary of the performance outputs/outcomes achieved during the reporting quarter, a
description of problems encountered or difficulties 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; including an explanation of any
discrepancies from the approved workplan.
c. A list of the properties where assessment activities were performed and/or completed
during the reporting quarter.
Assessment T&C 5/20/05 5
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. The CAR should include an explanation of
any discrepancies in the budget from the approved workplan.
3. 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.
4. In accordance with 2 CFR 200.328 (d) (1), 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 workplan.
E. Property Profile Submission
1. 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 and submit the Property Profile Form instead.
F. Community Outreach
The cooperative agreement recipient agrees to clearly reference EPA investments in the project
during all phases of community outreach outlined in the EPA -approved work plan, which may
include the development of any post -project summary or success materials that highlight
achievements to which this project contributed. Specifically:
1. Public or Media Events
The Recipient agrees to notify the EPA Project Officer listed in this award document of
public or media events publicizing the accomplishment of significant events related to
construction projects as a result of this agreement, and provide the opportunity for
attendance and participation by federal representatives with at least ten (10) working days
notice.
2. Limited English Proficiency Communities
To increase public awareness of projects serving communities where English is not the
predominant language, recipients are encouraged to include in their outreach strategies
communication in non-English languages. Translation costs for this purpose are allowable,
provided the costs are reasonable.
G. Final Technical Cooperative Agreement Report with Environmental Results
1. In accordance with EPA regulations 2 CFR Parts 200 and 1500 (specifically, 200.328
monitoring and reporting program performance), the CAR agrees to submit to the EPA
Project Officer within 90 days after the expiration or termination of the approved project
Assessment T&C 5/20/05 6
period a final technical report on the cooperative agreement and at least one reproducible
copy suitable for printing. The final technical report shall document project activities over
the entire project period and shall include brief information on each of the following areas:
1) a comparison of actual accomplishments with the anticipated outputs/outcomes specified
in the assistance agreement work plan; 2) reasons why anticipated outputs/outcomes were
not met; and 3) other pertinent information, including, when appropriate, analysis and
explanation of cost overruns or high unit costs. The CAR agrees that it will notify EPA of
problems, delays, or adverse conditions which materially impair the ability to meet the
outputs/outcomes specified in the cooperative agreement workplan.
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
subawards 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;
Assessment T&C 5/20/05 7
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
subaward 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 2 CFR Part 225 for
state, local and tribal governments, as applicable.
2. Under CERCLA § 104(k) (4) (B), administrative costs are prohibited costs under this
agreement. Prohibited administrative costs include all indirect costs under 2 CFR Part 225
for state, local and tribal governments, as applicable.
a. Ineligible administrative costs include costs incurred in the form of salaries,
benefits, contractual costs, supplies, and data processing charges, incurred to
comply with most provisions of the Uniform Administrative Requirements, Cost
Principles and Audit requirements for Federal Awards at 2 CFR 200 and 2 CFR
1500. 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 2 CFR 1500.6;
(3) Record-keeping associated with equipment purchases required under 2 CFR
200.313;
(4) Preparing revisions and changes in the budgets, scopes of work, program plans and
other activities required under 2 CFR 200.308;
(5) Maintaining and operating financial management systems required under 2 CFR
200.302;
(6) Preparing payment requests and handling payments under 2 CFR 200.305;
(7) Non-federal audits required under 2 CFR 200 Subpart F; and
(8) Close out under 2 CFR 200.343.
3. Cooperative agreement funds may not be used for any of the following properties:
Assessment T&C 5/20/05 8
a. Facilities listed, or proposed for listing, on the National Priorities List (NPL);
b. Facilities subject to unilateral administrative orders, court orders, and 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.
C. Interest -Bearing Accounts and Program Income
1. In accordance with 2 CFR 1500.7, 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 2 CFR
200.305(b)(7)(ii) relating 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 2 CFR
1500.8.
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
Assessment T&C 5/20/05 9
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. In addition, the recipient must comply with the following QA requirements:
a. This grant includes the performance of environmental measurements, therefore, a
QA Plan, a Sampling and Analysis Plan, or other comparable document covering
QA activities, must be prepared before any sampling or cleanup activities at the
site may begin. An example of a comparable document is a Sampling Plan
approved by the state oversight authority. If the document submitted does not
meet EPA's basic information requirements, an addendum or supplemental
Sampling and Analysis Plan may be required before sampling work may begin.
The recipient should consult with the Region 9 Quality Assurance Office at 415-
972-3411 to determine if a QA document is required. The Quality Assurance
Manager will determine what type of QA documentation would be most
appropriate and what QA guidance should be followed if a document is required.
The QA Plan must be approved by the EPA Project Officer, the Region 9 Quality
Assurance Manager, and the recipient's Quality Assurance Officer before
measurement activities are undertaken. Typically, measurement activities must
be described by the type of media (soil, water, air), by the phase of the project
(i.e.: sampling backfill material, air monitoring during removal work,
confirmation sampling), and by location.
b. Emergency measurements may be taken without a QA Plan being prepared if
the Region 9 Quality Assurance Manager agrees that the nature of the data
collection activity required due to the emergency warrants an exemption and the
recipient contacts the Quality Assurance Manager to obtain approval prior to
beginning the sampling work. Contact the QA Office at 415-972-3411. In the
event an unforeseen site condition arises during the cleanup work, changes or
deviations to the type of contaminant sampled, methodology, or sample spacing,
the recipient must contact the Quality Assurance Manager to determine if the
Sampling and Analysis Plan must be amended before new work is initiated. If
the change is such that a site hazard is created by a delay in the work, the
recipient shall contact the Quality Assurance Manager to obtain approval prior to
formally revising the document. Minor field deviations (i.e: slight location
changes) should be noted in the final cleanup report, but do not require EPA
approval.
c. In general, a QAPP or Sampling and Analysis Plan will require approximately
two to four weeks for the EPA Quality Assurance Manager to review and return
comments. Documents generally require one revision and re -submittal. The re-
submittal review time is typically two weeks.
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.
Assessment T&C 5/20/05 10
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 E1527-13 "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-14-
003). 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 "All Appropriate Inquiries Final Rule:
Reporting Requirements Checklist for Assessment Grant Recipients" (Publication Number:
EPA 560-R-10-030) 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:
• "[I, We] declare that, to the best of [my, our] professional knowledge and belief [I, we]
meet the definition of Environmental Professional as defined in §312.10 of this part."
• "[I, We] 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, We] 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 appropriate investigation, if the environmental
Assessment T&C 5/20/05 11
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 1527-13). 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 2 CFR 200.338 through 2 CFR 200.342. If a recipient
willfully fails to correct the deficiencies the Agency may consider other available remedies
under 2 CFR 200.342.
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 subawards 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 subawards to a subrecipient 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 subrecipient.
Affected employees will neither solicit nor accept gratuities, favors, or anything of
monetary value from subrecipients. 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
1. The CAR may request payment from EPA pursuant to 2 CFR 200.305. We request the CAR
make requests for reimbursement on a quarterly basis. Utilize the directions for submitting a
payment request at http://www2.epa.gov/financial/grants.
Assessment T&C 5/20/05 12
B. Schedule for Closeout
1. Closeout will be conducted in accordance with 2 CFR 200.343. EPA will close out the
award when it determines that all applicable administrative actions and all required work of
the grant have been completed.
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.G. of the Assessment Terms and
Conditions.
(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
LVFC-grants@epa.gov
(3) A Final MBE/WBE Report (EPA Form 5700-52A). Submitted to the regional
Grants Management 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.
AGREEMENT FOR PROFESSIONAL SERVICES
ARTICLE 1
PARTIES AND PURPOSE
Section 1.1 Parties
THIS AGREEMENT is entered into on , 2016, by and between the
CITY OF LODI, a municipal corporation (hereinafter "CITY"), and STANTEC
CONSULTING SERVICES INC. (hereinafter "CONTRACTOR").
Section 1.2 Purpose
CITY selected the CONTRACTOR to provide the services required in
accordance with attached Scope of Services, Exhibit A, attached and incorporated by
this reference.
CITY wishes to enter into an agreement with CONTRACTOR for
BROWNFIELDS GRANT IMPLEMENTATION SERVICES (hereinafter "Project") as set
forth in the Scope of Services attached here as Exhibit A. CONTRACTOR
acknowledges that it is qualified to provide such services to CITY.
ARTICLE 2
SCOPE OF SERVICES
Section 2.1 Scope of Services
CONTRACTOR, for the benefit and at the direction of CITY, shall perform the
Scope of Services as set forth in Exhibit A.
Section 2.2 Time For Commencement and Completion of Work
CONTRACTOR shall commence work pursuant to this Agreement, upon receipt
of a written notice to proceed from CITY or on the date set forth in Section 2.6,
whichever occurs first, and shall perform all services diligently and complete work under
this Agreement based on a mutually agreed upon timeline or as otherwise designated in
the Scope of Services.
CONTRACTOR shall submit to CITY such reports, diagrams, drawings and other
work products as may be designated in the Scope of Services.
CONTRACTOR shall not be responsible for delays caused by the failure of CITY
staff to provide required data or review documents within the appropriate time frames.
The review time by CITY and any other agencies involved in the project shall not be
counted against CONTRACTOR's contract performance period. Also, any delays due to
1
weather, vandalism, acts of God, etc., shall not be counted. CONTRACTOR shall
remain in contact with reviewing agencies and make all efforts to review and return all
comments.
Section 2.3 Meetings
CONTRACTOR shall attend meetings as may be set forth in the Scope of
Services.
Section 2.4 Staffing
CONTRACTOR acknowledges that CITY has relied on CONTRACTOR's
capabilities and on the qualifications of CONTRACTOR's principals and staff as
identified in its proposal to CITY. The Scope of Services shall be performed by
CONTRACTOR, unless agreed to otherwise by CITY in writing. CITY shall be notified
by CONTRACTOR of any change of Project Manager and CITY is granted the right of
approval of all original, additional and replacement personnel at CITY's sole discretion
and shall be notified by CONTRACTOR of any changes of CONTRACTOR's project staff
prior to any change.
CONTRACTOR represents it is prepared to and can perform all services within
the Scope of Services (Exhibit A) and is prepared to and can perform all services
specified therein. CONTRACTOR represents that it has, or will have at the time this
Agreement is executed, all licenses, permits, qualifications, insurance and approvals of
whatsoever nature are legally required for CONTRACTOR to practice its profession, and
that CONTRACTOR shall, at its own cost and expense, keep in effect during the life of
this Agreement all such licenses, permits, qualifications, insurance and approvals, and
shall indemnify, defend and hold harmless CITY against any costs associated with such
licenses, permits, qualifications, insurance and approvals which may be imposed against
CITY under this Agreement.
Section 2.5 Subcontracts
Unless prior written approval of CITY is obtained, CONTRACTOR shall not enter
into any subcontract with any other party for purposes of providing any work or services
covered by this Agreement.
Section 2.6 Term
The term of this Agreement commences on September 1, 2015 and terminates
upon the completion of the Scope of Services or on December 31, 2018, whichever
occurs first.
2
ARTICLE 3
COMPENSATION
Section 3.1 Compensation
CONTRACTOR's compensation for all work under this Agreement shall conform
to the provisions of the Fee Proposal, attached hereto as Exhibit B and incorporated by
this reference.
CONTRACTOR shall not undertake any work beyond the scope of this
Agreement unless such additional work is approved in advance and in writing by CITY.
Section 3.2 Method of Payment
CONTRACTOR shall submit invoices for completed work on a monthly basis, or
as otherwise agreed, providing, without limitation, details as to amount of hours,
individual performing said work, hourly rate, and indicating to what aspect of the Scope
of Services said work is attributable. CONTRACTOR's compensation for all work under
this Agreement shall not exceed the amount of the Fee Proposal.
Section 3.3 Costs
The Fee Proposal shall include all reimbursable costs required for the
performance of the Scope of Services. Payment of additional reimbursable costs
considered to be over and above those inherent in the original Scope of Services shall
be approved in advanced and in writing, by CITY.
Section 3.4 Auditing
CITY reserves the right to periodically audit all charges made by CONTRACTOR
to CITY for services under this Agreement. Upon request, CONTRACTOR agrees to
furnish CITY, or a designated representative, with necessary information and assistance
needed to conduct such an audit.
CONTRACTOR agrees that CITY or its delegate will have the right to review,
obtain and copy all records pertaining to performance of this Agreement.
CONTRACTOR agrees to provide CITY or its delegate with any relevant information
requested and shall permit CITY or its delegate access to its premises, upon reasonable
notice, during normal business hours for the purpose of interviewing employees and
inspecting and copying such books, records, accounts, and other material that may be
relevant to a matter under investigation for the purpose of determining compliance with
this requirement. CONTRACTOR further agrees to maintain such records for a period of
three (3) years after final payment under this Agreement.
3
ARTICLE 4
MISCELLANEOUS PROVISIONS
Section 4.1 Nondiscrimination
In performing services under this Agreement, CONTRACTOR shall not
discriminate in the employment of its employees or in the engagement of any sub
CONTRACTOR on the basis of race, color, religion, sex, sexual orientation, marital
status, national origin, ancestry, age, or any other criteria prohibited by law.
Section 4.2 ADA Compliance
In performing services under this Agreement, CONTRACTOR shall comply with
the Americans with Disabilities Act (ADA) of 1990, and all amendments thereto, as well
as all applicable regulations and guidelines issued pursuant to the ADA.
Section 4.3 Indemnification and Responsibiliy for Damage
CONTRACTOR to the fullest extent permitted by law, shall indemnify and hold
harmless CITY, its elected and appointed officials, directors, officers, employees and
volunteers from and against any claims, damages, losses, and expenses (including
reasonable attorney's fees and costs), arising out of performance of the services to be
performed under this Agreement, provided that any such claim, damage, loss, or
expense is caused by the negligent acts, errors or omissions of CONTRACTOR, any
subcontractor employed directly by CONTRACTOR, anyone directly or indirectly
employed by any of them, or anyone for whose acts they may be liable, except those
injuries or damages arising out of the active negligence, sole negligence, or sole willful
misconduct of the City of Lodi, its elected and appointed officials, directors, officers,
employees and volunteers. CITY may, at its election, conduct the defense or participate
in the defense of any claim related in any way to this indemnification. If CITY chooses at
its own election to conduct its own defense, participate in its own defense, or obtain
independent legal counsel in defense of any claim related to this indemnification,
CONTRACTOR shall pay all of the costs related thereto, including without limitation
reasonable attorney fees and costs. The defense and indemnification obligations
required by this Agreement are undertaken in addition to, and shall not in any way be
limited by the insurance obligations set forth herein.
Section 4.4 No Personal Liability
Neither the City Council, nor any other officer or authorized assistant or agent or
City employee shall be personally responsible for any liability arising under this
Agreement.
4
Section 4.5 Responsibility of CITY
CITY shall not be held responsible for the care or protection of any material or
parts of the work described in the Scope of Services prior to final acceptance by CITY,
except as expressly provided herein.
Section 4.6 Insurance Requirements for CONTRACTOR
CONTRACTOR shall take out and maintain during the life of this Agreement,
insurance coverage as set forth in Exhibit C attached hereto and incorporated by this
reference.
Section 4.7 Successors and Assigns
CITY and CONTRACTOR each bind themselves, their partners, successors,
assigns, and legal representatives to this Agreement without the written consent of the
others. CONTRACTOR shall not assign or transfer any interest in this Agreement
without the prior written consent of CITY. Consent to any such transfer shall be at the
sole discretion of CITY.
Section 4.8 Notices
Any notice required to be given by the terms of this Agreement shall be in writing
signed by an authorized representative of the sender and shall be deemed to have been
given when the same is personally served or upon receipt by express or overnight
delivery, postage prepaid, or three (3) days from the time of mailing if sent by first class
or certified mail, postage prepaid, addressed to the respective parties as follows:
To CITY:
City of Lodi
221 West Pine Street
P.O. Box 3006
Lodi, CA 95241-1910
Attn: Joseph Wood
To CONTRACTOR: Stantec Consulting Services Inc.
3017 Kilgore Rd., Suite 100
Rancho Cordova, CA 95670
Attn: Gary Haeck
Section 4.9 Cooperation of CITY
CITY shall cooperate fully and in a timely manner in providing relevant
information it has at its disposal relevant to the Scope of Services.
Section 4.10 CONTRACTOR is Not an Employee of CITY
CONTRACTOR agrees that in undertaking the duties to be performed under this
Agreement, it shall act as an independent contractor for and on behalf of CITY and not
an employee of CITY. CITY shall not direct the work and means for accomplishment of
5
the services and work to be performed hereunder. CITY, however, retains the right to
require that work performed by CONTRACTOR meet specific standards without regard
to the manner and means of accomplishment thereof.
Section 4.11 Termination
CITY may terminate this Agreement, with or without cause, by giving
CONTRACTOR at least ten (10) days written notice. Where phases are anticipated
within the Scope of Services, at which an intermediate decision is required concerning
whether to proceed further, CITY may terminate at the conclusion of any such phase.
Upon termination, CONTRACTOR shall be entitled to payment as set forth in the
attached Exhibit B to the extent that the work has been performed. Upon termination,
CONTRACTOR shall immediately suspend all work on the Project and deliver any
documents or work in progress to CITY. However, CITY shall assume no liability for
costs, expenses or lost profits resulting from services not completed or for contracts
entered into by CONTRACTOR with third parties in reliance upon this Agreement.
Section 4.12 Confidentiality
CONTRACTOR agrees to maintain confidentiality of all work and work products
produced under this Agreement, except to the extent otherwise required by law or
permitted in writing by CITY. CITY agrees to maintain confidentiality of any documents
owned by CONTRACTOR and clearly marked by CONTRACTOR as "Confidential" or
"Proprietary", except to the extent otherwise required by law or permitted in writing by
CONTRACTOR. CONTRACTOR acknowledges that CITY is subject to the California
Public Records Act.
Section 4.13 Applicable Law, Jurisdiction, Severability, and Attorney's Fees
This Agreement shall be governed by the laws of the State of California.
Jurisdiction of litigation arising from this Agreement shall be venued with the San
Joaquin County Superior Court. If any part of this Agreement is found to conflict with
applicable laws, such part shall be inoperative, null, and void insofar as it is in conflict
with said laws, but the remainder of this Agreement shall be in force and effect. In the
event any dispute between the parties arises under or regarding this Agreement, the
prevailing party in any litigation of the dispute shall be entitled to reasonable attorney's
fees from the party who does not prevail as determined by the San Joaquin County
Superior Court.
6
Section 4.14 City Business License Requirement
CONTRACTOR acknowledges that Lodi Municipal Code Section 3.01.020
requires CONTRACTOR to have a city business license and CONTRACTOR agrees to
secure such license and pay the appropriate fees prior to performing any work
hereunder.
Section 4.15 Captions
The captions of the sections and subsections of this Agreement are for
convenience only and shall not be deemed to be relevant in resolving any question or
interpretation or intent hereunder.
Section 4.16 integration and Modification
This Agreement represents the entire understanding of CITY and
CONTRACTOR as to those matters contained herein. No prior oral or written
understanding shall be of any force or effect with respect to those matters covered
hereunder. This Agreement may not be modified or altered except in writing, signed by
both parties.
Section 4.17 Contract Terms Prevail
All exhibits and this Agreement are intended to be construed as a single
document. Should any inconsistency occur between the specific terms of this
Agreement and the attached exhibits, the terms of this Agreement shall prevail.
Section 4.18 Severability
The invalidity in whole or in part of any provision of this Agreement shall not void
or affect the validity of any other provision of this Agreement.
Section 4.19 Ownership of Documents
All documents, photographs, reports, analyses, audits, computer media, or other
material documents or data, and working papers, whether or not in final form, which
have been obtained or prepared under this Agreement, shall be deemed the property of
CITY. Upon CITY's request, CONTRACTOR shall allow CITY to inspect all such
documents during CONTRACTOR's regular business hours. Upon termination or
completion of services under this Agreement, all information collected, work product and
documents shall be delivered by CONTRACTOR to CITY within ten (10) calendar days.
CITY agrees to indemnify, defend and hold CONTRACTOR harmless from any
liability resulting from CITY's use of such documents for any purpose other than the
purpose for which they were intended.
7
Section 4.20 Authority
The undersigned hereby represent and warrant that they are authorized by the
parties to execute this Agreement.
Section 4.21 Requirements for Projects Funded by Federal Grant
The requirements, conditions, and disclosures under 2 Code of Federal
Regulations 200, Uniform Administrative Requirements, Cost Principals, and Audit
Requirements for Federal Awards, including the Appendices thereto, apply to this
Agreement. In the event of a conflict between the terms of this Agreement or any of its
other exhibits, and the provisions of 2 CFR 200, the provisions of 2 CFR200 will control.
IN WITNESS WHEREOF, CITY and CONTRACTOR have executed this
Agreement as of the date first above written.
CITY OF LODI, a municipal corporation
ATTEST:
JENNIFER M. FERRAIOLO STEPHEN SCHWABAUER
City Clerk City Manager
APPROVED AS TO FORM: STANTEC CONSULTING SERVICES INC.
JANICE D. MAGDICH, City Attorney
By: By:
Name: GARY HAECK
Title: Managing Senior Geologist
Attachments:
Exhibit A — Scope of Services
Exhibit B — Fee Proposal
Exhibit C — Insurance Requirements
Funding Source: TBD
(Business Unit & Account No.)
Doc ID:2016-01
CA:Rev.01.2015
8
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
U.S. ENVIRONMENTAL PROTECTION AGENCY
BROWNFIELDS ASSESSMENT PROGRAM
WORK PLAN
Cooperative Agreement #: BF 99T30201-0
FOR
Lodi, California - Fiscal Year 2015 U.S. EPA Brownfields Community -Wide
Assessment Grant for Hazardous Substances and Petroleum
July 15, 2015, 2015
Submitted by
Joseph Wood
Manager, Neighborhood Services Division
City of Lodi
221 W. Pine Street
Lodi, California 95240
(209) 333-6800 x2467
jwood@lodi.gov
Page 1 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
A. Recipient Title
City of Lodi, California.
B. Background
The City of Lodi (City) is a diverse community with deep roots in the agricultural and
manufacturing industries. The compact City is surrounded by orchards, vineyards, and wineries.
Rail and highway corridors run through industrial and commercial districts.
Lodi's economy was built on broad-based agriculture and manufacturing. Wine -based tourism
has become an integral component of the City's economic base and has strengthened
complementary markets including hotel, retail, and dining. However, over the last 30 years,
declines in local manufacturing and processing, environmental contamination and the great
recession have severely impacted the City's economy.
The City is working to strengthen its economy by revitalizing historic industries and attracting
new, diverse commerce. However, brownfields, including shuttered factories, mills and print
shops; neglected downtown, commercial, rail and highway corridors; abandoned buildings,
warehouses, gas stations and auto yards; and other derelict properties - the result of decades
of economic struggle - impede this vision for recovery.
The City's U.S. Environmental Protection Agency (EPA) Brownfield Community -Wide Assessment
(CWA) Grant Project (Project) will use grant funding to establish a sustainable brownfields
program. The City will create a comprehensive brownfield inventory, prioritize revitalization
opportunities, perform environmental site assessments (ESAs), and conduct remedial
action/reuse planning activities in alignment with established community plans and objectives.
The Project will conduct assessments and Area -Wide Planning (AWP) in brownfield-impacted
areas, including the focus areas and targeted communities in the downtown, Union Pacific
Railroad (UPRR) Corridor and the Highway 99 Corridor. These focus areas include five targeted
communities, which make up some of Lodi's most economically distressed and culturally
diverse neighborhoods and many brownfield sites.
C. Goals and Objectives
a. EPA Strategic Plan
This Project supports the U.S. EPA Strategic Plan and GPRA Goal 3: Cleaning Up Communities
and Advancing Sustainable Development, Objective 3.1 Promote Sustainable and Livable
Communities.
Outputs:
The City will inventory and assess hazardous substance and petroleum brownfields
within the community in order to catalyze cleanup and revitalization of priority sites. The
City anticipates specific outputs to include the following:
Page 2 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
Task 1 - Brownfield Inventory and Prioritization
• Comprehensive City-wide inventory of potential brownfield sites; and,
• Prioritized list of sites for assessment.
Task 2 - Phase I Environmental Site Assessments (ESAs)
• Site eligibility determinations for each site selected for Phase I ESAs;
• Site access agreements for sites prioritized for Phase I ESAs;
• Health and Safety Plans (HASPs) prior to conducting each Phase I ESA; and,
• ASTM E1527-13 Phase I ESAs at up to 12 high priority hazardous substance brownfield
sites (6 hazardous substance sites and 6 petroleum sites).
Task 3 - Phase II ESAs, Remedial Action Ptans (RAPs), and Area -Wide Planning (AWP)
• Comprehensive Quality Assurance Project Plan (QAPP);
• Site access agreements for sites prioritized for Phase II ESAs;
• Site -Specific Sampling and Analysis Plans (SSSAPs) and updated HASPs for sites
prioritized for Phase II ESAs;
• Sites -specific Endangered Species Act and National Historic Preservation Act
consultations before conducting Phase II ESAs;
• Phase II ESAs on select parcels for which Phase I ESAs are completed and for which
the need for further assessment is identified. The City plans to conduct Phase II ESAs
on up to 6 high-priority brownfields sites (3 hazardous substances sites and 3
petroleum sites);
• Supplemental Phase II ESA work at up to 2 sites, as needed (1 hazardous substance
site and 1 petroleum site);
• Remedial Action Plans (RAPs) and/or Site -Specific Reuse Plans at up to 2 petroleum
and 2 hazardous substance sites; and,
• AWP documents for up to two focus areas.
Task 4 - Community Outreach and Public Involvement
• Establish the Brownfield Advisory Committee (BAC), meet with developers, property
owners, other stakeholders, and the general public;
• Solicit, discuss, and implement meaningful public input into the grant processes;
• Public notices;
• Meeting materials and presentations;
• Brochures and other public information materials; and,
• Project webpage for the City's website.
Page 3 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
Task 5 -- Other Eligible Program Activities (Reporting and Travel)
The City will complete the following reports as required and in accordance with the
submittal deadlines to be specified in the Cooperative Agreement (CA) with EPA:
• Quarterly progress/status reports;
• BAC meeting minutes;
• Annual Disadvantaged Business Enterprise (DBE) reports;
• Assessment, Cleanup and Redevelopment Exchange System (ACRES) updates; and,
• Final financial and close-out summary report to EPA.
Outcomes:
The following specific outcomes will be tracked on a quarterly basis:
• Number of potential brownfield properties inventoried;
• Numbers of sites and acres of land assessed;
• Numbers of sites for which property title transfers are facilitated;
• Acres of land redeveloped and square footage of buildings positioned for adaptive
reuse;
• Acres of parks or green space created;
• Length of walking or bike trails created;
• Amount of additional public and private investment leveraged;
• Amount of other funding leveraged;
• Jobs created or retained;
• Increased property and sales tax revenue generated;
• Number of buildings seeking LEED certification; and,
• Incorporation of green and sustainable assessment and remediation (GSR)
techniques applicable to Phase II ESA activities.
b. Project Goals
The City's overall goal is to build a sustainable Brownfield Program that spurs
economic development and reduces risks to human health and the environment by
redeveloping underutilized, blighted brownfield properties.
Page 4of16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
Grant funds will be used to support the Project goals by: 1) Establishing and
maintaining a comprehensive brownfield inventory; 2) Conducting Phase I and II
ESAs to facilitate the cleanup, transfer, and redevelopment of brownfields; 3)
Engaging the community and stakeholders in identifying and prioritizing sites and
redevelopment planning; and, 4) Conducting AWP within up to two focus areas
including market analysis, existing conditions/infrastructure evaluation studies, site-
specific reuse planning for catalyst brownfield sites, and community visioning
exercises to inform a common redevelopment strategy and implementation plan.
c. Pre -Award Costs
The City of Lodi requests the approval of pre -award costs for this CA. It is estimated
that up to $20,000 will be utilized for the following activities:
• Public Project kickoff meeting including the public and key Project stakeholders.
• Project kickoff meeting(s) with the Consultant and EPA to review Project scope,
goals, and strategies for community, property owner, and stakeholder
engagement.
• Preliminary brownfield inventory work.
• Preparation of the comprehensive QAPP.
D. Tasks
Task 1 - Brownfield inventory and Prioritization
a. Task Description
Build a geographic information system (GIS) -based comprehensive City-wide
inventory of brownfield sites as a foundation for identifying priority assessment,
cleanup and redevelopment opportunity sites, reaching out to owners, and selecting
sites for assessment. The data may be integrated with other databases to better
relate the presence of brownfields to various economic impacts and/or health data.
The Consultant will lead the inventory and prioritization activities with support from
the City and the BAC.
• Conduct tours/inspections throughout the City to identify blighted or vacant
potential brownfield sites that are not recorded in existing databases or
identified by recent plans/studies;
• Review select City, County and State records that are potentially relevant to
identifying brownfields (including occupancy and other permits, tax delinquency
status, building code violations, assessors data, City spill data, and sites identified
in recent plans and studies;
Page 5 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
• Review available historical Sanborn fire insurance maps, aerial photographs
and/or other sources of information to identify historic sites which have a
significant potential for impacts from historical land uses;
• Survey local real estate industry representatives for information on sites in the
City; and,
• Review state and county records to verify that all sites with known or suspected
impacts or threats to public health are included in the evaluation/prioritization
process.
The inventory and prioritization process will be integrated with GIS, supplementing
existing data layers to isolate sites with environmental concerns and reuse potential.
Following inventory activities, sites will be prioritized for assessment and/or
cleanup/redevelopment planning. When prioritizing sites, the City will analyze the
following: (1) economic development potential/opportunities; (2) known or
suspected threats to public health; (3) sites identified in existing community planning
documents; (4) degree of known or suspected environmental impacts; (5) degree of
blight or underutilization; (6) tax delinquency status; and (7) community concerns.
b. Task Budget
Cost: $38,000 (50% hazardous substances grant funds/50% petroleum grant funds).
• City personnel labor/fringe: $4,000 (50 hours at $80/hr) [-($50/hr (-63%)
salary,-$30/hr (-37%) fringe]).
■ Contractual: $34,000 (340 hours at $100/hr).
c. Schedule
Task Start Date: July 2015
Task Completion Date: February 2015
d. Deliverables
Deliverables may include:
• GIS -based comprehensive City-wide inventory of potential brownfield sites;
• List of criteria for ranking sites;
• GIS maps of potential brownfields sites, as needed for planning and
property redevelopment marketing; and,
• Brownfield inventory report documenting inventory and prioritization
methods.
Page 6 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
Task 2 - Phase 1 ESAs
a. Task Description
The City will conduct Phase I ESAs on up to 12 sites (6 hazardous substance sites and 6
petroleum sites).
The City and its Consultant will complete Phase I ESAs in accordance with All
Appropriate Inquiry and ASTM Practice E 1527-13 "Standard Practice for ESAs; Phase I
ESA Process." The City and/or its Consultant will contact site owners, negotiate
access agreements, and complete site eligibility determinations before beginning
Phase I ESAs.
Site eligibility determination requests will be submitted to the EPA Project Officer using
the supplied request form. Site eligibility will be reviewed by the EPA Project Officer
and/or DEQ (for petroleum sites) for concurrence with state and City determinations
prior to any site-specific work.
The ACRES database will be updated at the conclusion of each site eligibility
determination and each Phase I ESA.
The City and its Consultant will lead the Phase I ESA task with assistance from the BAC
on site selection, access issues, data acquisition, and report review and distribution.
b. Task Budget
Cost: $62,000 (50% hazardous substances grant funds/50% petroleum grant funds).
• City personnel labor/fringe: $2,000 (25 hours at $80/hr)
• Contractual: $60,000 - Average Phase I ESA cost: $5,000 (12 x $5,000 =
$60,000)
• Phase I ESA costs include eligibility determination, HASP, and other pre -
Phase I ESA activities.
c. Schedule
Task Start Date: April 2016
Task Completion Date: Ongoing throughout grant period
d. Deliverables
Deliverables may include:
• Completed eligibility determinations;
Page 7 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
• HASPs;
• Signed access agreements; and,
• ASTM E1527-13 Phase I ESA reports.
Task 3 - Phase II ESAs, Remedial Action Plans, and Area -Wide Planning
a. Task Description
• Complete a comprehensive QAPP;
• Obtain site access agreements for sites prioritized for Phase II ESAs;
• Provide documentation to fulfill EPA's requirements under the Endangered
Species Act Section 7 and the National Historic Preservation Act Section 106
(NHPA).
• Complete Site -Specific Sampling and Analysis Plans (SSSAPs) and update HASPs
for sites prioritized for Phase II ESAs;
• Perform Phase II ESA and/or supplemental assessment activities on select parcels
for which Phase I ESAs are completed and for which the need for further
assessment is identified. The City plans to conduct Phase II ESAs on up to 6 high-
priority brownfields sites (3 hazardous substances sites and 3 petroleum sites);
• Perform supplemental Phase II ESA work at up to 4 sites, as needed (2 hazardous
substance site and 2 petroleum site);
• Prepare RAPs and/or Site -Specific Reuse Plans at up to 2 petroleum and 2
hazardous substance sites; and,
• Conduct Area -Wide Planning for up to two focus areas.
• The City and its Consultant will lead the Phase II ESA tasks with assistance from
BAC on site selection, access issues, data acquisition, and report review and
distribution.
b. Task Budget
Cost: $222,000 (50% hazardous substances grant funds/50% petroleum grant funds).
See breakdown in the table below.
Task 3
Subtasks
Units
Cost Per Unit
Total Budget
(50% haz sub/ 50%
petroleum)
QAPP
1
$8,000
$8,000
Phase II ESA
6
$19,500
$117,000
Page 8 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
Supplemental Phase II ESA
2
$9,500
$19,000
Remedial Action Plans
4
$8,500
$34,000
Area -Wide Planning
2
$20,000
$40,000
City Personnel Labor/Fringe
50
$80
$4,000
Total Task 3 Cost
$222,000
c. Schedule
QAPP completed by October 2015; First Phase II ESA underway by May 2016.
Task Completion Date: Ongoing throughout Project.
d. Deliverables
Deliverables may include:
• Comprehensive QAPP;
• Completed/updated eligibility forms;
• HASPs;
• Endangered Species, NHPA, and cultural resources documentation;
• Signed access agreements;
• SSAPs;
• Phase II ESA Reports;
• RAPs/Site-Specific Reuse Plans; and,
• AWP report(s).
Task 4 - Community Outreach and Public Involvement
a. Task Description
The objective of this task is to ensure that community concerns are considered in
assessment planning and execution. The objective of this task is to ensure that the
community is kept informed of Project goals, methods, and progress and ensure the
public is provided opportunity for meaningful participation.
■ Convene the BAC;
• Coordinate and conduct at least 6 meetings with BAC, stakeholders, and the
public to publicize the program and promote community and property -owner
participation;
Page 9 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
• Develop outreach materials including fact sheets/mailers, press releases, project
website, and meeting materials and presentations; and,
• Prepare and make publicly available a Site Nomination Form to solicit
community input regarding identification and prioritization of sites.
b. Task Budget
Cost: $28,000 (50% hazardous substances grant funds/50% petroleum grant funds)
• City personnel labor/fringe: $6,000 (75 hours at $80/hr)
• Contractual: $22,000 (220 hours at $100/hr)
c. Schedule
• November 2015: Convene BAC composed of community partners identified
during the grant application process to plan and guide community outreach
efforts;
• BAC will hold at least 6 meetings during Project;
• Hold public Project kickoff meeting September 2015 - outreach ongoing
throughout Project; and,
• Fact sheets/mailers will be prepared and distributed at the beginning of the
Project, if there are new developments or delays, and after the assessment is
complete;
d. Deliverables
Deliverables may include:
• BAC and other meeting notes;
• Site Nomination Form to solicit community input regarding identification
and prioritization of sites;
• Fact sheets/mailers:
• Press releases;
• Project website; and,
• Meeting materials and presentations.
Task 5 — Other Eligible Program Activities — Reporting and Staff
Training/Travel
a. Task Description:
Page l0 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
The City will provide regular reports to EPA including Quarterly Progress Reports, DBE
Reports, and annual Federal Financial Reports.
The City and its Consultant will lead Task 5.
Up to 2 City staff will attend 1 national and 1 regional brownfield conference.
b. Task Budget:
Cost: $30,000 (50% hazardous substances grant funds/50% petroleum grant funds)
• City personnel labor/fringe: $4,000 (50 hours at $80/hr)
• Contractual: $22,000 (220 hours at $100/hr)
■ Travel: 2 City staff attend one state/regional brownfields conference and
one national brownfields conference. See budget table below.
Travel Budget Detail
Airfare
Hotel
Per Diem
Airport
Parking
Totals
State/ Regional
Conference
(3 days/
2 nights)
$0
$360
$240
$0
$600
National Conference
(4 days/
3 nights)
$1,600
$1,360
$400
$40
$3,400
Total Cost $4,000
c. Schedule:
• Progress reports will be prepared and submitted to EPA on a quarterly basis [due
within 30 days of the end of each federal fiscal quarter ending December,
March, June, and September.
• DBE Reports will be submitted within 30 days of the end of the annual reporting
period ending September (due by October 30th).
• Property profiles will be completed and updated quarterly in ACRES for each
property where CA funds are expended.
• Interim Federal Financial Reports (FFR, SF -425), due December 31st annually.
• A final performance report will be completed and submitted to the EPA Project
officer (electronically) within 90 calendar days following the expiration or
Page 11 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
termination of the award. The report will contain the same information as the
Quarterly Progress Reports, but will cover the entire Project period. In addition,
the final performance report will specifically address lessons learned, successes
achieved, and a summary Project fact sheet.
• Regional brownfields conference (anticipated 2016) and a national brownfields
conference (September 2015).
d. Deliverables:
• Quarterly Progress Reports;
• DBE Reports;
• Updated ACRES records; and,
• Final Performance Report.
E. Schedule of Milestones & Deliverables
DUE DATE
(for grant
awarded
10/01/15)
ITEM
Send to:
EPA PO
STATE
EPA
GRANTS
EPA
FINANCE
Pre -Award
Public Project kickoff meeting
with public and key
stakeholders;
Internal kickoff meeting with
City, Consultant, and EPA;
Preliminary inventory work;
and
Prepare DRAFT QAPP.
X
Ongoing (As
needed)
Property Profile Form entered
in ACRES or submitted to PO
X
Month 2
Establish BAC and Identify
Stakeholders
X
X
Month 1
Fact sheet - Project starting
X
Month 4
(Quarterly)
Quarterly Progress Report
(QPR) 1 for Period 10/1-
12/31/15
X
Page 12 of 16
Lodi, California — FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
DUE DATE
(for grant
awarded
10/01/15)
ITEM
Send to:
EPA PO
STATE
EPA
GRANTS
EPA
FINANCE
Month 2
Comprehensive QAPP
Finalized
X
Month 7
QPR 2 for Period 1/1-3/31/16
- continue quarterly
X
Month 8
Inventory developed & Site
Selection Criteria set
X
Month 8
Top sites selected
X
X
Ongoing -
At least 30
days before
assessment is
scheduled to
begin
Site eligibility requested &
confirmed
X
X
Before
conducting
assessments
HASP
Site Access Agreements in
Place
Endangered Species Act,
National Historic Preservation
Act Letters (not required for
Phase I ESA)
X
Ongoing
Site Assessments
Ongoing
Area -Wide Planning
Annually by
10/30
DBE Report
(DBE = Disadvantaged Business
Enterprises)
Reports must be submitted annually by
October 30th of each year.
For forms & more information, visit:
hflo://www.eoo.aovlosdbu/dbe fom h
X
(copy)
X
tm
As Needed
Requests for Reimbursement -
see Administrative Terms &
Conditions
X
Month 36
Fact Sheet - Assessment
results
X
Page 13 of 16
Lodi. California - FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
DUE DATE
(for grant
awarded
10/01/15)
ITEM
Send to:
EPA PO
STATE
EPA
GRANTS
EPA
FINANCE
Months 36 -
39
Final Federal Financial Report
(FFR) (SF425) & Final
Drawdown
For forms & more information, visit:
http://www.epa.gov/ocfo/finservices/for
ms.htm
X
(copy)
X
(copy)
X
Months 36 -
39
Closeout: Final Performance
Report with Summary Fact
Sheet, Photos, and Lessons
Learned
X
Page 14 of 16
Lodi, California - FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
F. Budget Summary
Hazardous Substances Grant Budget
Petroleum Grant Budget
Task 1
Inventory
and
Prioritization
Task 2
Phase I
ESAs
Task 3
Phase II
ESAs/ RAPs/
AWP
Task 4
Public
Outreac
h
Task 5
Other
Eligible
Tasks
Total
Personnel
$1,250
$625
$1,250
$1,875
$1,250
$6,250
Fringe
$750
$375
$750
$1,125
$750
$3,750
Travel
$0
$0
$0
$0
$2,000
$2,000
Contractual
$27,000
$30,000
$109,000
$1 1,000
$1 1,000
$188,000
Grant Total
$29,000
$31,000
$111,000
$14,000
$15,000
$200,000
Petroleum Grant Budget
G. Greening Grants
The City will incorporate the EPA Greening Grants Policy during Project implementation.
1. The City will continue to implement environmentally preferable purchasing
(e.g. office supplies).
2. The City will continue our in -office recycling program.
Page 15 of 16
Task 1
Inventory
and
Prioritization
Task 2
Phase I
ESAs
Task 3
Phase II
ESAs/ RAPs/
AWP
Task 4
Public
Outreach
Task 5
Other
Eligible
Tasks
Total
Personnel
$1,250
$625
$1,250
$1,875
$1,250
$6,250
Fringe
$750
$375
$750
$1,125
$750
$3,750
Travel
$0
$0
$0
$0
$2,000
$2,000
Contractual
$27,000
$30,000
$109,000
$1 1,000
$1 1,000
$188,000
Grant Total
$29,000
$31,000
$111,000
$14,000
$15,000
$200,000
G. Greening Grants
The City will incorporate the EPA Greening Grants Policy during Project implementation.
1. The City will continue to implement environmentally preferable purchasing
(e.g. office supplies).
2. The City will continue our in -office recycling program.
Page 15 of 16
Lodi, California - FY2015 EPA Brownfields Community -Wide Assessment Grant - CA Work Plan
3. The City will conduct Green meetings (e.g., sending electronic invitations;
choosing public -transit -friendly meeting locations; ensuring hard copy
outreach materials are printed double -sided and on recycled paper, etc.)
Page 16 of 16
BF - 99T30201 - 0 Paae 1
st'�`C°S'ArFs
Zra
44 age
U.S. ENVIRONMENTAL
PROTECTION AGENCY
Cooperative Agreement
GRANT NUMBER (FAIN): 99T30201
MODIFICATION NUMBER: 0
PROGRAM CODE: BF
DATE OF AWARD
08/04/2015
TYPE OF ACTION
New
MAILING DATE
08/11/2015
PAYMENT METHOD:
ASAP
ACH#
90345
RECIPIENT TYPE:
Municipal
Send Payment Request to:
Las Vegas Finance Center email:
Mc-gr.antMMepa,gov or Fax (702) 798-2423
RECIPIENT:
PAYEE:
City of Lodi
221 W. Pine Street
Lodi, CA 95240
EIN: 94-6000361
City of Lodi
221 W. Pine Street
Lodi, CA 95240
PROJECT MANAGER
EPA PROJECT OFFICER
EPA GRANT SPECIALIST
Joseph Wood
221 W. Pine Street
Lodi, CA 95240
E -Mail: jwoodAlodi.gov
Phone: 209-333-6842
Nova Blazej
75 Hawthorne Street, SFD-6
San Francisco, CA 94105
E -Mail: Slut. Nava[r epa.gov
Susan Chiu
Grants Management Office, MTS
E -Mail: ChiusvSanaepa ov
-7
Phone: 415-972-3674
Phone: 415-972-3846
PROJECT TITLE AND DESCRIPTION
Brownfields Assessment Cooperative Agreement
This project provides funding for the City of Lodi to inventory, characterize, assess, and conduct cleanup planning and community involvement related activities
for Brownfields sites in five focus areas in the Downtown and Union Pacific Railroad (UPRR) Corridor and the Highway 99 Corridors.
This agreement provides full federal funding in the amount of $400,000. Preaward costs are approved back to 8/1/2015.
BUDGET PERIOD
08/01/2015 - 10/31/2018
PROJECT PERIOD
08/01/2015 - 10/31/2018
1 TOTAL BUDGET PERIOD COST
$400,000.00
TOTAL PROJECT PERIOD COST
$400,000.00
NOTICE
Based on your Application dated 07/15/2015 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 after 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
award/amendment, and any costs incurred by the recipient are at its own risk
all terms and conditions of this agreement and any attachments
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 filing a notice of disagreement with the award terms
with the terms and conditions specified in this award,
Official within 21 days after the EPA award or
should not draw down on the funds provided by this
to applicable EPA regulatory and statutory provisions,
agreement. The recipient
mailing date; or 2)
If the recipient disagrees
to the EPA Award
is resolved, the recipient
This agreement is subject
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)
AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS
ORGANIZATION / ADDRESS
U.S. EPA, Region 9
Grants Management Office, MTS -7
75 Hawthorne Street
San Francisco, CA 94105
U.S. EPA, Region 9
Superfund Division, SFD-1
75 Hawthorne Street
San Francisco, CA 94105
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
Digital signature applied by EPA Award Official Sara L Russell - Grants Management Officer
DATE
08/04/2015
EPA Funding Information
BF - 99T30201 - 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
$ 0
Recipient Contribution
$
$
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. 104(k)(2)
2 CFR 200
2 CFR 1500 and 40 CFR 33
Fiscal
Site Name
Req No
FY
Approp.
Code
Budget
Organization
PRC
Object
Class
Site/Project
Cost
Organization
Obligation /
Deobligation
1509K0B024
1509K08024
15
15
E4
E4
09K2AG7
09K2AG7
301D79
301D79XBP
4114
4114
G900NY00
G900OR00
-
-
200,000
200,000
400,000
BF - 99T30201 - 0 Page 3
Budget Summa ry Page
Table A - Object Class Category
(Non -construction)
Total Approved Allowable
Budget Period Cost
1. Personnel
$25,200
2. Fringe Benefits
$14,800
3. Travel
$4,000
4. Equipment
$0
5. Supplies
$0
6. Contractual
$356,000
7. Construction
$0
8. Other
$0
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 - 99T30201 - 0 Page 4
Administrative Conditions
The recipient agrees to comply with the current EPA general terms and conditions available at:
httc://www.epa.gov/ogd/tclgeneral tc applicable aa recipients dec 26 2014.pdf. These terms and
conditions are in addition to the assurances and certifications made as part of the award and
the terms, conditions or restrictions cited below. The EPA repository for the general terms and
conditions by year can be found at: http://www.epa.gov/ogd/tc.htm.
A. Annual Federal Financial Report (FFR) - SF 425
For awards with cumulative project and budget periods greater than 12 months, the recipient will submit
an annual FFR (SF 425) covering the period from "project/budget period start date" to September 30 of
each calendar year to the U.S. EPA Las Vegas Finance Center (LVFC). The FFR will be submitted
electronically to Ivfc-grants�7gepa.gov no later than December 30 of the same calendar year. The form
with instructions can be found on LVFC's website at http:/Iwwah2.epa.gov/financial/forms.
B. Procurement
The recipient will ensure all procurement transactions will be conducted in a manner providing full and
open competition consistent with 2 CFR Part 200.319. In accordance 2 CFR Part 200.323 the grantee
and subgrantee(s) must perform a cost or price analysis in connection with applicable procurement
actions, including contract modifications.
C. 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 require 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.
D. Utilization of Disadvantaged Business Enterprises
General Compliance, 40 CFR Part 33
The recipient agrees to comply with the requirements of EPA's Disadvantaged Business Enterprise (DBE)
Program for procurement activities under assistance agreements, contained in 40 CFR Part 33. A
recipient must negotiate with the appropriate EPA award official, or his/her designee, fair share objectives
for MBE and WBE participation in procurement under the financial assistance agreements.
In accordance with 40 CFR Section 33.411 some recipients may be exempt from the fair share objective
requirements as described in 40 CFR Part 33, Subpart D. Recipients should work with their DBE
coordinator if they think their organization may qualify for an exemption.
The dollar amount of this assistance agreement, or the total dollar amount of all of the recipient's financial
assistance agreements in the current federal fiscal year from EPA is $250,000 or more. The recipient
accepts the applicable MBE/WBE fair share objectives/goals negotiated with EPA by the California State
Water Resources Control Board (CSWRCB), as follows:
MBE WBE
Construction 2% 1%
Equipment 1% 1%
Services 1% 1%
Supplies 1% 1%
The recipient accepts 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 CSWRCB.
Negotiating Fair Share Objectives/Goals, 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, Joe Ochab at Ochab.Joe(O.epa.gov, 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.
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.
E. MBE/WBE Reporting
General Compliance, 40 CFR Part 33, Subpart E — Reporting Condition
MBE/WBE reporting is required annually. Reporting is required for assistance agreements where there
are funds budgeted for procuring construction, equipment, services and supplies, including funds
budgeted for direct procurement by the recipient or procurement under subawards or loans in the "Other"
category, that exceed the threshold amount of $150,000, including amendments and/or modifications.
Based on EPA's review of the planned budget, this award meets the conditions above and is subject to
Disadvantaged Business Enterprise (DBE) Program reporting requirements. Conversely, the recipient
must submit to the GrantsRegion9aPepagov a justification and budget detail within 21 days of the award
date demonstrating that this award is not subject to the DBE reporting requirements.
The recipient agrees to complete and submit a "MBE/WBE Utilization under Federal Grants, Cooperative
agreements" report (EPA Form 5700-52A) on an annual basis. All procurement actions that are
reportable, not just that portion which exceeds $150,000.
When completing the annual report, recipients are instructed to check the box titled "annual:" in section 1B
of the form. For the final report, recipients must check the box indicated for the "last report" of the project
in section 1B of the form. Annual reports are due by October 30th of each year. Final reports are due by
October 30th or 90 days after the end of the project period, whichever comes first.
The reporting requirement is based on total procurements. Recipients with expended and/or budgeted
funds for procurement are required to report annually whether the planned procurements take place
during the reporting period or not. If no budgeted procurements take place during the reporting period, the
recipient should check the box in section 5B when completing the form.
MBE/WBE reports should be sent to GrantsRegion9(a7epa.gov . The current EPA Form 5700-52A can be
found at the EPA Office of Small Business Program's Home Page at
http://www.epa.govlosbpldbe reporting.htm
This provision represents an approved deviation from the MBE/WBE reporting requirements as described
in 40 CFR Part 33, Section 33.502; however, the other requirements outlined in 40 CFR Part 33 remain in
effect, including the Good Faith Effort requirements as described in 40 CFR Part 33, Subpart C, and Fair
Share Objectives negotiation as described in 40 CFR Part 33, Subpart D.
F. Indirect Costs
The Cost Principles under 2 CFR Part 200, Subpart E apply to this award. Since there are no indirect
costs included in the assistance budget, they are not allowable under this Assistance Agreement.
Programmatic Conditions
Refer to Attachment A for applicable programmatic conditions.
END OF DOCUMENT
ATTACHMENT A
Assessment Terms and Conditions
These Terms and Conditions apply to U.S. Environmental Protection Agency Brownfields
Assessment Grants awarded under CERCLA § 104(k)
City of'Lodi, CA
BF -99T30201-0
I. GENERAL FEDERAL REQUIREMENTS
NOTE: For the purposes of these Terms and Conditions the term "assessment" includes,
eligible activities under the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA) § 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.
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 2015 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, DBE 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
Assessment T&C 5/20/05 1
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 (refer to the
latest version of EPA's Proposal Guidelines for Brownfields Assessment Grants dated
October 2014 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
Assessment T&C 5/20/05 2
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 Project Officer, 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 subaward 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
subrecipient from using EPA funds to assess a site for which the subrecipient is
potentially liable under § 107 of CERCLA. (See Section II.C.3 for more
Assessment T&C 5/20/05 3
information on subawards.)
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 subrecipients remain responsible for incurring costs that are
allowable under 2 CFR Part 200 Subpart E.
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 subrecipients comply with the
terms of their agreements with the CAR, and that agreements between the CAR and
subrecipients and contractors comply with the terms and conditions of this agreement.
3. Subawards are defined at 2 CFR 200.92. The CAR may not subaward 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 2 CFR Part
200.317 through 200.326. In addition, EPA policy encourages awarding subawards
competitively and the CAR must consider awarding subawards 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.
Assessment T&C 5/20/05 4
6. Competency of Organizations Generating Environmental Measurement Data: In
accordance with Agency Policy Directive Number FEM-2012-02, Pul ic:v to Assure the
Competency of Organizations Generating Environmental Measurement Data under
Agency -Funded Assistance Agreements, the CAR agrees, by entering into this agreement,
that it has demonstrated competency prior to award, or alternatively, where a pre -award
demonstration of competency is not practicable, the CAR agrees to demonstrate
competency prior to carrying out any activities under the award involving the generation or
use of environmental data. The CAR shall maintain competency for the duration of the
project period of this agreement and this will be documented during the annual reporting
process. A copy of the Policy is available online at http:/Iwww.epa.govlfem/lab comp.htm
or a copy may also be requested by contacting the EPA project officer for this award.
D. Quarterly Progress Reports
1. In accordance with EPA regulations 2 CFR Parts 200 and 1500 (specifically, 200.328
monitoring and reporting program performance), the CAR agrees to submit quarterly
progress reports to the EPA Project Officer within thirty days after each reporting period.
These reports shall cover work status, work progress, difficulties encountered, preliminary
data results and a statement of activity anticipated during the subsequent reporting period,
including a description of equipment, techniques, and materials to be used or evaluated. A
discussion of expenditures and financial status for each workplan task, along with a
comparison of the percentage of the project completed to the project schedule and an
explanation of significant discrepancies shall be included in the report. The report shall also
include any changes of key personnel concerned with the project.
Quarterly progress reports must clearly differentiate which activities were completed with
EPA funds provided under the BF Assessment grant, versus any other funding source used
to help accomplish grant activities.
In addition, the report shall include brief information on each of the following areas: 1) a
comparison of actual accomplishments to the anticipated outputs/outcomes specified in the
cooperative agreement work plan; 2) reasons why anticipated outputs/outcomes were not
met; and 3) other pertinent information, including, when appropriate, analysis and
explanation of cost overruns or high unit costs. The CAR agrees that it will notify EPA of
problems, delays, or adverse conditions which materially impair the ability to meet the
outputs/outcomes specified in the cooperative agreement work plan. See the quarterly
report outline included in the Work Plan.
2. The CAR must submit progress reports on a quarterly basis to the EPA Project Officer.
Quarterly progress reports must include:
a. Summary and status of approved activities performed during the reporting quarter,
summary of the performance outputs/outcomes achieved during the reporting quarter, a
description of problems encountered or difficulties 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; including an explanation of any
discrepancies from the approved workplan.
c. A list of the properties where assessment activities were performed and/or completed
during the reporting quarter.
Assessment T&C 5/20/05 5
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. The CAR should include an explanation of
any discrepancies in the budget from the approved workplan.
3. 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.
4. In accordance with 2 CFR 200.328 (d) (1), 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 workplan.
E. Property Profile Submission
1. 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 and submit the Property Profile Form instead.
F. Community Outreach
The cooperative agreement recipient agrees to clearly reference EPA investments in the project
during all phases of community outreach outlined in the EPA -approved work plan, which may
include the development of any post -project summary or success materials that highlight
achievements to which this project contributed. Specifically:
1. Public or Media Events
The Recipient agrees to notify the EPA Project Officer listed in this award document of
public or media events publicizing the accomplishment of significant events related to
construction projects as a result of this agreement, and provide the opportunity for
attendance and participation by federal representatives with at least ten (10) working days
notice.
2. Limited English Proficiency Communities
To increase public awareness of projects serving communities where English is not the
predominant language, recipients are encouraged to include in their outreach strategies
communication in non-English languages. Translation costs for this purpose are allowable,
provided the costs are reasonable.
G. Final Technical Cooperative Agreement Report with Environmental Results
I. In accordance with EPA regulations 2 CFR Parts 200 and 1500 (specifically, 200.328
monitoring and reporting program performance), the CAR agrees to submit to the EPA
Project Officer within 90 days after the expiration or termination of the approved project
Assessment T&C 5/20/05 6
period a final technical report on the cooperative agreement and at least one reproducible
copy suitable for printing. The final technical report shall document project activities over
the entire project period and shall include brief information on each of the following areas:
1) a comparison of actual accomplishments with the anticipated outputs/outcomes specified
in the assistance agreement work plan; 2) reasons why anticipated outputs/outcomes were
not met; and 3) other pertinent information, including, when appropriate, analysis and
explanation of cost overruns or high unit costs. The CAR agrees that it will notify EPA of
problems, delays, or adverse conditions which materially impair the ability to meet the
outputs/outcomes specified in the cooperative agreement workplan.
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
subawards 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;
Assessment T&C 5/20/05 7
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
subaward 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 2 CFR Part 225 for
state, local and tribal governments, as applicable.
2. Under CERCLA § 104(k) (4) (B), administrative costs are prohibited costs under this
agreement. Prohibited administrative costs include all indirect costs under 2 CFR Part 225
for state, local and tribal governments, as applicable.
a. Ineligible administrative costs include costs incurred in the form of salaries,
benefits, contractual costs, supplies, and data processing charges, incurred to
comply with most provisions of the Uniform Administrative Requirements, Cost
Principles and Audit requirements for Federal Awards at 2 CFR 200 and 2 CFR
1500. 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 2 CFR 1500.6;
(3) Record-keeping associated with equipment purchases required under 2 CFR
200.313;
(4) Preparing revisions and changes in the budgets, scopes of work, program plans and
other activities required under 2 CFR 200.308;
(5) Maintaining and operating financial management systems required under 2 CFR
200.302;
(6) Preparing payment requests and handling payments under 2 CFR 200.305;
(7) Non-federal audits required under 2 CFR 200 Subpart F; and
(8) Close out under 2 CFR 200.343.
3. Cooperative agreement funds may not be used for any of the following properties:
Assessment T&C 5/20/05 8
a. Facilities listed, or proposed for listing, on the National Priorities List (NPL);
b. Facilities subject to unilateral administrative orders, court orders, and 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.
C. Interest -Bearing Accounts and Program Income
1. In accordance with 2 CFR 1500.7, 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 2 CFR
200.305(b)(7)(ii) relating 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 2 CFR
1500.8.
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
Assessment T&C 5/20/05 9
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. In addition, the recipient must comply with the following QA requirements:
a. This grant includes the performance of environmental measurements, therefore, a
QA Plan, a Sampling and Analysis Plan, or other comparable document covering
QA activities, must be prepared before any sampling or cleanup activities at the
site may begin. An example of a comparable document is a Sampling Plan
approved by the state oversight authority. If the document submitted does not
meet EPA's basic information requirements, an addendum or supplemental
Sampling and Analysis Plan may be required before sampling work may begin.
The recipient should consult with the Region 9 Quality Assurance Office at 415-
972-3411 to determine if a QA document is required. The Quality Assurance
Manager will determine what type of QA documentation would be most
appropriate and what QA guidance should be followed if a document is required.
The QA Plan must be approved by the EPA Project Officer, the Region 9 Quality
Assurance Manager, and the recipient's Quality Assurance Officer before
measurement activities are undertaken. Typically, measurement activities must
be described by the type of media (soil, water, air), by the phase of the project
(i.e.: sampling backfill material, air monitoring during removal work,
confirmation sampling), and by location.
b. Emergency measurements may be taken without a QA Plan being prepared if
the Region 9 Quality Assurance Manager agrees that the nature of the data
collection activity required due to the emergency warrants an exemption and the
recipient contacts the Quality Assurance Manager to obtain approval prior to
beginning the sampling work. Contact the QA Office at 415-972-3411. In the
event an unforeseen site condition arises during the cleanup work, changes or
deviations to the type of contaminant sampled, methodology, or sample spacing,
the recipient must contact the Quality Assurance Manager to determine if the
Sampling and Analysis Plan must be amended before new work is initiated. If
the change is such that a site hazard is created by a delay in the work, the
recipient shall contact the Quality Assurance Manager to obtain approval prior to
formally revising the document. Minor field deviations (i.e: slight location
changes) should be noted in the final cleanup report, but do not require EPA
approval.
c. In general, a QAPP or Sampling and Analysis Plan will require approximately
two to four weeks for the EPA Quality Assurance Manager to review and return
comments. Documents generally require one revision and re -submittal. The re-
submittal review time is typically two weeks.
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.
Assessment T&C 5/20/05 10
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 E1527-13 "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-14-
003). 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 "All Appropriate Inquiries Final Rule:
Reporting Requirements Checklist for Assessment Grant Recipients" (Publication Number:
EPA 560-R-10-030) 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:
• "[I, We] declare that, to the best of [my, our] professional knowledge and belief [1, we]
meet the definition of Environmental Professional as defined in §312.10 of this part."
• "[I, We] have the specific qualifications based on education, training, and experience to
assess a property of the nature, history, and setting of the subject property. [1, We] 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 appropriate investigation, if the environmental
Assessment T&C 5/20/05 11
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 1527-13). 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 2 CFR 200.338 through 2 CFR 200.342. If a recipient
willfully fails to correct the deficiencies the Agency may consider other available remedies
under 2 CFR 200.342.
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 subawards 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 subawards to a subrecipient 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 subrecipient.
Affected employees will neither solicit nor accept gratuities, favors, or anything of
monetary value from subrecipients. 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
1. The CAR may request payment from EPA pursuant to 2 CFR 200.305. We request the CAR
make requests for reimbursement on a quarterly basis. Utilize the directions for submitting a
payment request at http://www2.epa.gov/Financial/grants.
Assessment T&C 5/20/05 12
B. Schedule for Closeout
1. Closeout will be conducted in accordance with 2 CFR 200.343. EPA will close out the
award when it determines that all applicable administrative actions and all required work of
the grant have been completed.
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.G. of the Assessment Terms and
Conditions.
(2) A Final Federal Financial Report (FFR - SF425). Submitted to:
(3)
US EPA, Las Vegas Finance Center
4220 S. Maryland Pkwy, Bldg C, Rm 503
Las Vegas, NV 89119
Fax: (702) 798-2423
LVFC-grants@epa.gov
A Final MBE/WBE Report (EPA Form 5700-52A). Submitted to the regional
Grants Management 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.
EXHIBIT B
Schedule of Rates
Qualifications for U.S EPA Brownfield Grant Application and Implementation Assistance
Implementation charges for professional, technical, and administrative staff will be calculated and billed per the following
schedule. To the extent possible, work will be performed by local staff and/or staff with lower billing levels and overseen by
senior staff.
Cost Category
Detailed Description
Unit Cost
Unit Basis
Stantec Labor
Leland
Consulting
Group Labor
Michael Baker
International
Labor
Admin/Field Tech 6
Project Support, CAD Tech 7
Jr. Geologist, GIS Technician 8
Jr. Engineer/Geologist 9
Mid Eng/Geo 10
Intermediate Eng/Geo 11
$101.00
Anticipated Project Tasks
per hour GIS, Brownfield Inventories, Phase
1 &II ESAs, Report Editing
$10900 per hour
$118.00 ` per hour
$127.00 fl per hour
Figures for Reports, Report
Editing, Fieldwork
Phase I&II ESAs; Clean -Up
Planning
Project Administration, EPA
Reporting, Phase I&II ESAs; Clean -
Up Planning
$137.00 per hour Phase 1&II ESAs; Clean -Up
Planning
$148 00 per hour Phase II ESA/PM Support
Engineer 12
Sr. Engineer/ 13
$161,00
per hour Inventory, ESAs, etc.
$173.00
per hour Inventory, ESAs, etc.
Associate/Sr, PM 14
Sr PM 15
Admin
$186.00
per hour
$196.00 Per hour
$80.00
Project Management, Site
Eligibility, QA/QC, Cleanup
Planning
Project Management, Site
Eligibility, QA/QC, Cleanup
Planning
per hour
Analyst
$90,00
per hour
Associate
$140.00
per hour Real Estate Strategy/
Principal
$150.00
per hour
Managing Principal
$175.00
Administrative
:Graphics
Web Develooment
Assistant Planner
Associate Planner
Senior Facilitator
Manaoino Director
Principal
$65.00
$100 00
$100.00
$85 00
$100.00
$120 00
1160 00
$J85 00
per hour
per hour
per hour
per hour
per hour
per hour
per hour
per hour
per hour
Redevelopment Planning
Redevelopment Planning/
Community Outreach
Stantec Consulting Services Inc, Rate Table R -i
EXHIBIT B
Qualifications for U S EPA Brownfield Grant Application and Implementation Assistance
Schedule of Rates (continued)
Cost Category
Detailed Description
Unit Cost
Unit Basis Anticipated Project Tasks
Field
Equipment
PID (mini -Rae 3000, 11.7 eV probe)
$110.00
per day
Oil/Water Interface Probe
$60.00
Field Vehicle
$160.00
per day
per day
Miscellaneous Field Supplies (Safety,
Traffic Control)
$60.00
per day (est)
Groundwater Sampling Supplies
YSI pH-Cond-temp meter
$25.00
per day (est) Equipment Used in Phase II ESAs
$30.00
Well sampling pump
Field filters for groundwater samples
Disposable bailers for groundwater
sampling
Reimbursable
Expenses
Personal vehicle mileage (Federal
Rate)
$110.00
$15.00
$10.00
$0.565 (or
prevailing
IRS rate)
per day
per day (est)
each
each
per mile Travel to Meetings/Sites
Field Vehicle
$160.00
per day Fieldwork
Digital historic fire insurance maps
Radius Map Report (Environmental
Data Resources)
Supplemental Environmental Data
Resources reporting
Misc. field supplies (estimated)
Utility Locate
$2,000.00
estimated GIS/Site Inventory
$120.00
Health and safety equipment and
supplies
Photocopies
FedEx and Postage
each Phase 1ESAs
$205.00 each Phase 1 ESAs
$50.00
$600.00
$25.00
each Phase II ESAs
per day (est) Phase II ESAs
per day (est) Phase I&II ESAs
$0.10
per page
(est)
$35.00
per report
copy (est)
Various Project Deliverables
Various Project Deliverables
Stantec billing rates in effect for 2016. Rates subject to annual increase. Equipment owned by Stantec will be charged
at the rates provided in this table. Equipment rentals will be charged at cost + 10% markup. Equipment and
reimbursable expenses (not listed in the above table) will be charged at cost + 10% markup. All subcontractor/
subconsultant fees will be charged at cost + l0% markup. Stantec will provide cost estimates for other fees/expenses as
needed during the course ofthe project (in advance of performing such services).
Stantec Consulting Services Inc Rale Table R -ii
1. AA#
2. JV#
CITY OF LODI
APPROPRIATION ADJUSTMENT REQUEST
TO:
Internal Services Dept. - Budget Division
3. FROM:
Joseph Wood
5. DATE:
2/3/16
4. DEPARTMENT/DIVISION: Community Development /Neighborhood Services
6. REQUEST ADJUSTMENT OF APPROPRIATION AS LISTED BELOW
FUND #
BUS. UNIT #
ACCOUNT #
ACCOUNT TITLE
AMOUNT
A.
SOURCE OF
FINANCING
270
27083000
56004
EPA Brownfield Assessment Grant
$400.000
B.
USE OF
FINANCING
270
27083000
72450
Misc. Professional Services
$376.000
270
27083000
72315
Conference Expense
$4,000
270
27083000
71189 .Personnel
Transfer Charges
$20,000
270
27080000
71188
Personnel Transfer Recovery
($20,000)
7. REQUEST IS MADE TO FUND THE FOLLOWING PROJECT NOT INCLUDED IN THE CURRENT BUDGET
Please provide a description of the project, the total cost of the project, as well as justification for the
requested adjustment If you need more space, use an additional sheet and attach to this form
The appropriation for Professional Services will be for the implementation services provided under contract by Stantec
Consulting Corporation in an amount not to exceed $376,000 and will be distributed over a three year span of time. The
balance will be used for City staff time and materials.
If Council has authorized the appropriation adjustment, complete the following:
Meeting Date:
Department Head Signature:
Res No:
Attach copy of resolution to this form
8. APPROVAL SIGNATURES
Deputy City Manager/Internal Services Manager
Date
Submit completed form to the Budget Division with any required documentation
Final approval will be provided in electronic copy format
RESOLUTION NO. 2016-13
A RESOLUTION OF THE LODI CITY COUNCIL ACCEPTING THE
U.S. ENVIRONMENTAL PROTECTION AGENCY BROWNFIELDS
COMMUNITY -WIDE ASSESSMENT GRANT AND APPROPRIATING
FUNDS; AND FURTHER AWARDING THE CONTRACT FOR
BROWNFIELDS GRANT IMPLEMENTATION SERVICES TO
STANTEC CONSULTING CORPORATION, OF RANCHO CORDOVA
WHEREAS, the City of Lodi has been awarded a $400,000 Brownfields Community -
Wide Assessment (CA) Grant from the U.S. Environmental Protection Agency (US EPA); and
WHEREAS, the grant funds will be used to establish a sustainable brownfields program
that will create a comprehensive brownfield inventory, prioritize revitalization opportunities,
perform environmental site assessments, and conduct remedial action/reuse planning activities
in alignment with established community plans and objectives; and
WHEREAS, the City has entered into a Cooperative Agreement with the US EPA,
effective October 1, 2015, which includes an approved CA Work Plan and budget; and
WHEREAS, the assistance with grant implementation will be performed by
Stantec Consulting Corporation, in accordance with the Master Professional Services
Agreement for Engineering Support Services and Task Order No. 6 that was approved by
City Council on January 6, 2015; and
WHEREAS, the services performed by Stantec Consulting Corporation will be in
accordance with the scope of work and budget defined in the CA and CA Work Plan and
consistent with the contractual amount not to exceed $376,000.
NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council does hereby accept
the $400,000 Brownfields Community -Wide Assessment Grant awarded by the U. S.
Environmental Protection Agency; and
BE IT FURTHER RESOLVED that funds in the amount of $400,000 be appropriated as
shown on the attached Appropriation Adjustment Request Form; and
BE IT FURTHER RESOLVED that the Lodi City Council does hereby award the contract
for Brownfields grant implementation services to Stantec Consulting Corporation, of
Rancho Cordova, California, in an amount not to exceed $376,000.
Dated: February 3, 2016
I hereby certify that Resolution No. 2016-13 was passed and adopted by the City
Council of the City of Lodi in a regular meeting held February 3, 2016, by the following vote:
AYES: COUNCIL MEMBERS — Johnson, Kuehne, Mounce, Nakanishi, and
Mayor Chandler
NOES: COUNCIL MEMBERS — None
ABSENT: COUNCIL MEMBERS — None
ABSTAIN: COUNCIL MEMBERS — None
Th\
J NIFER FERRAIOLO
City Clerk
2016-13
1. AA#
2. JV#
CITY OF LODI
APPROPRIATION ADJUSTMENT REQUEST
TO:
Internal Services Dept. - Budget Division
3. FROM:
Joseph Wood
5. DATE:
2/3/16
4. DEPARTMENT/DIVISION: Community Development /Neighborhood Services
6. REQUEST ADJUSTMENT OF APPROPRIATION AS LISTED BELOW
FUND #
BUS. UNIT #
ACCOUNT #
ACCOUNT TITLE
AMOUNT
A.
SOURCE OF
FINANCING
270
27083000
56004
EPA Brownfield Assessment Grant
$400.000
B.
USE OF
FINANCING
270
27083000
72450
Misc. Professional Services
$376.000
270
27083000
72315
Conference Expense
$4,000
270
27083000
71189 .Personnel
Transfer Charges
$20,000
270
27080000
71188
Personnel Transfer Recovery
($20,000)
7. REQUEST IS MADE TO FUND THE FOLLOWING PROJECT NOT INCLUDED IN THE CURRENT BUDGET
Please provide a description of the project, the total cost of the project, as well as justification for the
requested adjustment If you need more space, use an additional sheet and attach to this form
The appropriation for Professional Services will be for the implementation services provided under contract by Stantec
Consulting Corporation in an amount not to exceed $376,000 and will be distributed over a three year span of time. The
balance will be used for City staff time and materials.
If Council has authorized the appropriation adjustment, complete the following:
Meeting Date:
Department Head Signature:
Res No:
Attach copy of resolution to this form
8. APPROVAL SIGNATURES
Deputy City Manager/Internal Services Manager
Date
Submit completed form to the Budget Division with any required documentation
Final approval will be provided in electronic copy format