220387501
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5 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
FEB I 2 1988
MEMORANDUM
OFFICE OF
ADMINISTRATION
AND RESOURCES
MANAGEMENT
SUBJECT: Guide for Preparing and Reviewing Superfund
Cooperative Agreements
FROM: tfarvey^GTtPipP^t^.p
Director
Grants Administration Division (PM-216F)
Paul Nadeau (.^^
Acting Director^*
Hazardous Site Control Division (WH-548E)
TO: Assistant Regional Administrators
for Planning and Management
Regions II, III, IV, VI, VII, VIII, IX
Planning and Management Division Directors
Regions I & V
Management Division Director
Region X
Waste Management Division Directors
Regions I - X
We are providing for your use and that of your staff the
recently completed "Guide for Preparing and Reviewing
Superfund Cooperative Agreements". The Guide was developed
as a joint effort between our Divisions with considerable
input from other affected offices. It is to be used to more
clearly assign responsibilities and contacts in the process
and is the most current and accurate guidance on the
inclusion of special conditions.
In order to assure the copies in your respective Regions
remain current, it is important that you notify the Chief,
Grants Policy and Procedures Branch (GPPB), Grants
Administration Division of each recipient's name and address.
Several reserved sections will be completed in the near
future and policy changes will be incorporated as they occur.
We know you will find this to be a useful tool as you
develop and manage Superfund cooperative agreements. If you
have comments for changes or enhancements, be sure to provide
D!S. Environmental Protection Agency
Region V, Library
230 South Dearborn Street
Chicago, Illinois 60604
those to the Chief, GPPB.
Attachment
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GUIDE FOR PREPARING AND REVIEWING SUPERFUND COOPERATIVE AGREEMENTS
Prepared by:
U.S. Environmental Protection Agency
Grants Administration Division
Hlth the assistance of:
Roy F. Heston, Inc.
955 L'Enfant Plaza, S.H.
Hashlngton, D.C. 20024
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TABLE OF CONTENTS
Section Page
INTRODUCTION 1
CHAPTER 1: OVERVIEW OF COOPERATIVE AGREEMENT REVIEW AND
APPROVAL PROCESS 2
1.1 SUPERFUND MEMORANDUM OF AGREEMENT (SMOA) 2
1.2 SUPERFUND COMPREHENSIVE ACCOMPLISHMENT PLAN (SCAP) ... 4
1.3 PREAPPLICATION/APPLICATION REVIEW PROCESS 4
CHAPTER 2: COOPERATIVE AGREEMENT APPLICATION, AWARD AND
AMENDMENT 6
2.1 COOPERATIVE AGREEMENT APPLICATION 6
2.1.V General Summary Information 6
2.1.2 Project Approval Information 6
2.1.3 Budget Information 7
2.1.4 Project Narrative Statement 9
2.1.5 Assurances 9
2.1.6 Attachments 11
2.2 COOPERATIVE AGREEMENT AWARD 13
2.3 COOPERATIVE AGREEMENT AMENDMENT 13
2.4 MULTI-SITE AGREEMENTS 14
2.5 CORE PROGRAM FUNDING 17
2.6 PRE-REMEDIAL COOPERATIVE AGREEMENTS 18
2.7 ENFORCEMENT PROGRAM FUNDING 18
Exhibit 1: Cooperative Agreement Review and Approval
Process 3
Exhibit 2: Model Cooperative Agreement Application 20
Exhibit 3: Model Cooperative Agreement Award 39
Exhibit 4: Model Cooperative Agreement Amendment 46
Exhibit 5: Model Multi-Site Cooperative Agreement 51
CHAPTER 3: SPECIAL MANAGEMENT CONCERNS FOR COOPERATIVE
AGREEMENTS 52
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TABLE OF CONTENTS (Continued)
Section
Page
3.1 GENERAL ASSISTANCE REQUIREMENTS 52
3.1.1 Applying for Assistance 52
3.1.2 Cost Sharing, Payments, and Determining
Allowable Costs 53
3.1.3 Recordkeeplng and Reporting 53
3.1.4 Quality Assurance Project Plan 53
3.1.5 Financial Management and Use of Funds 54
3.1.6 Property Acquisition and Management 54
3.1.7 Changing the Assistance Agreement 56
3.1.8 Project Audits and Closeout 56
3.1.9 Noncompllance Measures 57
3.1.10 Exceptions from the Regulations 57
3.1.11 Dispute Resolution 57
3.2 PROCUREMENT REGULATIONS 57
3.2.1 Responsibility for Recipients 57
3.2.2 Contractor Qualifications 58
3.2.3 Code of Conduct 58
3.2.4 Methods for Procuring Assistance 58
3.2.5 Promoting Competition 59
3.2.6 Types of Subagreements 60
3.2.7 Minority/Womens Business Enterprises 61
3.2.8 Submission of Information 61
3.2.9 Documentation 61
3.2.10 Specifications 61
3.2.11 Bonding and Insurance 62
3.2.12 Federal Cost Principles 62
3.2.13 Cost and Price Consideration 62
3.2.14 Profit 62
3.2.15 Model Subagreement Clauses 62
3.3 OTHER ASSISTANCE PROVISIONS 63
3.3.1 Debarment and Suspension 63
3.3.2 Letter-of-Credit Procedures 63
3.4 POST AWARD COOPERATIVE AGREEMENT MANAGEMENT 65
3.4.1 Post Award Management 65
3.4.2 Audit/Audit Resolution 65
CHAPTER 4: PREAPPLICATION AND ADMINISTRATIVE REVIEW CHECKLIST . . 66
APPENDIX A: Superfund Activity Code List for
Cooperative Agreements A-1
11
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(FOLD HERE)
This guide will be updated periodically as new procedures
are developed and new replacement pages will be added to
the document. Receipt of the replacement pages is necessary
to ensure that all concerned staff are operating in a current
and consistent manner. To ensure inclusion on the update
mailing list, please fill out the form below, fold on the
dotted lines as indicated, and return to the address provided
on the reverse side.
Please place my name on the Update Mailing List for the
document Guide to Preparing and Reviewing Superfund
Cooperative Agreements.
NAME
POSITION
EMPLOYER
ADDRESS
ill
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Seal here with tape,
FOLD #2
Chief, Policy and Procedures Branch
Grants Administration Division
(PM-216F)
U. S. Environmental Protection Agency
Washington, D.C. 20460
FOLD #1
XV
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INTRODUCTION
This guide 1s designed to provide an outline for .reviewers of Superfund
Cooperative Agreements to follow. The technical review for adequacy of the
proposed work. Is the responsibility of the Program staff, while the definition
of and review of adherence to administrative requirements 1s the
responsibility of the Grants Administration Division and the Assistance
Administration Units (AAU) 1n the Regions. The guidance more clearly defines
respective roles and explains the process to be followed In reviewing and
awarding a Cooperative Agreement. Use of this guide and a well-coordinated
Implementation of Regional Program Office and AAU roles will assure that each
Cooperative Agreement Is consistent with the Agency's high standard of fiscal
Integrity.
The paper reflects two recent changes In the Superfund Cooperative Agreement
process: (1) a new 90-day deadline for EPA review of these applications
(mandated by the Superfund Amendments and Reauthor1zat1on Act); and (2) the
notion that AAU staff need to become more Involved 1n the review and
development of Superfund Cooperative Agreements. Interim guidance from the
Superfund Headquarters Office suggests that Regions offer "preappllcation
assistance" to States seeking Cooperative Agreements, to ensure that
applications can be reviewed and revised within the 90-day limit. It 1s
Important that both Regional Program Office and AAU staff be Involved In the
preapplication assistance as well as the application review.
this paper offers AAU staff guidance on how to:
• Determine whether a Cooperative Agreement application
provides sufficient Information to make an accurate
assessment of the proposed project;
• Determine whether the State assurances 1n the
Cooperative Agreement application will ensure
successful completion of the proposed project; and
• Identify additional State assurances or conditions
that must be added to the application or the award
document.
The paper consists of four chapters. Chapter 1 presents a brief overview of
the Cooperative Agreement review and approval process. Chapter 2 describes
Cooperative Agreement applications, amendments, and award documents. Chapter
3 presents an in-depth discussion of special management concerns that should
be considered when reviewing Cooperative Agreement applications. Chapter 4
presents a checklist that Regional Office staff may use to guide them through
preappllcation assistance and application review processes.
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CHAPTER 1: OVERVIEW OF THE COOPERATIVE AGREEMENT REVIEH AND APPROVAL PROCESS
The process of developing a Cooperative Agreement between EPA and a State, a
political subdivision thereof, or an Indian tribe* actually begins during two
preappHcation planning phases: Superfund Memorandum of Agreement (SMOA), and
Superfund Comprehensive Accomplishments Plan (SCAP). Once the final SCAP has
been prepared, a State may submit a Cooperative Agreement application for one
or more sites Identified In the SCAP. This chapter briefly describes these
early planning phases, then discusses the Cooperative Agreement application
submlttal, review, and approval process. (See Exhibit 1) Throughout this
discussion, the appropriate roles of the Superfund Program Office and
Assistance Administration Units staff are Identified.
1.1 SUPERFUND MEMORANDUM OF AGREEMENT (SMOA)
The revised National Contingency Plan (40 CFR 300) creates, an EPA/State
Superfund Memorandum of Agreement (SMOA) to describe State •Involvement 1n
Superfund response activities and to Improve EPA/State partnerships. The SMOA
Is a written document executed by an EPA Regional Administrator and the head
of a State agency. Entering into SMOAs is not mandatory but strongly
encouraged. The SMOA Introduces the concept of "lead" and "support" agency,
which will shift depending on whether a site is EPA-lead or State-lead. It
defines the roles and responsibilities of the lead and support agency
regarding review of key documents and/or decision points in pre-remedlal,
remedial and enforcement responses. The SMOA 1s not site-specific, and will
apply to all future response actions undertaken by the designated lead and
support agencies. It is not a substitute for a Cooperative Agreement.
Instead, the site-specific Cooperative Agreements, which will specify all
technical oversight responsibilities, should be consistent with the general
oversight requirements agreed to in the SMOA.
The revised NCP also stipulates that the SMOA will describe a time frame and
process whereby EPA and the State will jointly determine priorities and lead
responsibility for pre-remedlal, remedial and enforcement responses to be
conducted during each fiscal year. During these discussions, EPA and the
State should also discuss future priorities and long-term requirements for
response.
Development of a SMOA will largely be the responsibility of the Superfund
Program Office staff and their State equivalents. However, it will be useful
if the SMOA identifies the role of Assistance Administration Unit staff and
their State equivalents in the development, implementation, and management
oversight of Superfund Cooperative Agreements. For instance, two points
should be added in the SMOA specifying that, in general, for any response
activity to be funded:
The term "State," as defined in the revised National Contingency Plan,
includes Indian tribes meeting certain requirements who wish to be
treated as States with respect to certain provisions of CERCLA. Section
300.515 of the NCP describes these requirements for Indian tribes.
Throughout this guidance, the term "State" means "State or Indian
tribes". A cooperative agreement with a political subdivision requires a
three-party agreement (EPA, .the- state, and the political subdivision).
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EXHIBIT 1:
COOPERATIVE AGREEMENT REVIEW
AND APPROVAL PROCESS
Superfund Memorandum of Agreement (SMOA)
— Lead/support agencies' roles, responsibilities are defined
Superfund Comprehensive Accomplishments Plan (SCAP)
— Project funding needs identified, approved
Cooperative Agreement Preapplication Assistance
Early Regional/State consultation on what should be in CA application
Submittal of Final Cooperative Agreement Application
— Must be approved or disapproved within 90 days
Application Review
Involves Regional Program Office and Assistance Administration Unit staff
Regional/State Consultation
— Any outstanding issues are addressed and resolved
•IHiHHHI^HBiiHH^IHIHIH^BHIHlHHHIHHHIHHHHHHHH
Cooperative Agreement Award Document/Award Offer
— Prepared by Region
Regional Administrator Approval
— The RA signs the award offer
Two Copies of Cooperative Agreement Sent to State
— State must sign the award
One Copy of Cooperative Agreement Returned to Region
— Kept on file in Regional office
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• Lead and support Agency Program Office staff are
responsible for ensuring that the response 1s
consistent with all requirements 1n the NCP (40 CFR
300).
• Lead and support Assistance Administration Unit staff
are responsible for ensuring that state-lead,
CERCLA-funded, site-specific response complies with
all provisions 1n: 40 CFR Part 2 (Public
Information); 40 CFR Part 4 (Uniform Relocation
Assistance and Real Property Acquisition for Federal
and Federally assisted programs); 40 CFR Part 29
(Intergovernmental Review of Environmental Protection
Agency Programs and Activities); 40 CFR Part 30
(General Regulation for Assistance Programs); 40 CFR
Part 32; and 40 CFR Part 33 (Procurement under
Assistance Agreements).
These two statements would Introduce the notion early In the Superfund
planning process that both the Assistance Administration and Program Office
staff at both the Federal and State levels are essential for effective program
oversight.
1.2 SUPERFUND COMPREHENSIVE ACCOMPLISHMENT PLAN (SCAP)
The SCAP 1s the official mechanism through which funding needs for proposed
Superfund activities are approved. All activities must be on the approved
SCAP to receive funding. The Superfund Program Office coordinates with the
Regional SCAP contact to ensure that Information on the SCAP Is accurate, and
that sufficient funding has been budgeted to maintain site progress. Identi-
fication of funding needs Is an EPA Superfund Program Office responsibility.
1.3 PREAPPLICATION/APPLICATION REVIEW PROCESS
EPA faces a stringent time limit for review of Superfund Cooperative Agreement
applications. To ensure that Cooperative Agreement applications are not
disapproved because of Insufficient time for review and revisions, EPA
Regional Program Office and AAU staff should provide preapplication assistance
to States Intending to submit applications. Regional Program Office staff
should request that State Program Office staff provide a preappl1 cation
outline of activities that would be included under the Cooperative Agreement.
Regional Program Office staff should review the outline and consult with the
State on how to structure the application so that 1t demonstrates compliance
with NCP requirements as well as 40 CFR 29, 30, 32, and 33. Regional Program
Office staff should also check, to make sure that the activities in the outline
are Included in the SCAP.
Regional AAU staff should also review the outline, and should contact the
State Program Office and Assistance Administration staff to discuss the
assistance requirements that they must meet (in particular, the provisions
from 40 CFR 30 and 40 CFR 33).
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Regions should Initiate preappllcation assistance a_t least two quarters before
the target quarter for funding. This will allow the State enough time to
prepare Its application.
The Cooperative Agreement review process begins when an application 1s
formally submitted by a State. The application must be dated and entered Into
GICS by the Assistance Administration Unit (AAU), which forwards 1t to the
Program Office. Section 104(d)(l)(A) of the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA), as amended by the
Superfund Amendments and ReauthoHzatlon Act (SARA), requires EPA to make a
determination on Cooperative Agreement applications within 90 days of
receipt. If an application 1s Incomplete and cannot be completed within 90
days, or If consensus cannot be reached on the terms of the Cooperative
Agreement within the 90-day limit, then EPA must disapprove the application.
Once a Cooperative Agreement application has been submitted, 1t Is reviewed by
Regional Program Office and AAU staff for compliance with technical and
administrative requirements. (Chapter 4 of this document Includes a checklist
that AAU staff should use 1n their review of Cooperative Agreement
applications.)
When the review Is completed, the Region contacts the State to discuss any
Issues pertaining to the application. Both the Program Office and AAU staff
from the Region and the State should participate 1n these discussions. If
agreement can be reached on these Issues, Regional Program Office or AAU staff
will fill out EPA Form 5700-20C or 5700-20A ("C" replaced "A"; use "A" until
supply exhausted), which functions as. the offer of award. Depending on the
nature of the application Issues, the Region may want to Include some special
conditions 1n the document. Special conditions may be added to:
• Emphasize to a State the need to comply with a
particular requirement;
• Correct deficiencies In the content of the
application; or
• Add requirements not contained In the application or
regulations.
Depending on the Region, the Program Office or AAU staff will prepare the
award package and obtain all necessary concurrences. The AAU sends the award
offer to the Regional Administrator (RA) for signature and sends two signed
copies with a cover letter to the State. After signing the offer, the State
returns one copy of the agreement to the Region's AAU (i.e., Award Official).
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CHAPTER.2: COOPERATIVE AGREEMENT APPLICATION, AWARD, AND AMENDMENT
2.1 COOPERATIVE AGREEMENT APPLICATION
To apply for a Cooperative Agreement under CERCLA, the State must use the
"Application for Federal Assistance - State and Local Nonconstructlon Pro-
grams" (EPA Form 5700-33, Rev. 11-86). The form consists of five parts, plus
attachments:
1. Part I - General Information, Signature and Certification
2. Part II - Project Approval Information
3. Part III - Budget Information
4. Part IV - Project Narrative Statement, with Scope of Work.
5. Part V - Assurances
6. Attachments
(See model Cooperative Agreement application, Exhibit 2, at the end of this
chapter).
2.1.1 Part I - General Summary Information (SF 424)
This section provides general administrative information about the applicant
and project. For example, it asks for total proposed project funding, project
start and end dates, project duration, and an administrative contact (project
manager). Detailed Instructions for completing the form appear on the form.
2.1.2 Part II - Project Approval Information
This section requires responses to eleven questions, and must be completed to
assure compliance with Federal regulations. (See "Part II" of the model
Cooperative Agreement application in this chapter). Each of the eleven
questions has a "Yes" or "No" response. For each "Yes", the State must
provide some additional Information.
EPA Regional Office reviewers must compare Information 1n Part II of the
application with other sections, such as the Statement of Work, and comments in
the Intergovernmental Review Section. For instance:
• If Item #2 (Does this assistance request require
State or local advisory, educational, or health
clearances?) has a "Yes" response, then the
Identified agency should be included in the
intergovernmental review. Similarly, if the proposed
project is covered by an approved comprehensive plan
(Item #5), then the appropriate planning agency
should also be included in the intergovernmental
review. (A "comprehensive plan" could be a land use
plan, public health plan, or environmental management
plan for a State or local government jurisdiction.)
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If the project will cause the displacement of any
Individual, family, business, or farm, a relocation
task, should be in the applicant's Statement of Work..
2.1.3 Part III - Budget Information
This section Identifies total costs for all
part of the proposed project. The Budget
sections:
activities to be
Information Part
undertaken as
Includes six
Section A:
Section B:
Section C:
Section D:
Section E:
Section F:
Budget Summary—identifies the cost per response
activity, (remedial, removal, or enforcement) to
be funded.
Budget Categories—displays detailed breakdown of
costs by phase of response (pre-remedlal,
remedial, removal, or enforcement), by site, and
by activity (PA/SI, RI/FS, remedial design,
remedial action).*
Non-Federal Resources—provides an
listing funding sources and amounts
those provided by EPA.
area
other
for
than
Forecasted Cash
Needs—projects drawdowns for
first-year budget period, by
each quarter of the
response activity.
Budget Estimates—projects funds necessary to
complete the project. For instance, if an
application is for RI/FS work, Section E is where
the applicant estimates costs for remedial design
and remedial action.
Other Budget Information—lists other
direct charges, previously
charges, and Includes a
Under Item 22 ("Indirect
section, States Indicate
rect cost rate has been
approved by the recipient's
(It is also acceptable to
s being negotiated.)
out-of-the-ordi nary
negotiated indirect
"remarks" section.
charges") of this
whether their indi
negotiated with and
cognizant agency.
include a rate that 1
A complete listing of obligation codes is available in Financial
Management of the Superfund Program, 1987. These codes are used in
the
making the award
letter of credit.
and in tracking drawdowns by the State against its
Contact the Financial Management Division for details.
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EPA Regional Office reviewers should evaluate these budget sheets for several
factors:
• Sufficient level of detail: The budget Information
sheets summarize Federal and State costs for each
proposed activity. Sections A and B of the "Budget
Information" forms 1n the model Cooperative Agreement
(Exhibit 3) show the 'appropriate level of detail for
activities. In Section B, costs for each site/
activity are further divided by object class
category. Object class categories Include personnel,
fringe benefits, travel, equipment, materials and
supplies, contractual services, construction, other
direct costs, and Indirect costs.
• Consistency with Statement of Work.: The budget
Information sheet provides summary budget figures,
while the Statement of Work (SOW) in the Project-
Narrative (Part 4) provides a detailed budget
breakdown. In the Statement of Work, cost estimates
are broken down for each activity. The aggregated
costs in the Statement of Work must match those in
the Budget Information sheets.
• State Cost Share: The State must identify both
Federal and non-Federal costs for each activity.
Section 10A(c)(3) of CERCLA requires States to share
1n the cost of remedial actions funded by EPA's
Superfund program. States are required to pay 10
percent of remedial action costs at sites that were
privately operated and owned at the time of
disposal. For facilities operated by a State or
political subdivision, States are required to pay at
least 50 percent of all response costs at the
facility (including past Fund-financed remedial
planning, remedial actions, removals, enforcement
activities).* The cost share may be in the form of
cash and/or services (i.e., in-kind contributions).
• Allowable Costs: Costs included in the application
must be allowable for payment under CERCLA.
Allowable costs are defined as those costs that are
"eligible, reasonable, necessary, and allocable."
All costs must be consistent with Section 111 of
CERCLA and with OMB Circular A-87 "Cost Principles
for State and Local Governments." Final
determination of the reasonableness of the cost
estimates in the application will be made by EPA.
SARA amended this provision. Previously, the requirement was that States
paid 50 percent of all response costs at publicly-owned facilities; and
the definition of "response" did not include enforcement activities.
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• Indirect Cost Rate: The rate for indirect costs must
be negotiated with and approved by the recipient's
cognizant agency. (It is also acceptable to include
a rate that is being negotiated.) Federal cognizant
agencies are assigned by the Office of Management and
Budget.
2.1.4 Part IV - Project Narrative Statement
This part of the application is a description of the type of response
activities to be performed by the recipient. In general, the Project
Narrative Statement Includes a site description, activities, schedule, and
milestones.
The schedule and milestones identified in the Project Narrative Statement
should be used by AAU staff to monitor the progress of that response action.
If the AAU staff notices that a milestone has been missed, he or she should
bring 1t to the attention of the appropriate Regional Program Office staff.
Because the Project Narrative Statement information can be so helpful in
monitoring a project's progress, the Regional Program Office and AAU may want
to specify a minimum level of detail, and a format that States are requested
to follow. This Regional request should be conveyed to the States during
preapplication assistance. It is suggested that Regional Program Office and
AAU staff develop guidance for States on the desired level of detail for
SOWs. This guidance could then be discussed with the States during
preapplication assistance.
The SOW describes the purpose and scope of activities to be carried out as
part of the proposed project. For each activity, the SOW should include
estimated start and completion milestones. Where appropriate, the SOW should
also identify outputs and should contain cost estimates for each activity: (1)
pre-remedial; (2) remedial; (3) removal; and (4) enforcement.
The determination of an acceptable level of detail for the Statement of Work.
will vary from Region to Region. The model Cooperative Agreement at the end
of this chapter shows one appropriate level of detail; but there may be
others, depending on Regional practices. However, it 1s the responsibility of
the Regional Program Office and AAU to make sure that the Statements of Work
have enough detail to allow the Region to evaluate whether EPA will be
"getting what it pays for."
The SOW should also include tasks for the development of a number of plans and
management reports, including a Community Relations Plan, a Quality Assurance
Project Plan, and a Site Safety Plan (if they are not already attached to the
Cooperative Agreement application).
2.1.5 Part V - Assurances
Part V of the application form identifies standard assurances to which the
recipient must agree in signing the Cooperative Agreement application form.
The recipient must:
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• Possess legal authority to apply for the award.
• Comply with Title VI of the Civil Rights Act of 1964
(P.L. 88-352), regarding:
who will benefit from the award; and
prohibiting discriminating employment practices.
• Comply with requirements of provisions of the Uniform
Relocation Assistance and Real Property Acquisitions
Act of 1970 (P.L. 91-646).
• Comply with provisions of the Hatch Act, which limit
the political activity of employees.
• Comply with the minimum wage and maximum hours
provisions of the Federal Fair Labor Standards Act.
• Establish or maintain safeguards to prohibit
employees from using their positions for private gain
for themselves, their families, their businesses, or
others with whom they have ties.
• Give the recipient agency and. the Comptroller General
access to all records, books, papers, or documents
related to the grant.
• Comply with all requirements imposed by the Federal
award agency.
• Ensure that facilities under Its ownership, lease, or
supervision that are used to carry out the project
are not listed on EPA's 11st of "Violating
Facilities."
• Comply with the flood insurance requirements of
Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234), which pertains to the purchase
of flood insurance.
Although these assurances are clearly identified in the application form, EPA
Regional Office staff may choose to emphasize one or more of these in the
"special conditions" section of the award offer (5700-20 C/A).
A variety of other assurances that do not appear in the application form
should be included as special conditions, e.g., not to award subagreements to
firms/individuals on EPA's Master List For Suspended, Debarred, and
Voluntarily Excluded Persons. These requirements are discussed 1n Chapter 3.
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2.1.6 Attachments '
There should be at least three attachments to a Cooperative Agreement
application:
• A certification letter from the State Governor or
Attorney General;
• Evidence of compliance with the State's
Intergovernmental review process; and
• A procurement system certification form.
Certification Letter
The State must have submitted a letter to EPA with the application package
certifying that the State agency submitting the application has the legal and
administrative authority to enter into a Cooperative Agreement with EPA and to
make any CERCLA Section 104 assurances (e.g., state cost share) that are
necessary to -complete the project. The letter may be from the State's
Governor or Attorney General.
The letter does not need to be site-specific; a State may prepare one letter
applying to all of its NPL sites and submit a copy with each application.
However, the State has the obligation to inform EPA of any changes in the
State's law or policy that affects its certification letter and to provide a
new certification letter if needed.
Intergovernmental Review (E.G. 12372) Requirements
The State lead agency must send out a Cooperative Agreement application to the
state's SPOC for review and comment by appropriate State and local agencies.
The subsequent, formal application to EPA must evidence compliance with the
state's process before EPA can offer an award. Executive Order 12372 allows
States to establish their own process for reviewing Federal financial
assistance proposals. Under this order, States are required to:
(1) Inform each Federal agency which of its programs are
Included in the State review process;
(2) Provide assurances that they have consulted with
local officials before revising the list of selected
programs that fall under State Intergovernmental
review processes;
(3) Submit official State process recommendations (if
any) to EPA through the State's "Single Point of
Contact."
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If States do not develop their own review process, then existing consultation
requirements from other statutes continue In effect, (I.e., Sec. 204, Demon-
stration Cities and Metropolitan Development Act; Sec. 401, Intergovernmental
Cooperation Act of 1968).
EPA win award a Cooperative Agreement only after receipt of Intergovernmental
review comments, after receipt of documentation that a review was conducted
and there were no comments, or after the review period ends and no comments
were received. The model Cooperative Agreement application has an example of
an Intergovernmental review package.
States are responsible for ensuring that applicants comply with the State's
Intergovernmental review requirements. AAU staff should refer to the Inter-
governmental review requirements of a particular State on file 1n AAU's
office, and should review the Cooperative Agreement application with this 1n
mind. EPA's Administrative Assistance Manual provides further guidance on
this (see Chapter 6 of that document).
Procurement System Certification Form
Each application must be accompanied by a completed Procurement System
Certification (EPA Form 5700-48). The State must Include a signed original of
this form In Its application package. To complete this form, the State must
determine whether its procurement system meets the requirements of EPA's
procurement regulation (40 CFR Part 33). A responsible official must certify
on the form whether the State's procurement system meets the requirements of
this regulation.
If the State does not certify its system, the State must Indicate that Its
procurement activities will be conducted in accordance with the requirements
of Part 33. States that do not certify are subject to EPA review and pre-
award approval of all proposed procurement actions. States are subject to the
provisions In 40 CFR 33, Appendix. A if they have not certified their pro-
curement system. EPA reserves the right to review a recipient's procurement
system or any State procurement action funded wholly or in part by the Agency
regardless of whether the State has certified its procurement system.
A State's certification is valid for two years or for the length of the
project period in the award, whichever is greater, unless the recipient
substantially changes its procurement system. If the State has previously
provided its required certification, a responsible official should complete
Part A of the Certification Form, indicating the month and year in which this
certification was submitted.
The procurement requirements in 40 CFR 33 are numerous and fairly complex. If
a State submitting a Cooperative Agreement application has self-certified its
procurement system, the AAU should try to determine whether: (1) the State
has a thorough understanding of these provisions; and (2) the State pro-
curement regulations actually have all of the necessary provisions found in 40
CFR 33. AAU staff can make these determinations by contacting State pro-
curement administration staff to discuss these concerns during preapplication
assistance, and/or during review of the Cooperative Agreement application.
Here again, the checklist in Chapter 4 should assist AAU staff in these
efforts.
-12-
-------
2.2 COOPERATIVE AGREEMENT AHARD DOCUMENTS
When the State and EPA have resolved all of the Issues pertaining to the
Cooperative Agreement application, the EPA fills out EPA Form 5700-20C/A, "EPA
Assistance Agreement Amendment," which replaces the 5700-20A "EPA Assistance
Agreement". This form, when properly completed and signed, serves as the
Cooperative Agreement award document. (See model award document 1n Exhibit 3
at the end of Chapter 2). The Information in the award document corresponds
with the model application included in this Chapter. It should be noted that
EPA Form 5700-20C can serve as the award document for a new Cooperative
Agreement and can be used to amend an existing Cooperative Agreement by adding
or removing funds. When the form is being used for a new award (as in this
example), lines 30 through 38 on page 1 will have no entries 1n the "Former
Award" column. Only the second column ("This Action") needs to be filled in
for new awards.
Part I of the award document requires EPA to provide some basic information
about the project. The requested Information Includes: project manager's name
and telephone number; statutory authority; regulatory authority; description
of project; location of project; budget period; and amount of award.
Part II requires EPA to provide Information on the approved budget. Because
the model award document in Section 2.2 covers RI/FS work., only Tables A
("Object Class Category') and B ("Program Element Classification") are filled
in. Table C calls for fairly detailed construction cost estimates.
Part III of the award document provides space for EPA Regional Offices to add
any special conditions that they deem necessary. This is determined jointly
by Assistance Administration Unit and the Regional Program Office staff. The
example Illustrates that, even though the State had a fairly complete appli-
cation, EPA thought it prudent to include a few more conditions. In this
example, EPA decided that the oversight role needed to be emphasized; all of
the special conditions pertain to EPA's monitoring and oversight responsibi-
lities. As mentioned previously, possible reasons for adding special
conditions Include: (1) to emphasize a particular requirement; (2) to correct
a substantive deficiency In the Cooperative Agreement application; or (3) add
requirements not contained In the application or regulations. Examples of
special conditions that apply to all EPA financial assistance programs and
that may be added by the AAU staff are found In Chapter 3. Other fiscal
provisions unique to the Superfund program may also be required.
2.3 COOPERATIVE AGREEMENT AMENDMENTS
A model amendment document at the end of this chapter (Exhibit 4) shows how
EPA Form 5700-20C or 5700-2QA is used to amend Cooperative Agreements. The
example is based on the premise that the project identified in Section 2.1
(the original application) is now moving into the remedial design phase.
Part I of the form is filled out differently if 1t is used to amend an
existing Cooperative Agreement. In remedial cases, all three columns should
be filled out for lines- 30 through 38. This gives the Regional Office a
complete picture of original, amended, and total award. In Part II of the
form, only Tables A and B are filled in, since the proposed new work does not
cover construction.
-13-
-------
The special conditions are especially Important on a Cooperative Agreement
amendment, particularly if the project is moving into a new phase. For
example, projects proceeding into the remedial design and remedial action
phases may require one or more of the special conditions noted below:
• The State will submit its remedial design to EPA for
review.
• The State will provide for all O&M for the life of
the remedy.
• The State will pay 10 percent of remedial action
costs at privately owned and operated sites. (For
sites operated by a State or political subdivision
thereof, the State will pay 50 percent of all
response costs).
• If the remedial action includes off-site treatment,.
storage, or disposal of hazardous substances, the
State will find a RCRA facility to handle these
substances that is acceptable to EPA.
• The need to identify private property for response
purposes may raise the issue of acquiring an interest
in the property. The Assistant Administrator for the
Office of Solid Waste and Emergency Response, with
concurrence of the General Counsel, will determine
when the purchase of a property interest is
necessary. If such a determination is made, the
State must acquire the interest before the
fund-financed action can begin.
• Beginning October 17, 1989, the State will be
required to assure EPA that it has adequate capacity
to dispose of or treat all hazardous wastes expected
to be generated by that State in the next 20 years.
(States may enter into inter-regional compacts to
assure this capacity.)
It must be emphasized that the conditions used in this example may not be
required for every site. The EPA Project Office staff must make a judgment
about whether site-specific circumstances warrant the need for any special
conditions. The distinction between conditions that all applicants must
comply with and those that might be applied on a case-by-case basis is
explained more fully in Chapter 3.
2.4 MULTI-SITE/MULTI-ACTIVITY COOPERATIVE AGREEMENTS (MSCA)
An MSCA is an "umbrella" Cooperative Agreement that, under one funding
document, may include several response activities at more than one site within
a State. This concept provides States with the flexibility to select from a
-14-
-------
range of options In developing MSCAs covering State-lead projects and/or State
participation in Federal-lead projects. Although all costs must be accounted
for on a site-specific basis, one important attribute of an MSCA is the ease
with which obligated funds may be transferred among activities and/or sites
covered within the same MSCA.
An MSCA may be developed either as a new Cooperative Agreement or by adding
several sites/activities to an existing, site-specific Cooperative Agreement.
After the Initial award, MSCAs can be amended at any time to include funds for
additional sites and/or activities. Two or more existing single-site
Cooperative Agreements can be combined to create an MSCA by closing out one
(or more) agreement(s) at the conclusion of a remedial activity and then
amending the remaining single-site Cooperative Agreement.
An MSCA can fund various activities within the following program categories:
• Pre-remedial
• Remedial
• Removal
• Enforcement
Generally, MSCAs must follow the same requirements as single-site Cooperative
Agreements. The following paragraphs describe special requirements relating
to MSCAs.
Intergovernmental review notification of various activities can be handled by
a single letter, which specifies site names and locations covered, the
problems at each site, and likely activities.
In applying, EPA Form 5700-33 (Rev. 11-86) is used. A separate budget sheet
1s required for each site. Separate project narrative statements may be
needed depending on the activities covered. Site management, accounting, and
other procedures do not vary significantly from single-site agreements.
Funds cannot be shifted between Cooperative Agreements without undergoing a
formal deobligation/reobligation process. It is particularly difficult if the
shift occurs in a fiscal year later than the one in which the original
obligation was made. In such a case, the funds are classified as carryover
and must be recertified to the allowance holder before they can be
reobligated. With single-site Cooperative Agreements, the need for
recertification made it difficult to move funds from a site where actual costs
were less than projected to another where additional funds are required.
MSCAs, however, allow the shifting of funds among sites and activities. EPA
does not require formal deobligation of funds for accounting changes under an
MSCA 1f the activity or site to which funds are being moved is clearly
encompassed by the scope of the MSCA. This is because the use of the funds is
still considered to be for the purpose of the initial obligation. Therefore,
with the Award Official's approval (via a formal amendment), funds within an
MSCA may be transferred from:
-15-
-------
• One site to another site in the MSCA; or
• One activity at a site to another activity at that site
if the second activity is included in the MSCA.
States need not receive funding for all sites/activities in the initial MSCA
award for those sites/activities to be within the scope of the MSCA and,
therefore, to qualify for potential transfer of funds.
Transfer of funds between sites or activities within an MSCA must be
accomplished through the Cooperative Agreement amendment process since funds
are obligated on a site-specific/activity-specific basis (except for
pre-remedial activities). While this will result 1n a financial transaction
that appears to be deobllgation/reobligation, it will not be reported as such
and will not require recertification of funds to the allowance holder. The
AAU is responsible for developing the amendment and ensuring that the amounts
proposed for transfer have not been drawn down or expended by the State. A
different Document Control Number (DCN) must be assigned to each amendment to
ensure that the date of the amendment is recorded in the EPA Financial
Management System, thus allowing site activities to be tracked. All
cost-sharing is site-specific. State costs incurred at one site may not be
used to meet the State's cost-sharing obligation at another site.*
Because of the financial advantages associated with MSCAs, both the State and
the Superfund program staff need the AAU to monitor whether the addition of
more sites or activities to a Cooperative Agreement makes sense. The
usefulness of an MSCA can be quickly eroded if the administrative
responsibilities associated with proper accounting (obligation and drawdown)
and recordkeeping become a burden to both EPA and the State. Therefore, AAUs
must work closely with the program staff to ensure that MSCAs reflect a
logical progression of work and responsibilities. For instance, one MSCA may
contain the pre-remedial activities that a State is performing; another may
contain all the management assistance activities associated with State
Involvement during a Federal-lead response; another may contain remedial
Investigation/feasibility studies at several sites; another may cover remedial
design and remedial action activities (including State cost-sharing). (See
MSCA Model, Exhibit 5.)
Site-Specific Accounting
Since EPA seeks to recover costs for Fund-financed response actions,
management of Superfund dollars requires a detailed accounting structure. A
State's MSCA application must allocate all projects costs to a site and
activity (RI/FS/RD, etc.) except for pre-remedial work, which is handled
differently. This should be done in two ways. First, the budget sheets in
the application should display the Federal and non-Federal cost of the project
Note: Statutory credits earned at one site may be used to offset the cost
share required at another site ire some circumstances. CERCLA credit
provisions are complex; AAUs should work closely with FMOs and
program staff when credit questions arise.
-16-
-------
by site and activity; second, the award document should obligate Federal funds
by site and activity.
The Application
For pre-remedlal activities, the budget categories 1n Section B of Form
5700-33 must be broken Into separate activities. Sites are listed separately
1n the MSCA application. The award of funds for this phase of response 1s not
done by site but rather by activity only.
For remedial, removal, and enforcement activities the application must reflect
the budget for each phase of response at each site separately. For example,
site xyz/RI/FS or site xyz/RD or site xyz/RA. For multi-site cooperative
agreements, the display might be a combination of sites and activities, but
each must still be displayed separately.
The Award Document
Funds are obl-igated using EPA's 10-digit account number. See Figure 1.
States are not allowed to draw funds from one account to cover expenses for
another phase of response, or in an MSCA at another site, without the Award
Official's approval. The letter of credit assurances/special conditions for
each Superfund Cooperative Agreement must be followed.
Cost Sharing
As for single-site Cooperative Agreements, states are required to share in the
cost of response as follows:
• 10 percent of the remedial action for privately owned
and operated sites;
• 50 percent of all response costs for publicly operated
sites; the 50 percent cost share for previously
fund-financed activities is required at the time
remedial action is funded; and
• Statutory credits may be used to offset this required
assurance; and, although advance match is no longer
permitted, pre-SARA agreements with advance match will
be honored. AAUs should refer to program guidance and
FMD guidance on credits if the State wants to use
credit/advance match.
2.5 CORE PROGRAM COOPERATIVE AGREEMENTS
(Reserved)
-17-
-------
2.6 PRE-REMEDIAL COOPERATIVE AGREEMENTS
(Reserved)
2.7 ENFORCEMENT PROGRAM FUNDING
(Reserved)
-18-
-------
FIGURE I
SUPERFUND ACCOUNT NUMBER EXAMPLE
te
Aeaprt Numbaf
1965
Superfuna P'ogrim EI«m«nT
Allowance Hotd»r * R«gior 3
Regional ld»ntifi«r , Resoonsibiiity
Activity Cod« .. ..
Sita/Spill Identifier Code
-19-
-------
EXHIBIT 2
MODEL COOPERATIVE AGREEMENT APPLICATION
-20-
-------
FEDERAL ASSISTANCE
1. TYPE
OP
SUBMISSION
Q NOTICE OF WTENT (OPTIONAL)
D PREAPPUCATION
APPUCAT1ON
2. APPU-
CANTS
APPLI-
CATION
CENTV
FKR
•.NUMBER
b.DATE
IW MOM*
86 2 10
3.-STATE
APPU.
CATION
CENTV
F1ER
M7TXTOBE
ASSIGNED
•Y STATS
•L NUMBER
b. DATE
ASSIGNED
10
4. LEGAL APPLICANT/RECIPIENT
•. A**** NOT Dept. of Water Resources
i* Environmental Services Division
cSkwi/p.o.BO« Ecology Building, Room 2002
&oxy Help •.coiMy Sand
tsiM Euphoria o,apcoo». 00013
h. Comet PranfNMt |_.G. Smith
DWR (613^555-1003
9. EMPLOYER IDENTIFICATION NUMBER (EM)
e.
PRO-
GRAM
(FnmCFDA}
•.NUMBER 1 6 | 6| * | 8 1 0| 2
MULTIPLE D
D. TITLE Hazardous Substanci
Response Trust Fund
7, TITLE OF APPLICANTS PROJECT (UM MCton IV of Mi term to prevW* • «jmnwy tto«uipUun of to
t. TYPE OF APPLICANT /RECIPIENT
Albatross Chemical Co., Hazardous Waste Site
Remedial Investigation, Feasibility Study
fiMtr
9. AREA OF PROJECT IMPACT (N*ma •/cum. tmaha. mm. «t>
Toxland, Seaside, Hilltop (cities),
all in Sand County
10. ESTIMATED NUMBER
OF PERSONS BENEFTONQ
65,000
11. TYPE OF ASSISTANCE
12.
PROPOSED FUNDING
a FEDERAL
b. APPLICANT
•.OTHER
Totf
301.999.oo
.00
.00
.00
.00
301,999.00
13.
CONGRESSIONAL DISTRICTS OF:
14. TYPE OF APPLICATION
«. APPLICANT
2
15. PROJECT START
it 86 09 01
It. DATE DUE TO
FEDERAL AGENCY I
b, PROJECT
IT. TYPE OF CHANGE Iff Mtm
1t. PROJECT
DURATION
N/A
24
-1> N/A
IB. FEDERAL AGENCY TO RECEIVE REQUEST
U.S. EPA, Region XII
«. ORGANIZATIONAL UNIT (IF APPROPRIATE)
Suoerfund Branch
20. EXISTING FEDERAL GRANT
CENT1FICATON NUMBER
b. ADMINISTRATIVE CONTACT I* KNOWN)
Joseph Klutz
N/A
ADDRESS 999 west 57th Street
Lanview, Euphoria 00014
22.
THE
APPLICANT
CERTIFIES
THAT*
To *w b«« ol tiff krtr**dQf wtd t*»*,
ft. YES. THIS NOTICE OF INTENT/PflEAPPUCATION//
EXECUTWEORD6R-12372 PROCESS FOR REVIEW ON;
21. REMARKS ADDED
I WAS MADE AVAILABLE TO THE STATE
b. NO. PROGRAM IS NOT COVERED BY E.O. 12372 D _
OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW D
23.
REPRE-
SENTATIVE
I TYPED NAME AND TTOE
Heidi M. Kleen, Director
b.»QNATUR£
24. APPLJCA-
TION
RECEIVED It
r^» ^^_^ ^^
C^ ^^BJM OT7
25. FEDERAL APPLICATION IDENTIFICATION NUMBER
28. FT3ERAL GRANT DENTIFICATKM
O
27. ACTION TAKEN
Q 4. AWARDED
Ob. REJECTED
Qt RETURNED FOR
AMENDMENT
& RETURNED FOR
tO. 12372 SUBMISSION
BY APPLICANT TO
STATE
Q •• DEFERRED
O I WITHDRAWN
FUNDING
•.FEDERAL
b. APPLICANT
c. STATE
tf. LOCAL
•- OTHER
TOTAL
ao
ao
ao
ao
ao
ao
2t. ACTION DATE*
1t
31. CONTACT FOR ADOmONAL INFORMA-
TION (Nun* «W *W*Ht mumttr)
32.
ENDING
DATE
STARTING
DATE it
Imr
1t
33. REMARKS ADDED
Y« D NO
EPA Form 5700-33 (Rev. 11-86) Previous editions are obsolete.
STANDARD FORM 424 PAGE 1
-------
PART II
PROJECT APPROVAL INFORMATION
Form Approved.
OMB No. 2030-0020
ApprovaLexpires 7-31-89
Itam 1.
Does thit assistance request Suit, local, regional, or other priority
rating?
Nama of Govemi
Priority Rating
U.S. EPA
i n • __ • . , i j
l rrlurUy L
.No
(already listed)
Item 2.
Does this assistance request require State or local advisory, edu-
cational, or health clearances?
Nama of Agancy or
Board
.Yet
.No (Atttch Documfnationt
(Note: If required with
comments; submittal by State process),
Itam 3.
Does this assistance request require clearinghouse review in ac-
cordance with Executive Order 12372?
Yet
.No
Itam 4.
Does thit a'uittanoa rwquatt require Stata, local, ragional or other
planning aporoval?
.Ya«
.No
Nama of Approving Agency.
Itam 5.
It tha proposed protect covered by an approved comprehensive
plan?
.Yai
.No
Check ona: Stata O
Local O
Ragional D
Location of Plan __
Itam 6.
Will the assistance raquattad atrva a Fadaral inttallation?
.Yai
No
Name of Fadaral in«t«n»tinn
Fadaral Population banaltting from Projact ,
Item 7.
Will tha aniitanea raquattad be on Federal land or initallation?
-Yet
.No
Name of Federal Installation ,
Location of Federal Land _
Percent of Project ______
Item!.
Will tha auifUnce raquettad haw an Impact or effact on the See instruction! for additional information to be provided.
environment?
.Yet
.No
No negative impact.
Item 9.
Ha* tha protect for which aninanca It requetted cauted, tinea
January 1, 1971. or will it cauta, tha displacement of any individual,
family, butinen, or farm?
.Yes
.No
Number of:
Individual*.
Families __
Hem 10.
It there other related assistance on this protect previous, pending, Sae instructions for additional information to be provided.
or anticipated?
.Yet
.No
ham 11.
It project In a Oattgnatad Flood Hazard Ana?
-Yet
.No
EPA Form 5700-33 (Rev. 11-86) Previous editions are obsolete.
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Form Approved.
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Approval expires 7-31-69
bgv • SECTION B - SCHEDULE • - BUDGET CATEGORIES
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Form Approved.
OMB No. 2030-0020
Approval expires 7-31 -69
PARTY
ASSURANCES
The Applicant agrees and certifies that he or she will comply with the regulations, policies, guidelines, and
requirements, including OMB Circulars No. A-102 and A-87, and Executive Order 12372, as they relate to
the application, acceptance, and use of Federal funds for this Federally assisted project. Also, the Appli-
cant agrees and certifies with respect to the grant that:
1. H possesses legal authority to apply for the grant; that
a resolution, motion or similar action has been duly
adopted or passed as an official act of the applicant's
governing body, authorizing the filing of the applica-
tion, inctnotng" all understandings and assurances
contained therein, and directing and authorizing the
person identified as the official representative of the
applicant to act in connection with the application and
to provide such additional information as may be
required.
2. It will comply with Title VI of the Civil Rights Act of 1964
(P.L. 88-352) and in accordance with Title VI of that
Act, no person in the United States shall, on the ground
of race, color, or nation origin, be excluded from
participation in, be denied the benefits of, or be
otherwise subjected to discrimination under any pro-
gram or activity for which the applicant receives
Federal financial assistance and will immediately take
any measures necessary to effectuate this agreement.
3. It will comply with Title VI of the Civil Rights Act of 1964
(42 USC 20000) prohibiting employment discrimina-
tion where (1) the primary source of a grant Is to
provide employment or (2) discriminatory employment
practices will result in unequal treatment of persons
who are or should be benefiting from the grant-aided
activity.
4. It will comply with requirements of the provisions of the
Uniform Relocation Assistance and Real Property
Acquisitions Act of 1970 (P.L 91-646) which provides
for fair and equitab'e treatment of persons displaced
as a result of Federal and federally assisted programs.
5. It will comply with the provisions of the Hatch Act which
limit the political activity of employees.
6. It win comply with the minimum wage and maximum
hours provisions of the Federal Fair Labor Standards
Act, as they apply to employees of institutions of higher
education, hospitals, other non-profit organizations,
and to employees of State and local governments who
art not employed In Integral operations in areas of
fraditional governmental functions.
7. H wlH establish safeguards to prohibit employees from
u*lng their positions for a purpose that is or gives the
appearance of being motivated by a desire for private
gain for themselves or others, particularly those with
whom they have family, business, or other ties.
8. It will give the grantor agency and the Comptroller
General through any authorized representative the
access to and the right to examine all records, books,
papers, or documents related to the grant.
9. It will comply with all requirements imposed by the
Federal grantor agency concerning special require-
ments of law, program requirements, and other ad-
ministrative requirements.
10. It will Insure that the facilities under its ownership,
lease or supervision which shall be utilized in the
accomplishment of the project are not listed on the
Environmental Protection Agency's (EPA) list of violat-
ing Facilities and that it will notify the Federal grantor
agency of the receipt of any communication from the
Director of the EPA Office of Federal Activities indicat-
ing that a facility to be used in the project is under
consideration for listing by the EPA.
11. It will comply with the flood insurance purchase
requirements of Section 102(8) of the Flood Disaster
Protection Act of 1973, Public Law 93-234, 87 Stat.
975, approved December 31, 1976. Section 102(a)
requires, on and after March 2,1975. the purchase of
flood insurance m communities where such insurance
is available as a condition for the receipt of any Federal
financial assistance for construction or acquisition
purposes for use in any area that has been identified
by -he Secretary of the Department of Housing and
Urban Development as an area having special flood
hazards.
12. It will comply with all applicable requirements o'
Section 13 of the Clean Water Act Amendments of
1972 (P.L. 92-500) if the grant is awarded urder any
grant authority of that Act. which provides that no
person in the United States shall, on the ground of sex
be excluded from participation in, be denied the
benefits of, or be otherwise subject to discrimination
under any program or activity under the said Clean
Water Act Amendments for which the applicant re-
ceives fmancia1 assistance and will take all necessary
measures to effectuate this agreement.
EPA Form 5700-33 (Rev. 11-86) Previous editions are obsolete.
: 1.2OF ta
-------
ALBATROSS CHEMICAL CO., SITE HISTORY AND INVESTIGATION OBJECTIVES .
Background
The Smith Road facilities of the Albatross Chemical Company, located near
Toxland 1n Sand County, were constructed 1n 1968. The plant produced
arsenic-based herbicides such as monosodlum methylarsenate (MSMA) along with a
wide spectrum of phenolic and amine-based herbicides. The arsenic-based
product of MSMA and the raw materials required for Its production are the
major sources of the problems at Albatross.
During the plant operations, both raw and finished containerized materials
were stored 1n the open, on the ground. These materials subsequently
spilled/leaked Into the surface soils. In addition, the spread of arsenic
materials outside of the process areas occurred in June 1976, when rainfall
events caused the wastewater ponds to overflow the plant site.
Although the perimeter dikes initially contained the wastewater on site,
subsequent sampling indicated overflows and seepage to the adjacent drainage
ditches, which discharged into Brays Bayou. These discharges of arsenic waste
water led to litigation between the State and Albatross Chemical Company. To
solve the wastewater problems, the company applied to the Department for an
injection well permit in September 1978. The Department requested proof of
subsurface ownership, which Albatross supplied in the summer of 1979. The
hearing on the application convened March 11, 1980 and closed on July 31,
1981. In October 1981, Albatross declared bankruptcy under Chapter 7. The
site was left flooded with arsenic-contaminated wastewaters.
Present Status
An emergency action by EPA 1) dewatered the site, 2) filled in the ponds with
contaminated soils, 3) temporarily capped most of the plant site with 6 Inches
of clay, and 4) added topsoil and seed. Currently, ground water and surface
water contamination have been recorded at the site. It is anticipated that
erosion of the clay could create an air problem of arsenic dust particles.
Investigation/Feasibility Plan Objectives
The objectives of the investigation study are to:
1. Identify target receptors (population at risk, sensitive ecosystem,
threatened resources).
2. Establish rate and direction of migration (if any) of wastes from site.
3. Determine local geological conditions, hydrology, and site suitability.
4. Establish waste characteristics and volumes in order to determine
possibilities for reuse, treatment, or destruction.
The objectives of the feasibility study are to:
-28-
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1. Develop and evaluate alternative viable remedial measures considering
economic feasibility, technology feasibility, environmental impacts,
regulatory constraints, and timeliness of completion.
2. Develop technological feasibility through data review and bench/pilot
testing.
3. Determine operations and maintenance options (including cost) for the
alternative remedial measures considered.
Structure
The remedial investigation activities described in the attached work, scope
will be undertaken by the Department directly or by contract. However, during
the course of the project, some changes may be required as each activity is
completed and more is learned about the condition of the site. Such changes
1n the work plan must be approved by the Department and EPA. Only changes
that are considered to be significant by the Department and EPA Project
Officers will require an Amendment to this Cooperative Agreement. EPA and the
Department each agree not to release any information gathered or decisions
made as a result of the investigation activities carried out pursuant to this
Agreement prior to consultation with the other party.
This program Includes extensive review of existing data, followed by
identification of missing data elements prior to actual data collection and
evaluation. Following the submission of the site investigation report, a
decision will be made by EPA in consultation with the State as to the severity
of the problem and the need for further actions at this site. If problems are
Identified, the EPA will notify the State to proceed with specific feasibility
studies designed to address said problems.
Authorization to Execute Cooperative Agreements and Contracts
The 67th Euphoria Legislature enacted Subchapter H into the Euphoria Water
Code, authorizing the Euphoria Department of Water Resources (the Department),
to enter into contracts and cooperative agreements with the federal government
to carry out removal and remedial actions under Section 104(c) (3) and 104(d)
(1) of CERCLA. Subchapter H also established the Disposal Facility Response
Fund, currently at 5.6 million dollars, to provide for the State's required
matching funding. In addition, Subchapter H also authorizes and requires the
Department:
1. To assure future maintenance of the removal and remedial actions is
provided for the expected life of those actions as determined by the
federal government;
2. To assure the availability of a hazardous waste disposal facility
acceptable to the federal government that complies with Subtitle C of the
federal Solid Waste Disposal Act (42 U.S.C. 6921 et seq.) for any
necessary off-site storage,, destruction, treatment, or secure disposition
of the hazardous substances, pollutants, or contaminants; and
-29-
-------
3. To assure payment by the State of:
a. 10 percent of the costs of the remedial actions. Including 1001 of
maintenance; or
b. at least 50 percent of the costs as determined appropriate by the
Federal government, taking Into account the degree of responsibility
of the State for any amount spent 1n response to a release at a
disposal facility that was operated by the State or political
subdivision.
Finally by letter of February 8, 1986 to Walter L1ly, Regional Administrator,
U.S. EPA Region XII, Governor Tree formally designated the Department as the
lead agency authorized to enter Into cooperative agreements and contracts
under Section 104 of CERCIA. Copies of Subchapter H, the Department's
appropriations relating to the Disposal Facility Response Fund, and Governor
Tree's February 8, 1986 letter are enclosed as Attachment I.
Time and Personnel Schedules
The time schedule presented in this application begins following the execution
of a contract between the Department and the selected contractor. It is
estimated that it will take approximately 120 days from the date of award
until a contract is negotiated with the selected contractor. In the interim,
the Department will initiate certain chargeable management activities and work
tasks necessary to comply with the Cooperative Agreement.
-30-
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DETAILED BUDGET BREAKDOWN
COST BREAKDOWN - ALBATROSS CHEMICAL CO. SITE
RI/FS
PERSONNEL COSTS
Management Activities
Position
Hydrologist IV
Hydrolog1st/Eng,
Hydrologist/Eng.
Hydrolog1st/Eng.
Hydrologlst/Eng.
Hydrologist/Eng.
Admin. Tech IV
Hydrologist II
Admin. Tech I
Annual Salary
Work Years
III
III
III
III
I
$ 30,744
32,844
32,844
32,844
32,844
26,088
25,248
28,800
14,052
.11
.23
.16
.06
.06
.16
.10
.18
.06
Total Personnel Cost
Fringe Benefits (? 251
Indirect Costs § 20%
Costs
381.84
554.12
255.04
970.64
970.64
174.08
524.80
184.00
843.12
$32,858.00
8,215.00
6,572.00
$ 3,
7,
5,
1,
1,
4
2,
5,
TRAVEL COSTS
Title
Hydrolog1st/Eng. Ill
Hydrologist IV
Hydrologist/Eng. Ill
Hydrologist/Eng. I
Hydrologist II
Admin. Tech IV
Vehicle rental/fuel
Origin/Destination
Euphoria/Confusion
Euphoria/Confusion
Euphoria/Confusion
Euphoria/Confusion
Euphoria/Confusion
Euphoria/Confusion
5
2
8
6
5
5
Costs
725
330
2,750
2,550
725
825
2,000
Total Travel Costs
$ 9,905
EQUIPMENT COSTS
Equipment
Air packs (2)
Containment Suits (2)
Air Sampling Kit (1)
Dally Usage Fee
$ 5
$10
$20
(2)
(2)
No Days
Total
60
60
60
Equipment Costs
Cost
$ 600
1,200
1.200
$3,000
-31-
-------
SUPPLIES
Postage $ 500
Locks (6) 50
Disposal safety equipment (40 man-days) 3,000
Camera 200
Fire Extinguisher 50
Chemical Manuals (2) 100
Sampling Equipment: sample jars 25
sample vials 50
teflon liners 50
bailers (6) 300
sample tags 25
packaging 150
Total Supplies Costs 600
$4,500
OTHER COSTS
Publication/Document Fees $1,000
Reproduction 800
Long Distance Telephone 1.200
Total Other Costs $3,000
CONTRACTUAL COSTS
Facilities (offices, equipment, station) &
Services (water, utilities, etc.) $22,600
Worker Safety Plan 6,250
Site Survey 4,600
Determine depth of soils contamination 6,500
Establish Surface Water Quality 5,000
Geotechnical Investigation 168,999
Report Findings 20,000
Total Contractual Costs $233.949
TOTAL COST INVESTIGATION 301.999
-32-
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STATE ASSURANCES
The Euphoria Department of Water Resources 1s the designated State agency
responsible for implementing the cooperative agreement. The Department
provides the following assurances:
(1) It will agree to the following conditions of letter of credit financing:
(a> Cash drawdowns will occur only when needed for disbursements.
(b) Timely reporting of cash disbursements advance and balances will be
provided, as required by the EPA Letter of Credit Users Manual
(c) The same standards of timing and reporting will be Imposed on
secondary recipients, if applicable.
(d) When a drawdown under the letter of credit occurs, the recipient
will show on the voucher (Form TFCS-5805) the cooperative agreement
number, the appropriate EPA account number, and the drawdown amount
applicable to each site/activity account. The eighth digit of the
account number (see Item 39, page 1 of the Cooperative Agreement) is
the code to the appropriate activity assignment:
L - Remedial Investigation/Feasibility Study
N - Remedial Design
R - Remedial Action
J - Pre-remed1al Activities
S - Operation and Maintenance
I - Removal Actions
3 - State Liaison
7 - General Support and Management
(e) When funds for a specific activity have been exhausted but the work
under the activity has not been completed, the State will not draw
down from another activity or site account. At the request of the
recipient, the EPA Award Official may cause funds from one activity
to be transferred to another.
(f) Funds remaining in an account after completion of an activity may be
either returned to EPA or adjusted to another activity or site, at
EPA's discretion.
(g) When an activity is completed, the State will submit a Financial
Status Report (Standard Form 269) within 90 days to the EPA Award
Official.
(h) The State will also submit the Standard Form 269 within 90 days
after the close of each budget period. If the budget period is
longer than one year, the report will be submitted annually, based
on the anniversary'month of the award.
-33-
-------
(2) The Department agrees to $[ ] as the fair share dollar amount for
minority business enterprises and women's business enterprises
(MBE/WBE). The fair share will be used to award MBE/WBE subagreements.
The Department will submit to the EPA Award Official a completed Standard
Form 334 within 30 days after the end of each Federal fiscal quarter
until the last subagreement has been awarded.
(3) The Department will conduct the activities 1n this cooperative agreement
1n a manner consistent with the existing National Contingency Plan (NCP),
40 CFR 300.
(4) The Department agrees to 11st all nonexpendable personal property In the
recipient's property records and agrees to follow federal property
management standards contained 1n 40 CFR Part 30.531. Property Inventory
reports will be 1n accordance with 40 CFR 30.505. Disposition of
property will be In accordance with 40 CFR 30.532.
(5) In accordance with 40 CRF Parts 30 and 33. the Department will retain
records generated under this Cooperative Agreement for three years from
the date of submission of the final Financial Status Report or until any
litigation, audit, claim or cost recovery actions begun during the
project are resolved, whichever is longer. The Department will contact
the EPA Project Officer in advance of the proposed disposition of any
records from the files developed for this project. No files or documents
concerning this Cooperative Agreement shall be disposed of without
notifying EPA in advance. Upon notification, EPA may require that the
document be retained by the State for an additional specified period.
Alternatively, EPA may require that the documents be transferred to EPA
for retention. State and State contractor files, and any additional
documentation for cost recovery purposes, can be retained in microform,
If the documents are suitable for microform copying and If the microform
can be reproduced as an accurate hard copy version of the original. The
State or its contractor will obtain EPA approval of the process before
copying or disposal of the original documentation. Original documents
must be retained for those types of documents that are not capable of
being completely and accurately microformed (such as large documents,
photographs or blue prints).
The Department also will notify EPA of any request to dispose of
documents received from a State contractor. EPA will impose the same
requirements for retention or disposal on State contractor records as on
States.
(6) The Department will maintain an accounting system that will document all
Superfund costs, including costs of subagreements, incurred on a project
and will identify these costs by the EPA Cooperative Agreement
Identification Number. Costs entered into the system will be classified
by the standard object class categories used in the Cooperative
Agreement. Costs will also be documented site-specifically.
The Department will develop and implement procedures to control the
receipt, obligation, and disbursement of funds, and will provide for
-34-
-------
system audits and Internal reporting of financial status on a regular
basis. If the Department Is charging Indirect costs, the methodology
used and the rate will be negotiated, approved by the cognizant Federal
agency, and periodically audited.
The Department will support all entries 1n Its accounting system by
maintaining appropriate source documentation and records. Supporting
documentation will Include complete records that explain each transaction.
-35-
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[SAMPLE CERTIFICATION LETTER]
OFFICE OF THE GOVERNOR
STATE CAPITAL
HELP, EUPHORIA 00013
February 8, 1986
Maureen Tree
GOVERNOR
Ms. Jolene Champion, Regional Administrator
U.S. Environmental Protection Agency
999 West 57th Street
Lanvlew, Euphoria 00014
Dear Ms. Champion:
In response to your letter concerning the Comprehensive Environmental
Response, Compensation and Liability Act of 1980 (CERCLA), I want to take this
opportunity to formally designate the Euphoria Department of Water Resources
as the lead agency authorized to enter into cooperative agreements and
contracts under Section 104 of CERCLA. Historically, the Euphoria Department
of Water Resources has been the state agency responsible for monitoring and
regulating hazardous waste sites. I have every confidence that this agency
and the Environmental Protection Agency can continue to maintain the
cooperative working relationship that has been established. Additionally, the
Department can facilitate any appropriate communications with other state
agencies relative to the Act.
Again, I appreciate the opportunity to formally designate the Euphoria
Department of Water resources as Euphoria's lead agency in accordance with the
Comprehensive Environmental Response, Compensation and Liability Act of 1980.
If I can be of any further assistance, please let me know.
Sincerely,
Maureen Tree
Governor of Euphoria
cc: Ms. Harriet Martin
Department Executive Director
of Water Resources
-36-
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[SAMPLE INTERGOVERNMENTAL REVIEH LETTER]
Department of Hater Resources
Environmental Services Division
Ecology Bldg., Room 2002
Help, Euphoria 00013
Ms. Oolene Champion, Regional Administrator
U.S. Environmental Protection Agency
999 West 57th Street
Lanvlew, Euphoria 00014
Dear Ms. Champion:
Under 40 CFR Part 29, the State of Euphoria has adopted an Intergovernmental
review process which designates Ms. Amy Whitbauer (title) 1n the Department of
Environmental Quality Control (DEQC) as the single point of contact to whom
all applications for EPA financial assistance under CERCLA must be submitted.
This letter is to certify that a copy of this Cooperative Agreement
application was sent to Ms. Whltbauer in DEQC, who sent It out to all
appropriate State and local agencies for their review. We have received no
comments from-any agency on the application.
Sincerely,
Heidi Kleen
Director
cc: Amy Whltbauer, DEQC
-37-
-------
3
A££
EPA
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. DC 20460
PROCUREMENT SYSTEM CERTIFICATION
JCANT'S NAME
JDept. of Water Resources
mvironmental Services Division
Form Approved
OMB No 2000-0453
Approval axpires 10-31
-87
ASSISTANCE APPLICATION NUMBER
APPLICANT'S ADDRESS
Ecology Bldg. Room 2002
Help, Euphoria 00013
SECTION I - INSTRUCTIONS
The applicant must complete and submit a copy of this form with each application for EPA Assistance. If the
applicant has certified its procurement system to EPA within the past 2 years and the system has not been
substantially revised, complete Part A in Section II. then sign and date the form. If the system has not been
certified within the past 2 years, complete Part B, then sign and date the form.
SECTION II - CERTIFICATION
A. I affirm that the applicant has within the past 2 years certified to EPA that its procurement
system complies with 40 CFR Part 33 and that the system meets the requirements in 40
CFR Part 33. The date of the applicant's latest certification is:
MONTH/YEAR
B. Based upon my evaluation of the applicant's procurement system, I, as authorized representative of the
applicant: (Check one of the following:)
1. CERTIFY that the applicant's procurement system will meet all of the requirements of 40 CFR Part 33
before undertaking any procurement action with EPA assistance
*
se furnish citations to applicable procurement ordinances and regulations
EU Statutes 222, Part F
EU Regulatory Code 33, Parts A and C
jLJ 2. DO NOT CERTIFY THE APPLICANT'S PROCUREMENT SYSTEM. The applicant agrees to
follow the requirements of 40 CFR Part 33, including the procedures in Appendix A, and
allow EPA preaward review of proposed procurement actions that will use EPA assistance.
TYPED NAME AND TITLE
Heidi M. Kleen, Director
SIGNATURE
DATE
EPA Form S700-48 (Rev. 5-84) Previous edition is obsolete
-------
EXHIBIT 3
MODEL COOPERATIVE AGREEMENT AHARD
-39-
-------
for...
U.S. ENVIRONMENTAL PROTECTION AGENCY
EPA ASSISTANCE AGREEMENTOMeSSBBM
PART I • ASSISTANCE NOTIFICATION INFORMATION
1. ASSISTANCE ID NO.
V1103161A
3. DATE OF AWARD
9/1/86
2. LOG NUMBER
XYX-1111ZZ
4. MAILING DATE
9/ 4/86
VQHEEMENT TYPE
ura
Agreement
•eement
Aaittance Amendment
6. PAYMENT METHOD
LJ Advene* L_J Reimbursement
Letter
68-XX-llll
Send Payment Requeet To:
N/A
7. TYPE OF ACTION
Award
8. RECIPIENT
9. PAYEE
Department of Water Resources
Environmental Services Division
Ecology Building, Room 2002
Help, Euphoria 00013
Same
EIN NO.
376002957
[ ZONO
I
10. RECIPIENT TYPE
State
11. PROJECT MANAGER AND TELEPHONE NO.
L.G. Smith
ESD, DWR
613-555-1003
12. CONSULTANT (WWT Construction Grant* Only)
N/A
13. ISSUING OFFICE (Ctty/Statt)
Region XII, Lanview, EU
14. EPA PROJECT/STATE OFFICER AND TELEPHONE NO.
B.T. Doe
EPA Waste Management Division
613-555-6134
15. EPA CONGRESSIONAL LIAISON & TEL. NO.
J
?n?-3R?-4/UU
16. STATE APPL ID (Cl*aringhoiu*l
Enter State ID*
17. FIELD OF SCIENCE
N/A
18. PROJECT STEPfWWT CC
N/A
ATUTORY AUTHORITY
PL 96-510, Section 104
20. REGULATORY AUTHORITY
40 CFR Part 300
21. STEP 2 «• 3 & STEP 3 (WWT Construction Only)
•. Trvctmant Laval
b. Pro)«ct Typ*
c. Tra>Tm»nt Proecn
d.
22. PROJECT TITLE AND DESCRIPTION
RI/FS for Albatross Chemical Hazardous Waste Site
23. PROJECT LOCATION (Area* Impacted by Proftct)
Cltv/PI*
Toxland
County
Sand
SUM
EU
Congrvnionil Dlnrict
5
24. ASSISTANCE PROGRAMfCFDA Program No. A Title}
Haz. Subst. Resp. Tr. Fund 66-802
26. PROJECT PERIOD
9/1/86-9/1/88
26. BUDGET PERIOD
9/1/86-9/1/88
27.
COMMUNITY POPULATION f WWT CC
Onty)
28. TOTAL BUDGET PERIOD COST
301,999
29. TOTAL PROJECT PERIOD COST
301,999
FUNDS
FORMER AWARD
THIS ACTION
AMENDED TOTAL
30. EPA Amount Thte Action
301,999
31. EPA In-Kind Amount
32. Unexpended Prior Year Bilcnce
33. Other Federal Funds
34. Recipient Contribution
35. State Contribution
36. Local Contribution
ither Contribution
lloweble Prefect Con
301.999
Program
TFAY9A
FY
86
Appropriation
68-XX-llll
Doc. Control No.
Z84444
Account Number
7TFA07L848
Ob|ect Claei
33.33
Oblioatlon/Deobllg. Amount
301,999
'• r „ CT<-"> ioft v.,h,rh
bp uspd until supplies are exhausted
-------
PART II-APPROVED BUDGET ASSISTANCE IDENTIFICATION NO.l __
TABLE A - OBJECT CLASS CATEGORY
(Non— construction)
\. PERSONNEL
2. FRINGE BENEFITS
^•fcBAUEL
^HtmPMENT
5. SUPPLIES
6. CONTRACTUAL
7. CONSTRUCTION
8. OTHER
9. TOTAL DIRECT CHARGES
10. INDIRECT COSTS: RATE ?n a BASE "}£ ftl^p.
11 TOTAL (fhitrr: *?i»ripr—t'. P . ., % F*rf»r« /..IpO «y
)2. TOTAL APPROVED ASSISTANCE AMOUNT
TABLE B - PROGRAM ELEMENT CLASSIFICATION
( Non— construction)
,. Remedial Planning
2.
3.
4.
5.
6.
7.
B.
9.
lio.
m
\^ TOTAL (Share1 Recipient— — — % y»H»r*i 100 %}
13. TOTAL APPROVED ASSISTANCE AMOUNT
TABLE C - PROGRAM ELEMENT CLASSIFICATION
(Construction)
\. ADMINISTRATION EXPENSE
Z. PRELIMINARY EXPENSE
3. LAND STRUCTURES. RIGHT-OF-WAY
4. ARCHITECTURAL ENGINEERING BASIC FEES
5. OTHER ARCHITECTURAL ENGINEERING FEES
6. PROJECT INSPECTION FEES
7. LAND DEVELOPMENT
B. RELOCATION EXPENSES
9. RELOCATION PAYMENTS TO INDIVIDUALS AND BUSINESSES
10. DEMOLITION AND REMOVAL
11, CONSTRUCTION AND PROJECT IMPROVEMENT
12. EQUIPMENT
13. MISCELLANEOUS
14. TOTAL (Una* 1 thru IS)
15. ESTIMATED INCOME (It appHcaMa)
16. NET PROJECT AMOUNT (Lint 14 mtnut IS)
17. LESS: INELIGIBLE EXCLUSIONS
k. ADD: CONTINGENCIES
19 TOTAL f Share- Recipient^— _% Feefwra !_____%,)
20. TOTAL APPROVED ASSISTANCE AMOUNT
TOTAL APPROVED ALLOWABLE
BUDGET PERIOD COST •
32.858
8.215
9.905
^ nnn
4.500
233.949
n
3.000
295.427
301,999
s
?m ,9Q9
301,999
s
$
EPA Farm 5700-20A (Rav. 5-82)
PAGE 2 0
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PART IU-AWARD COKOITIOHS
GENERAL CONDITIONS
recipient covenants and agrees that it will expeditiously initiate and timely complete the project work for
h assistance has been awarded under this agreement, in accordance with all applicable provisions of 40 CFR
ter I, Subpart B. The recipient warrants, represents, and agrees that it, and its contractors, subcontractors,
employees and representatives, will comply with: (1) all applicable provisions of 40 CFR Chapter I, Subchapter 8,
INCLUDING BUT NOT LIMITED TO the provisions of Appendix A to 40 CFP Part 30, and (2) any special
conditions set forth in this assistance agreement or any assistance amendment pursuant to 40 CFR 30.425.
b. SPECIAL CONDITIONS
(For cooperative agreements include identification or summarization ol EPA responsibilities that reflect or
contribute to substantial involvement.)
The following special conditions are added:
1. The recipient agrees to maintain an accounting system that will Keep an
accurate, current, and complete accounting of all financial transactions
under this Cooperative Agreement by site, by activity, and by object
class. Records together with supporting documents showing the source and
application of all project funds will be maintained. (40 CFR 30.510)
2. The EPA Project Officer will conduct periodic reviews and visits to
evaluate project activities to assure compliance with applicable EPA
requirements and regulations. The State Project Officer agrees to ensure
that schedules and reporting requirements are met. All State proposed
modifications to schedules or activities will be reported immediately to
the EPA Project Officer for approval.
3. The State agrees to submit progress reports to the EPA Project Officer
within 30 days of the end of the Federal fiscal quarter. These reports
shall include itemizations of expenditures by object class and by each
activity in the SOW (expenditures to date and expenditures since the
previous report); estimates (percentages) of work, completed for each
activity in the SOW, including a description of the basis for the
estimates; and estimated variances (cost and time) expected at project
completion.
EPA Form 5700-20* (Rev. 5-82) PAGE 3 OF 4
-------
ASSISTANCE IDENTIFICATION NO..
b. SPECIAL CONDITIONS (Continued)
PART IV
NOTE: The Agreement must be completed in duplicate and the Original returned to the Grants Administration
Division for Headquarters awards and to the appropriate Grants Administrations Office for State and local
awards within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA.
Receipt of a written refusal or failure to return the properly executed document within the prescribed time, may
result in the withdrawal of the offer by the Agency. Any change to the Agreement by the recipient subsequent
o the document being signed by the EPA Award Official which the Award Official determines to materially
Iter the Agreement shall void the Agreement.
OFFER AND ACCEPTANCE
The United States of America, actine bv and through the U.S. Environmental Protection Agency (EPA), hereby offers
assistance/amendment to the State Of Euphoria
ior.
100
ORGANIZATION
% of all approved costs incurred up to and not exceeding S3Q1 .999
Asl »TANCF.
for the support of approved budget period effort described in application (including all application modifications)
AlbatrOSS Chemical Site 2/10/86 included herein by reference.
ISSUING OFFICE (Grants Administration Office)
ORGANIZATION/ ADDRESS
EPA, Region XII
Grants Management Branch
Lanview, EU 00014
AWARD APPROVAL OFFICE
ORGANIZATION/ ADDRESS
EPA, Region XII
Reaional Administrator
Lanview, EU 00014
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
SIGNATURE OF AWARD OFFICIAL
TYPED NAME AND TITLE
Jolene Champion, Regional Administrator
DATE
9/1/86
This Agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance
regulations. In accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned
represents that he is duly authorized to act on behalf of the recipient organization, and (2, the recipient agrees
«that the award is subject to the applicable provisions of 40 CFR Chapter I, Subchapter B and of the provisions
this agreement (Parts I thru IV), and (b) that acceptance of any payments constitutes an agreement by the payee
t the amounts, if any found by EPA to have been overpaid will be refunded or credited in full to EPA.
BY AND ON BEHALF OF THE DESIGNATED
SIGNATURE
RECIPIENT ORGANIZATION
TYPED NAME AND TITLE
DATE
EPA Form 5700-20A (R«v. 5-82)
PAGE « OF
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OMB NOS. 9999-0001 AND OMO-001T
EXPIRES: APRIL 30, 1990
MBE/WBE* UTILIZATION UNDER FEDERAL GRANTS, COOPERATIVE
AGREEMENTS, AND OTHER FEDERAL FINANCIAL ASSISTANCE
P PART
1. (NEGATIVE REPORTS MAY BE REQUIRED)
1A. FEDERAL FISCAL YEAR
19 Rg
1B REPORTING QUARTER {Crtec* aooropnaw oox)
[3 1» (Oo.-Dec.». Q 2nd . Q 3rd (Aor.-Jun.), Q 4
tn Uul-Seo.)
2. FEDERAL FINANCIAL ASSISTANCE AGENCY
(DeoarcmenvAgency, Bureau/Administering Office, Address)
U.S. EPA, Region XII
999 West 57th St.
Lanview, Euphoria 00014
3. REPORTING RECIPIENT (Name «na Address)
Department of Water Resources
Environmental Services Division
Ecology Building, Room 2002
Help, Euphoria 00013
2A.
4A.
REPORTING CONTACT
B.T. Doe ,
PHONE:
613-555-6134
FINANCIAL ASSISTANCE AGREEMENT 10 NUMBER
V1103161A
3A. REPORTING CONTACT
Heidi M. Kleen
PHONE:
614-554-1234
4B. FEDERAL FINANCIAL ASSISTANCE PROGRAM
Haz. Subst. Resp. Tr. Fund 66.802
4C. TYPE OF FEDERAL ASSISTANCE AGREEMENT
GRANT COOPERATIVE AGREEMENT
OTHER FEDERAL FINANCIAL ASSISTANCE
5A. PERIOD WHEN PROCUREMENT UNDER THIS AWARD WILL
OCCUR
START DATE-
12/31/86
END DATE:
SB.
AMOUNT OF TOTAL PROJECT
DOLLARS PLANNED FOR
PROCUREMENT THIS FISCAL YEAR
301,999
5C. RECIPIENTS MBE/WBE GOALS (Percent of total procurement dollars (5t» for eacn>
15 percent
MBE
WBE
10 percent
50. MBE.WBE PROCUREMENT ACCOMPLISHED THIS QUARTER
MBES WBES 10,100
3E. NEGATIVE REPORT (Check)
SEE INSTRUCTIONS
6. COMMENTS.
7.
8.
1
NAME OF AUTHORIZED REPRESENTATIVE
Heidi M. Kleen
TITLE
Director, DWR
SIGNATURE Of AUTHORIZED REPRESENTATIVE
DATE
• WH rieorling tt apian* •! !*• diractlOft ot *•
MflMOMOB to* LOCAL
fTANO*M} KMM X
•r OOMTMOTT or OOMMIW
-44-
-------
II
o
I
•
*
X
X
•to*
t— •
0
«
i— »
O
o
10/15/86
UD
CT
i— 3
ro 01
t*> n-
Ol O
n- 3
"^ Ol
t/i ^
-5 TO
tt> O>
fp ro
V
oo 10
. 10
s:o
• o
o>
ro ro
•o
m
c.
o
o
o
CO
I
Is5
o$\
In
|h
i«
§ 2.
Dale ol
Award
(MM/DD/YY)
ff*l
S?i -P
III
** n
z
®
1
O)
)l MBE/WBE C
§
i
5
s
<
- 1
m
m
a
P
o
O
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o
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5
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3D
m
"O
O
o
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DO
-------
EXHIBIT 4
MODEL COOPERATIVE AGREEMENT AMENDMENT
-46-
-------
Form Approved. O* wo.
Region XII
14. EPA PROJECT/STATE OFFICER AND TELEPHONE NO.
B.T. Doe
EPA Waste Management Division
613-555-6134
IS. EPA CONGRESSIONAL LIAISON & TEL. NO.
0. Jones 202-382-4444
16. STATE APPL ID fCteorinfhouM>
Enter State I0#
17. FIELD OF SCIENCE
99
18. PROJECT STEPfWWT CC
tfATUTORY AUTHORITY
P.L. 96-510, Section 104
20. REGULATORY AUTHORITY
40 CFR Part 30 0
21. STEP 2 «• 3 * STEP 3 (WWT Conttnictton Only)
a. Traitrnvnt L*v«*
b. Pro)«et Typa
e. Tr««tr
tPr«M
d. Sludg*
22. PROJECT TITLE AND DESCRIPTION
RD for Albatross Chemical Hazardous Waste Site
23. PROJECT LOCATION (Artot Impacted by
Clty/PU
Toxland
County
Sand
SUM
EU
Congri
n«l Dlnrlct
5
24. ASSISTANCE PROGRAMfCFOA frogmm No. 4k Titlil
Haz. Subst. Resp. Trust Fund 66.802
26. PROJECT PERIOD
9/1/87 - 9/1/89
26. BUDGET PERIOD
9/1/87 - 9/1/89
27, COMMUNITY POPULATION (WWT CO
Only)
N/A
28. TOTAL BUDGET PERIOD COST
608,570
». TOTAL PROJECT PERIOD COST
608,570
FUNDS
FORMER AWARD
THIS ACTION
AMENDED TOTAL
30. EPA Amount Thte Action
301,999
306,571
608,b/U
31. EPA In-Kind Amount
32. Unaxpvndad Prior Y**r
33. Othw F*dM»l Fund*
34. Raclplant Contribution
35. Statt Contribution
36. Local Contribution
«r Contribution
w«bl* Pro|*et Cott
301,999
6087570
Program EMmant
FY
87
Appropriation
68-XX-im
Doc. Control No.
Z8459
Account Number
7TFA07N849
Objact Claai
33.34
Oblloatlon/Daobllft. Amount
$306,571
-47-
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PART II-APPROVED BUDGET
AeeiCTAwrF inFNTIFlCATION NO.
I TABLE A - OBJECT CLASS CATEGORY
| r/Von— construction)
| i. PERSONNEL
^j rm«GE BENEFITS
^BTPAWFL
P^EQUIPMENT
5. SUPPLIES
6. CONTRACTUAL
7. CONSTRUCTION
8. OTHER
9. TOTAL DIRECT CHARGES
10. INDIRECT COSTS RATE 20% "-BASE. 46,932
0 1 OC
11 TOTAL (Share' Recipient ____'7. F •«*•»•! , „
7.J
12. TOTAL APPROVED ASSISTANCE AMOUNT
TABLE B - PROGRAM ELEMENT CLASSIFICATION
( /Von— construction)
i. Remedial Planning (RI/FS)
z. Remedial Design (RD)
3.
4.
S.
6.
7.
a
'•
1,0.
b
12 TOTAL ("Sham' p*fiptrpf "- Feilrr*1 r ^^
".J
13. TOTAL APPROVED ASSISTANCE AMOUNT
TABLE C - PROGRAM ELEMENT CLASSIFICATION
(Construction)
1. ADMINISTRATION EXPENSE
2. PRELIMINARY EXPENSE
J. LAND STRUCTURES. RIGHT-OF-WAY
4. ARCHITECTURAL ENGINEERING BASIC FEES
S. OTHER ARCHITECTURAL ENGINEERING FEES
6. PROJECT INSPECTION FEES
7. LAND DEVELOPMENT w
B. RELOCATION EXPENSES
t. RELOCATION PAYMENTS TO INDIVIDUALS AND BUSINESSES
10. DEMOLITION AND REMOVAL
11. CONSTRUCTION AND PROJECT IMPROVEMENT
12. EQUIPMENT
13. MISCELLANEOUS
14. TOTAL
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PART HI-AWARD CONDITIONS
'• GENERAL CONDITIONS
The recipient covenants and agrees that it will expeditiously initiate and timely complete the project work for
ich assistance has been awarded under this agreement, in accordance with all applicable provisions of 40 CFR
apter I, Subpart B. The recipient warrants, represents, and agrees that it, and its contractors, subcontractors,
fnployees and representatives, will comply with: (1) all applicable provisions of 40 CFR Chapter I, Subchapter B,
INCLUDING BUT NOT LIMITED TO the provisions of Appendix A to 40 CFP Part 30, and (2) any special
conditions set forth in this assistance agreement or any assistance amendment pursuant to 40 CFR 30.425.
b. SPECIAL CONDITIONS
(For cooperative agreements include identification or summarization of EPA responsibilities that reflect or
contribute to substantial involvement.)
1. All special conditions and State assurances in the original Cooperative Agreement
remain in effect.
2. The State will submit its remedial design to EPA for review at the following
points: the preliminary design (30 percent complete), the intermediate
design (60 percent complete), and the final design (100 percent complete).
EPA Form 5700-20A (R«v. 5-82) PAGE3OF4
-49-
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ASSISTANCE IDENTIFICATION NO.
b. SPECIAL CONDITIONS fConunu.d;
PART IV
NOTE: The Agreement must be completed in duplicate and the Original returned to the Grants Administration
Division for Headquarters awards and to the appropriate Grants Administrations Office for State and local
awards within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA.
Receipt of a written refusal or failure to return the properly executed document within the prescribed time, may
result in the withdrawal of the offer by the Agency. Any change to the Agreement by the recipient subsequent
to the document being signed by the EPA Award Official which the Award Official determines to materially
alter the Agreement shall void the Agreement.
OFFER AND ACCEPTANCE
The United States of America, actine bv and through the U.S. Environmental Protection Agency (EPA), hereby offers
weixtaaKK/amendment to the State of Euphoria. Department of Water Resources
. RECJP'fc" f OH
tor - L2iL% of all approved costs incurred up to and not exceeding S 608,570
f OHOANCZ A TION
a£ a T A r*i C £ AMOL't
for the support of approved budget period effort described in application (including all application modifications)
AlbatrOSS Chemical Site 2/10/86 included herein by reference.
ISSUING OFFICE (Grants Administration Office)
AWARD APPROVAL OFFICE
ORGANIZATION/ADDRESS
EPA, Region XII
Grants Management Branch
Lanview, EU 00014
ORGANIZATION/ADDRESS .
EPA, Region XII
Regional Administrator
Lanview, EU 00014
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
SIGNATURE OF AWARD OFFICIAL
TYPED NAME AND TITLE
Jolene Champion, Regional Administrator
DATE
9/1/87
This Agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance
regulations. In accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned
represents that he is duly authorized to act on behalf of the recipient organization, and (2, the recipient agrees
fa) that the award is subject to the applicable provisions of 40 CFR Chapter I, Subchapter B and of the provisions
u. this agreement (Parts I thru IV), and (b) that acceptance of any payments constitutes an agreement by the payee
;at the amounts, if any found by EPA to have been overpaid will be refunded or credited in full to EPA.
BY AND ON BEHALF OF THE DESIGNATED
SIGNATURE
RECIPIENT ORGANIZATION
TYPED NAME AND TITLE
DATE
EPA Form 5700-70A (R»v. 5-82)
PAGE 4 Ol
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EXHIBIT 5
MODEL MULTI-SITE COOPERATIVE AGREEMENT
(Reserved)
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CHAPTER 3: SPECIAL MANAGEMENT CONCERNS FOR COOPERATIVE AGREEMENTS
Cooperative Agreements developed under CERCLA are subject to several legal and
administrative requirements. Some of these are known as "general assistance
requirements," because they apply to all financial assistance agreements from
EPA. Recipients receiving financial assistance from EPA are subject to
certain requirements In 40 CFR 30 (EPA's "General Regulation for Assistance
Programs") and 40 CFR 33 ("Procurement Under Assistance Agreements").
It Is the responsibility of AAU staff to determine whether or not recipients
are able to meet all of these general assistance requirements. This can be
learned during preappllcatlon assistance and/or during administrative review
of the Cooperative Agreement application. If these Investigations reveal that
a State is unfamiliar with, or will have difficulty complying with a
particular requirement, EPA and the State should work together to correct the
deficiency before the award Is made. As part" of this effort, the AAU may opt
to Include this provision as a special condition in the Cooperative Agreement
award document. This action will emphasize the importance of the requirement
to the recipient, and will "flag" that provision as a potential future
compliance problem. The checklist in Chapter 4 will help to guide AAU staff
in this review and evaluation effort.
The Superfund program also has its own set of requirements that apply to
Cooperative Agreement applicants. Some of these may be included as special
conditions in the award document, depending on site-specific conditions.
3.1 GENERAL ASSISTANCE REQUIREMENTS
One set of EPA regulations for recipients of financial assistance is found in
40 CFR Part 30 (General Regulation for Assistance Programs). The main areas
covered by this Part are procedures for- applying for assistance, requirements
for cost sharing, determination of allowable costs, recordkeeping, reporting,
quality assurance, financial management and use of funds, property acquisition
and management, changes to the assistance agreement, project audits and
close-out, noncompllance measures, exceptions to the requirements, and dispute
resolution. These are described in the following sections.
3.1.1 Applying for Assistance
To be eligible for assistance, the applicant must meet criteria related to
financial and organizational resources, past performance record, accounting
and auditing procedures, procurement standards, property management systems,
and compliance with various other statutory requirements. (40 CFR 30.301) EPA
also requires a standard application, as described and illustrated in Chapter
2, and CERCLA assistance recipients must, in addition, submit a schedule for
development of a quality assurance plan within 30 days of award. (40 CFR
30.302) When the application is approved, EPA will prepare and sign an
assistance agreement and send it to the State for signature. It must be
signed and returned within three weeks unless an extension is requested. If
the application is disapproved or deferred, EPA will provide written notice.
Disapproval can be appealed. (40 CFR 30.305)
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3.1.2 Cost Sharing. Payments, and Determining Allowable Costs
Cost share requirements can be satisfied with cash or In-kind contributions,
but not with Federal funds or with property or services received under another
assistance agreement unless specifically authorized by statute. Contributions
must be specified 1n the assistance agreement, be verifiable, be used exclu-
sively for one project, and be properly allocable to and allowable under the
project. (40 CFR 30.307)
Costs may not be Incurred before the assistance agreement Is signed by both
parties. (40 CFR 30.308)
In the Superfund program, payment Is made by letter of credit which 1s
discussed In Section 3.3.2. Allowable costs are determined according to OMB
Circular A-87. (40 CFR 30.410)
3.1.3 Recordkeeplng and Reporting
Project records must include amount of funds received and expended, direct and
Indirect project costs, property purchased, time and attendance records and
other supporting data, and documentation of compliance with statutes and
regulations that apply to the project. These records are to be kept by site
and activity, according to object class. Contractors must maintain similar
records pertinent to the project. (40 CFR 30.500) All these records must be
kept for three years after the submission of the final Financial Status
Report, or longer if questions remain (audit, litigation, etc.). Records on
real property and nonexpendable personal property are to be kept for three
years after final disposition of the property. (40 CFR 30.501) EPA, the
Office of Inspector General, the Comptroller General, and the Department of
Labor must be allowed access to these records. (40 CFR 30.502)
The assistance agreement also requires Interim and final progress reports.
Financial Status Reports (SF 269) must be submitted to an EPA Award Official
within 90 days after the end of each budget period, within 90 days after the
completion of an activity, and within 90 days after the end of the overall
Cooperative Agreement (see 3.2.2, Letter-of-credit requirements), as well as
upon completion of each project.
3.1.4 Quality Assurance Project PTan
Quality assurance practices consist of policies, procedures, specifications,
standards, and documentation that will produce data adequate to meet project
objectives and limit loss of data caused by uncontrolled conditions or
malfunctions. A quality assurance project plan must be submitted with the
application (this may consist of a schedule for plan development) if the
proposal involves environmental measurements or data generation. This QA
program must be acceptable to the Award Officials. Plan components include:
• Project title, principal investigators, description,
organization, and responsibilities;
-53-
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• Quality assurance objectives and criteria for
determining precision, accuracy, completeness,
representativeness, and compatibility of data;
• Sampling and sample custody procedures;
• Analytical and calibration procedures and frequency,
plus traceabllity of standards;
• Data reduction, validation, and reporting;
• Internal quality control checks and performance and
system audits;
• Preventive maintenance;
• Procedures for assessing data precision, accuracy,
representativeness, and comparability;
• Corrective action for out-of-control situations; and
• Quality assurance reporting procedures. (40 CFR
30.503)
Quality assurance requirements listed here include some Superfund-specific
items from the National Contingency Plan.
3.1.5 Financial Management and Use of Funds
A financial management system must provide accurate, current and complete
accounting, including source and use of funds, obligations, unobligated
balances, assets, liabilities, outlays, and Income. The system must track.
expenses by site and activity according to object class as well as provide
control, accountability, and assurance that funds, property, and other assets
are used only for their authorized purpose. The ability to compare actual and
budgeted costs by object class is required, as are procedures to ensure prompt
disbursement of Federal funds and procedures for determining allowable,
allocable, and reasonable costs. An audit must be conducted every other year,
and a method to resolve audit findings and recommendations must be in place.
(40 CFR 30.510)
State agencies may retain interest earned on an EPA advance. (40 CFR 30.526)
Any program income should be used to fund additional eligible project
activities, but not the non-Federal share. (40 CFR 30.525)
3.1.6 Property Acquisition and Management
Personal Property
Purchase of personal property (e.g., equipment and supplies) is allowed if
authorized in the assistance agreement. Award Official approval Is required
-54-
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for each Item that costs $10,000 or more. Purchased property must be used on
the site for which it was acquired as long as needed whether or not EPA fund-
ing continues. EPA's interest must be adequately reflected and protected in
compliance with the Uniform Commercial Code. EPA has the right to transfer
title to the Federal Government or a third party upon project completion if
the property costs $1,000 or more and is identified in the assistance
agreement. (40 CFR 30.530)
Property management standards for personal property include:
• Recordkeeplng (description, source, owner, date acquired and cost.
Federal share, location, use, and disposition);
• An inventory at least every two years, including reconciliation with
property records and verification of current use and need for the
property;
• A loss, damage, and theft control system;
• Adequate maintenance procedures;
• Sales procedures to ensure the highest possible return; and
• Identification of Federally owned property. (40 CFR 30.531)
Personal property costing $1,000 or less may be kept or sold upon project
completion. If nonexpendable property cost more than $1,000, EPA Is entitled
to compensation proportionate to its share of the current market vaTue.
Expendable personal property may not be used on other Federal projects. If it
1s sold, EPA must receive a share of the proceeds In proportion to Its share
of the purchase cost. (40 CFR 30.532)
Real Property Acquisition
EPA funds may be used to purchase real property if approved by the award
official. It may be used only for the purpose for which it was purchased.
EPA's approval is required to use the property for other Federally supported
projects or programs. Otherwise, the property may be disposed of according to
EPA instructions, with compensation in proportion to Federal and non-Federal
shares .of the purchase price. (40 CFR 30.535)
At some NPL sites, EPA may determine that there is a need to acquire an
interest in the property. If EPA makes this determination, it is the Agency's
policy that the State should acquire the interest before the Fund-financed
action can proceed. AAUs should ensure that the program and State staff are
aware .of EPA's regulations on real property acquisition and disposition.
Other special Superfund property requirements are found in Appendix T of State
Participation in the Superfund Program (the "Purple Book").
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Equipment Purchase with CERCLA Funds
CERCLA's requirements related to equipment purchase and use differ somewhat
from those contained 1n 40 CFR 30. Therefore, the AAU and program staff need
to work together to ensure that all requirements are met. Under a Cooperative
Agreement, a State purchasing equipment with CERCLA funds must agree to
allocate equipment costs in proportion to the equipment's use on the project
being funded. The State must also agree to submit documentation on any
non-CERCLA equipment use and to reimburse EPA for any non-CERCLA work.. When
the work is completed, the State must comply with EPA Instructions on
disposition of the equipment. Disposition could Include returning the
equipment to EPA or reimbursing EPA for the Agency's share for the equipment's
residual value. For MSCAs, the State must agree to allocate equipment costs
among the projects In proportion to the equipment's use on each. If the State
Intends to use the equipment for projects outside the scope of this Agreement,
the State must agree to submit a formula for allocating costs for equipment
use, to obtain prior approval from the EPA Award Official, and to carefully
document all use. When the equipment is no longer being used for the CERCLA
activities listed above, the State must agree to submit documentation on any
non-CERCLA equipment usage and to reimburse EPA for any non-CERCLA work.
Other Issues
Use of Federally owned property must be negotiated with the award official. A
lease agreement will be required, as well as an annual inventory. EPA will
advise on return of the property when the project 1s complete. (40 CFR 30.536)
Contractors must comply with EPA property policies If personal property 1s
acquired with EPA funds and-the subagreement specifies that ownership rests in
the State or EPA. (40 CFR 30.537)
3.1.7 Changing the Assistance Agreement
The assistance agreement can be changed by formal amendment or Informally
(e.g., by letter). Minor changes in the project consistent with its objective
and within the scope of work do not require a formal amendment. However, such
changes do not obligate EPA to pay for any costs in excess of the assistance
agreement unless approved in advance. (40 CFR 30.710) A formal amendment is
required to transfer the award to another recipient, change the project
objectives, assistance amount, or scope, or to rebudget between construction
and non-construction activities, direct and indirect costs, or training and
other cost categories. (40 CFR 30.700)
3.1.8 Project Audits and Closeout
Audits may be performed before award, during a project, and at the conclusion
of the project. States must comply with the audit requirements of OMB
Circular A-128, which requires an audit every year in most cases. (40 CFR
30.540)
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If the Award Official determines at project doseout that the State owes money
to the Federal Government, the amount must be reimbursed. (40 CFR 30.802)
Project records must be maintained as described In 3.1.3.
3.1.9 Noncompllance Measures
Noncompllance with the assistance agreement can lead to Issuance of a
stop-work order; withholding of payment; suspension, annulment or termination
of the agreement; debarment or suspension as an eligible recipient; or other
administrative or judicial action. (40 CFR 30.900)
3.1.10 Exceptions from the Regulations
EPA will consider requests for exceptions on a case-by-case basis. A written
request for an exception must include name, "assistance identification number,
date and amount of award, section of the regulation for which an exception is
requested, justification, and a statement of whether such a deviation has been
requested in the past and why. (40 CFR 30.1003) The Director of the Grants
Administration Division approves or disapproves the request.
3.1.11 Dispute Resolution
Disagreements should be resolved at the lowest level possible. If the dispute
cannot be resolved, the recipient/applicant may request a review under Subpart
L procedures. The EPA dispute decision official's decision Is final unless
appealed 1n writing within 30 days. (This is the Individual designated by the
award official to resolve disputes concerning the assistance agreement.)
3.2 PROCUREMENT REGULATIONS
Recipients are required to meet procurement provisions in 40 CFR 33. These
pertain to Items such as: free and open competition; small, minority, and
women's businesses; documentation; and contractor qualifications. Some of the
provisions in Part 33 are noted below. Volume II of State Participation in
the Superfund Program discusses Superfund-specific requirements.
3.2.1 Responsibility for Recipients
States must ensure that contractors perform in accordance with all applicable
contract requirements. This means that the State must have the legal
authority to enforce the provisions in the contract and that it must have
sufficient staff to periodically monitor the contractor's progress. (40 CFR
33.210). In enforcing the subagreement provisions, the State may request
technical and legal assistance from EPA; but the State is solely responsible
for enforcing the subagreement provisions.
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3.2.2 Contractor Qualifications
States may only award subagreements to responsible contractors, as defined by
40 CFR 33.220. This subsection specifies that a responsible contractor has:
• Financial resources and technical qualifications
sufficient to effectively Implement the project;
• Resources to meet the completion schedule;
• A satisfactory performance record for completion of
subagreements;
• Accounting and auditing procedures adequate to control
property, funds, and assets; and
• Demonstrated willingness to comply with requirements
under 40 CFR 30.
In addition, no contracts may be awarded to contractors who have been
suspended, debarred, or voluntarily excluded under 40 CFR Part 32. States
must ensure that their contractors comply with the appropriate provisions 1n
Part 33 when the contractor awards a subagreement.
3.2.3 Code of Conduct
States are required to have a written code of conduct for State officials in
dealing with contractors. This code should stipulate that no State employee
may solicit or accept any gratuities, gifts, favors, loans, or anything of
monetary value from anyone who has obtained, is obtaining, or may seek to
obtain subagreements from the State. The code of conduct should also protect
against conflicts in which a State employee has a share in, or could benefit
from, any subagreement under State administration. (40 CFR 33.270)
3.2.4 Methods for Procuring Assistance
40 CFR Part 33 requires States to use only four methods for procuring
assistance: formal advertising; competitive negotiation; small purchase; and
noncompetitive negotiation. Each of these must be conducted in a manner that
meets EPA specifications. They are described in greater detail below.
• Formal Adverti sing. For this approach, the following
must be met:
The State must draft a complete, adequate, and
realistic specification or purchase description of
what is required.
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There must be at least two responsible bidders who
are willing and able to compete effectively for
the State's business.
It must result In the award of a fixed-price
subagreement.
Selection of the successful bidder must be made
principally on the basis of price.
This approach 1s used primarily 1n procuring
construction services, for remedial actions.
• Competitive Negotiation. Competitive negotiation may
only be used If conditions are not appropriate for
formal advertising. It has been used for procuring
services in: engineering for RI/FS and designing;
construction management; claims management; operations-
assistance; and bidability/constructability review.
• Small Purchase. These may be used only for
procurement actions not exceeding $10,000. Recipients
must not divide a procurement into smaller amounts to
avoid the dollar limitation for competitive
procurement. Small purchase procurement can be used
when acquiring equipment, services, and materials that
are under $10,000.
• Noncompetitive Negotiation. This can be used only if
the other three procurement methods are inappropriate
because:
Products or services are available only from a
single source;
Public exigency/emergency; or
There is inadequate competition.
Award Official approval and public exigency or emergency are other circum-
stances justifying noncompetitive negotiation. A few additional restrictions
apply to these procurement methods. A State may not use a method other than
formal advertising to procure construction services during remedial action
unless it has the approval of the EPA Award Official. EPA rarely approves
noncompetitive negotiation for use in the Superfund remedial program.
3.2.5 Promoting Competition
EPA's regulation requires that State procurement procedures provide "maximum
open and free competition." States are prohibited from using unduly
restrictive procurement practices, such as those listed below (40 CFR 33.230):
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Noncompetitive practices between firms;
Organizational conflicts of interest;
Unnecessary experience and bonding requirements;
State or local laws, ordinances, regulations, or
procedures that give preference to local or
In-state bidders;
Placing unreasonable requirements on firms 1n
order for them to qualify to do business; and
Placing unduly restrictive specifications on
firms, as described in 40 CFR 33.255.
3.2.6 Types of Subagreements
There are several types of subagreements possible under EPA assistance
awards. The two used most frequently are:
• Fixed-Price Subagreements. The State and its
contractor agree on a price for the services to be
provided. The price is then fixed, no matter what the
final costs of the project are. Total cost to the
State is changed only if a change order is
negotiated. A fixed-price contract is used when a
. project scope can be precisely defined, such as in the
procurement of construction contractors when bidding
documents include construction drawings.
Cost-Plus-Fixed-Fee
made up of direct
contractor fee are
are used when it is
scope of the work to
Subagreements. A cost ceiling,
costs, and a fixed
These subagreements
define the
and indirect
established.
difficult to accurately
be performed.
Other types of subagreements are
States are prohibited from using:
also available. There are two, however, that
Percentage-of-Construction-Cost Subagreements. The
price of a project is established as a percentage of
construction costs.
Cost-Pius-Percentage-of-Cost Subagreement. A multi-
plier, which includes a profit, is applied to direct
costs of a project to determine total costs.
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3.2.7 Minority Business Enterprises. Momen's Business Enterprises
States must consider minority business enterprises (MBE)' and women's business
enterprises (WBE) when awarding subagreements and must submit reports to EPA
on their utilization of these firms. States must submit Standard Form 334
"MBE/WBE Utilization under Federal Grants, Cooperative Agreements, and other
Federal Financial Assistance," within 30 days after the end of each Federal
fiscal quarter following the first subagreement award. Each State must also
negotiate with its Region a "fair share" agreement for awarding MBE and WBE
subagreements. The State must either agree to a specific dollar amount as its
fair share objective and Incorporate that amount Into the Cooperative
Agreement, or 1t must negotiate a fair share objective with EPA prior to
procuring supplies or services. This fair share dollar amount must be
included on Standard Form 334.
In addition to this regulation, the Superfund Amendments and Reauthorization
Act (SARA) amends CERCLA to require that EPA must report annually to Congress
on MBE/WBE contracts for response activities. Therefore, States must report
this information to the EPA Regions every year.
3.2.8 Submission of Information
The State must inform the appropriate Department of Labor office in the Region
of construction agreements totalling over $10,000 a year. (40 CFR 33.211)
The following information must be submitted within 10 days of award of each
construction subagreement: contractor data, amount of award, expected starting
and completion dates, project number, name, and location. In addition, the
State must submit a list of all bids and offers and .name of each bidder and
offeror to the appropriate divisional Inspector General.
3.2.9 Documentation
States must ensure that procurement records and files for purchases over
$10,000 include the basis for contractor selection, basis for award cost
(including price analysis under 33.290) documentation of negotiation; written
justification for selection of the procurement system, for use of any
specification that does not promote maximum competition, and for the type of
subagreement; and reasons for rejecting any or all bids. (40 CFR 33.250)
3.2.10 Specifications
State's procedures for establishing specifications must meet EPA
requirements. (40 CFR 33.255) In particular, they must incorporate a clear
and accurate description of the technical requirements for the item to be
procured. The specifications may not contain features that unduly restrict
competition unless necessary for a special test or demonstration or for
interchangeability of parts or to promote innovative technologies. The
specification should describe the item qualitatively, set forth minimum
essential characteristics if necessary, and avoid use of detailed product
specifications. The use of "brand name or equal" description is acceptable as
long as the salient requirements that must be met are specified.
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3.2.11 Bonding and Insurance
State procurements must meet EPA requirements for bonding and Insurance. If
construction subagreements are for $100,000 or less, the State's requirements
may be used. The award official may accept State requirements for larger
subagreements If Federal interests are protected. For subagreements over
$100,000, the State must obtain a bid guarantee of 5 percent of the bid price,
a performance bond of 100 percent of the subagreement price, and a payment
bond of 100 percent of the subagreement price. Bonds must be obtained from
companies holding certificates of authority as acceptable sureties (Treasury
Circular 570 "Surety Companies Acceptable on Federal Bonds). Recipients and
contractors must also meet flood hazard area requirements contained In 40 CFR
Part 30. (40 CFR 33.265)
3.2.12 Federal Cost Principles
State procedures for determining allowable costs must meet specified EPA
principles. (40 CFR 33.275) Allowable costs for State governments are
determined under OMB circular A-87. Contractors and subcontractors are
governed by Federal Procurement Regulations (Title 48, Chapter 31 and others).
3.2.13 Cost and Price Consideration
State procedures must allow for consideration of cost and price, as specified
by EPA requirements. (40 CFR 33.290) A cost analysis is required for all
negotiated change orders regardless of cost and all negotiated subagreements
estimated to exceed $10,000. A price analysis is required for formally
advertised procurements estimated to exceed $10,000 if there are fewer than
three bidders. Contractors and subcontractors must submit cost or pricing
data in support of proposals for negotiated procurements.
3.2.14 Profit
Only "fair and reasonable" profits may be paid to contractors awarded
subagreements under EPA assistance agreements. The recipient is responsible
for assuring this by negotiating profit as a separate element of price if
there is no price competition. If two or more bids are received, profit
included in a formally advertised, competitively bid, fixed-price subagreement
shall be considered reasonable. (40 CFR 33.235)
3.2.15 Model Subagreement Clauses
40 CFR 33.1030 provides a series of model subagreement clauses that must be
used by recipients when appropriate. Among them are topics such as "Differing
Site Conditions," "Suspension of Work," and "Remedies."
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3.3 OTHER ASSISTANCE PROVISIONS
3.3.1 Debarment and Suspension
Under 40 CFR Part 32, EPA will not participate In awards made to contractors
that have been debarred or suspended by EPA. The State 1s responsible for
making sure that all contractors hired under a Cooperative Agreement have not
been debarred or suspended.
3.3.2 Letter-of-Credit Procedures
The type of financing used most frequently In remedial Cooperative Agreements
Is the Issuance of a letter-of-credit from EPA to the State. Once the letter
has been Issued, the State may "draw down" the amount to cover project costs.
The letter-of-credit drawdown procedures can be somewhat confusing to States
that have never used them before. For this reason, 1t 1s suggested that a
State entering Into a Cooperative Agreement for the first time demonstrate
that It has a thorough understanding of these financing procedures, and that
It will use Superfund account numbers properly. This provision will probably
not need to be addressed when a State submits an application for amending a
Cooperative Agreement, unless the financing procedures have changed since the
initial agreement was made.
States should include a letter-of-credit provision in all Cooperative
Agreement applications to ensure that they use Superfund account numbers
properly. Then, in expending funds from a site/activity account, the State
must draw down as appropriate. The account codes shown below also are
applicable when a State provides management assistance during a Federal-lead
remedial response activity. For example, when a State provides management
assistance during an RI/FS, the State should charge all activities to the "I"
account. Likewise, the State should charge management assistance during
remedial design to the "N" account, and so on for each activity during site
response.
Appropriate wording for this special condition is shown below:
"In accepting this Cooperative Agreement, the recipient agrees to the follow-
ing conditions for the letter-of-credit method of financing:
• Cash drawdowns will occur only when needed for
disbursements.
• Timely reporting of site disbursements and balances
will be provided, as required by the EPA Letter-of-
Credit Recipient's Users Manual.
• The same standard of timing and reporting will be
imposed on secondary recipients, if any.
• When a drawdown under the letter-of-credit occurs, the
recipient will show on the voucher (Form TFCS-5805)
the Cooperative Agreement number, the appropriate EPA
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account number, and the drawdown amount applicable to
each site/activity account. The eighth digit of the
account number is the code for the appropriate
activity assignment:
J - Pre-Remedial Activities
L - Remedial Investigation/Feasibility Study
N - Remedial Design
R - Remedial Action
S - Operation and Maintenance
E - Removal Actions
3 - State Liaison
7 - General Support and Management
(Note: The definition of these codes is provided in
Appendix A.)
• When funds for a specific activity have been exhausted
but the work, under the activity has not been
completed, the recipient may not draw down from
another activity or site account without written
permission from the EPA Award Official.
• Funds remaining in an account after completion of an
activity may be either returned to EPA or adjusted to
another activity or site, at EPA's discretion.
• Financial Status Reports (SF-269S) are to be submitted
to an EPA Award Official, and report Information on a
site- .and activity-specific basis as follows:
Within 90 days after the close of each budget
period. If the budget period is longer than one
year the report must be submitted annually, based
on the anniversary date of the award;
Within 90 days after the completion of an
activity, as listed in d) above;
Within 90 days after the end of the overall
Cooperative Agreement.
Failure on the part of the recipient to comply with the above conditions may
cause the unobligated portions of the letter-of-credit to be revoked and the
financing method changed to a reimbursable basis."
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3.4 POST AHARD COOPERATIVE AGREEMENT MANAGEMENT
3.4.1 Post Award Management
(Reserved)
3.4.2 Audit/Audit Resolution
(Reserved)
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CHAPTER 4: PREAPPLICATION ASSISTANCE AND ADMINISTRATIVE REVIEW CHECKLIST
Chapter 4 contains a checklist that Regional AAU staff may use to (1) assess
States' capabilities to meet general assistance requirements; and (2) identify
Cooperative Agreement special conditions that will help to ensure the fiscal
integrity of the proposed project.
Part I of the checklist covers the preapplkatlon assistance phase. It
Includes a series of questions to help AAU staff identify potential Issues
regarding general assistance requirements. The questions focus on both: (1)
review of any outline for a Cooperative Agreement application submitted by
States; and (2) discussions with State staff. If any Issues are discovered,
they can be tracked during the review of the Cooperative Agreement
application. The preapplication phase of the checklist can provide more
generic assessment of States' capabilities. Once this section 1s completed,
and AAU staff are satisfied that the State can meet certain requirements, they
no longer need to be concerned with these items during the application review.
Part II of the checklist allows AAU staff to conduct an administrative review
of the Cooperative Agreement application. It contains a detailed 11st of
possible provisions to include in a Cooperative Agreement. The reviewer, can
indicate whether a provision is already in the application, should be put in
the application, or should be made a special condition in the award document.
This portion of the checklist should be filled out prior to meeting with the
State to discuss the adequacy of the application. When completely filled out,
Part II of the checklist provides a complete record of:
• State assurances made in the application;
• AAU staff position on what additional assurances*
should be added to the application;
• AAU staff recommendation on any special conditions
that should be added to the award document.
• Agreements reached by EPA and the State on any other
revisions to the award document; and
« Any follow-up actions needed (such as items that
should be clearly monitored).
Once completed, the checklist should be signed by the AAU staff and included
as part of the official file.
Assurances are what the State
application. Special Conditions
provides in its Cooperative Agreement
are added by EPA in the Award document.
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SUPERFUND COOPERATIVE AGREEMENTS:
ADMINISTRATIVE MANAGEMENT CHECKLIST
PART I: PREAPPLICATION ASSISTANCE
Applicant: Date: _
Program: Name of Project: __
Type of Project:
Has recipient entered Into a SMOA with EPA? Yes No
If yes, list any SMOA provisions that should be reflected In the Cooperative
Agreement:
1.
2.
3.
4.
5.
Does the SMOA Identify roles and responsibilities for both State and EPA
Regional Program Office and Assistance Administration staff? Yes
No
If so, what are they?
Is the proposed project listed in the SCAP? Yes No
Review of Outline on Draft Cooperative Agreement Submitted by State:
Yes No
• Are lead and support agencies identified?
• Are responsibilities of each for document review
and decisionmaking clear?
• Does it include appropriate general oversight
requirements?
• Is the process and timing for priority setting for
responses described?
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Revtew of Outline on Draft Cooperative Agreement (cont.)
Yes No
• Are responsibilities and participation of both State
and Federal Program Office and Assistance Administration
unit (AAU) staff described?
• Has the State self-certified Its procurement system?
• Is the certification form Part A completed?
• If not, does the State demonstrate Its compliance
with EPA procurement requirements (40 CFR 33)?
• Are there any procurement issues requiring
further review?
If so, what are they?
• Has the State prepared a draft budget?
If yes:
Are Federal and State costs for each activity
Identified?
Are costs shown by object class?
Is the draft budget consistent with the
draft statement of work.?
Is State cost-share amount correct?
Do all costs appear allowable (eligible, reason-
able, necessary, and allocable) and consistent
with OMB Circular A-87?
Has the indirect cost rate been approved by
the recipient's cognizant agency?
If no:
Does the State have the information it needs
to prepare an adequate budget?
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Review of Outline on Draft Cooperative Agreement (cont.)
Yes No
• Project Narrative Statement: does It have enough
detail on the proposed activities to allow AAU
staff to monitor progress (I.e., enough mile-
stones)?
If no, what type of information must be Included
In the Cooperative Agreement application?
• Statement of Work.: Does it have enough information
to allow AAU staff to monitor effectively?
If no, what type of information must be included
in the cooperative agreement application?
Discussions with State Assistance Administration Staff
Name and Title of State staff contacted:
Agency/Address
Phone Number
Is the State self-certified?
If yes:
Based on discussions with State staff,
does it appear that their procurement regulations
comply with 40 CFR 33?
If no, what provisions should be examined
further?
Is the State aware of all 40 CFR 30 and 40 CFR 33
requirements (see Chapter 3 of "Managing a Superfund
Cooperative Agreement")?
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Discussions with State Assistance Administration Staff (cont.)
Yes No
List any areas where the state lacks understanding or may have difficulty
complying:
• Has the State prepared a letter certifying the legal
administrative authority of the applicant agency for
this or a previous application?
• Does the State have an intergovernmental review
process, as per 40 CFR 29?
Based on review of application outline and/or conversations
with State staff, what issues warrant further examin-
ation when the application is submitted?
What Issues need not be considered further?
Name of AAU Reviewer:
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SUPERFUND COOPERATIVE AGREEMENTS:
ADMINISTRATIVE MANAGEMENT CHECKLIST
Part II: APPLICATION REVIEH
Date:
Applicant: Program:
Assistance Agreement Number:_
[CHECK ONE] New Continuation,
Draft . Final
Date Received by AAU:
Date Sent to Program:
Type of Project:
Was preappllcatlon assistance provided? Yes No
Did results of that review indicate any areas that may require special
attention? Yes No
List:
PART I: COMPLETENESS OF APPLICATION
Yes No
• All pages of application form filled out?
• Narrative statement included with scope of work?
• Intergovernmental review?
• Certification letter signed by Gov. or designee?
• Authorized representative identified?
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PART II: BUDGET INFORMATION
Was a draft budget reviewed during preapplication assistance?
If yes, review primarily for changes 8. response to issues raised.
Yes No
Sections A and B: Broken out by site and activity?
Section B: Activities divided into object class
categories?
All numbers consistent with Statement of Work.?
If not, identify inconsistent areas:
Yes No
State cost-share required?
What percentage?
Cost share calculated accurately?
Use of State credits identified?
Are all costs allowable?
Identify any problem areas
What is the indirect cost rate?
Are all identified enforcement costs allowable?
List any problem areas:
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SUMMARY OF BUDGET INFORMATION
Total Project Costs $.
Unallowable Costs Identified: $_
EPA Funds Requested: $_
Non-Federal Funds Budgeted: $_
Special Conditions Required for Budget Information:
PART III: PROJECT NARRATIVE
Was a draft project narrative reviewed during the preapplicatlon phase?
(If yes, review primarily for changes and response to Issues raised.)
Yes No
Does Site Description Include:
• Background/history?
• Current status
• Purpose/objectives
• How project will be Implemented?
Does Statement of Work Include:
• A week-by-week implementation schedule?
• A description of project scope?
• Detailed budget breakdowns for each object class
category?
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PART IV: COOPERATIVE AGREEMENT PROVISIONS—REVIEW CHECKLIST (AAU Review)
Should
Already be Should
in Added to be a
Appli- AppU- Special
cation cation Condition
General Assistance Provisions (40 CFR 30):
• Cost Sharing:
Review Notes:
• Recordkeeptng for State & Contractors:
Review Notes:
Access to Records
Review Notes:
Progress Reports:
Review Notes:,
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Already
In
Appli-
cation
Should
be
Added to
Appli-
cation
Should
be a
Special
Condition
Financial Status Reports:
Review Notes:
• Quality Assurance Project PIa_n:
Review Notes:
Financial Management System:
Review Notes'.
• Property Acquisition (Real/Personal)
Review Notes:
• Property Management (Real/Personal):
Review Notes:
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Should
Already be Should
In Added to be a
Appli- Appll- Special
cation cation Condition
Audits:
Review Notes:
Procurement Provisions (40 CFR 33):
• State responsibility for contractors:
Review Notes:
Contractor Qualifications:
Review Notes:
Code of Conduct:
Review Notes:
• Methods for Procuring Assistance:
Review Notes:
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Already
1n
Appli-
cation
Should
be
Added to
Appli-
cation
Should-
be a
Special
Condition
Promoting Competitlon:
Review Notes:
• Acceptable Types of Subagreements
Review Notes:
• Minority Business Enterprises, Women's
Business Enterprises:
Fair Share Objective:
Commitment to submit SF 334
on a quarterly basis:
Review Notes:
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Already
In
Appli-
cation
Should
be
Added to
Appli-
cation
Should
be a
Special
Condition
Submission of Information to EPA
(If not certified):
Review Notes:
* Documentation of procurement records
Review Notes:
State procedures for establishing
specifications:
Review Notes:
* Bonding and Insurance:
Review Notes:
• Federal Cost Principles:
Review Notes:
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Already
1n
Appli-
cation
Should
be added
to
Appli-
cation
Should
be a
Special
Condition
• Cost and Price Considerations:
Review Notes:
* Cost Sharing Assurances:
Review Notes:
Other Provisions
• Letter of Credit:
Demonstrated understanding of draw-
down procedures:
Review Notes:
* Debarment and Suspension:
Review Notes:
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Summary of Issues
What items should be added to the award document as "special conditions?"
What State staff were contacted to discuss these Items?
Name:
Agency.
Title:
Telephone Number:
Date Contacted:
Did the State staff protest adding any of these items as special conditions?
Yes No
If yes, which ones?
What was the outcome of these discussions?
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Follow-Up Actions
List any Items or potential Issues that need to be closely monitored
throughout project Implementation.
Name of AAU Reviewer Date
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APPENDIX A: SUPERFUND ACTIVITY CODE LIST
FOR COOPERATIVE AGREEMENTS
3 - PRE-REMEDIAL ACTIVITIES
To be used for all remedial site efforts from Inception through ranking
for the NPL. This Includes Initial review of site documents, discovery
and notification, initial site review, preliminary assessments, site
Inspections, and NPL ranking activities. Usually charged to accounts
with "ZZ" In the Identifier position.
L - REMEDIAL INVESTIGATION/FEASIBILITY STUDY
Further Investigate extent of problems and provide data to define and
assess the merits of alternative remedial actions. Field data obtained
are used to support design and enforcement. Evaluate and analyze
remedial alternatives and recommend a cost-effective approach. Includes
. forward planning. Also used for management assistance support during a
Federal-lead RI/FS.
N - REMEDIAL DESIGN
Includes all costs associated with design efforts, Including the
development of final plans, specifications, and documents necessary to
implement the selected remedial action. Also used for management
assistance support during a Federal-lead RD.
R - REMEDIAL ACTION
Includes operable units where minimum engineering design services are not
required to prepare bid packages. Also includes major, long-term
remedial actions, involving Implementation, following design, of remedial
measures and construction management services during remedial action.
Also used for management assistance support during a Federal-lead RA.
S - OPERATION AND MAINTENANCE
It 1s not EPA's policy to fund operation and maintenance of a completed
remedy. EPA will, however, fund that part of remedial action, for a
period not to exceed one year, to ensure that the installed remedy is
operational and functional. EPA will fund up to 10 years of operation of
such treatment or measures involved with the restoration of contaminated
ground or surface water or until levels that assure protection of human
health and the environment are achieved, whichever occurs first. Both of
these situations are considered part of remedial action, and, therefore,
must be funded under the "R" code.
E - REMOVAL ACTIONS
Includes all costs associated with the cleanup or removal of hazardous
substances from the environment; such actions as may be necessary taken
1n the event or the threat of release of hazardous substances into the
A-l
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r
environment. This includes but is not limited
other measures to limit access, provision of alte
temporary evacuation, etc. Other costs include
management; documentation; and coordinatioi
Federal agencies.
security fencing or
native water supplies,
site-specific removal
1th State/local/other
-------
environment. This includes but is not limited to security fencing or
other measures to limit access, provision of alternative water supplies,
temporary evacuation, etc. Other costs include site-specific removal
management; documentation; and coordination with State/local/other
Federal agencies.
3 - STATE LIAISON
This activity includes assistance provided to State governments that have
entered into an enforcement cooperative agreement with EPA to fund
support, management and oversight costs, pre-enforcement and litigation
at sites designated as State enforcement lead or to assist States In
gaining expertise by co-managing or overseeing sites with Federal
government lead.
7 - GENERAL SUPPORT AND MANAGEMENT
Includes all support and management costs that benefit the overall
Superfund program's management including all approved costs associated
with the Core Program.
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