oEPA
United States
Environmental Protection
Agency
Office of Emergency and
Remedial Response
Washington DC 20460
EPA 540/G-88/001
(OSWER Directive 9230 1 -03)
June 1988
Superfund
The Citizens' Guidance
Manual For The Technical
Assistance Grant Program
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OWSER Directive 9230.1-03
THE CITIZENS' GUIDANCE MANUAL
FOR THE
TECHNICAL ASSISTANCE GRANT PROGRAM
U.S. Environmental Protection Agency
Washington, D.C.
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The Citizens' Guidance Manual for the Technical Assistance Grc^t Program
NOTICE
This document has been funded, wholly or in part, by the United States Envi-
ronmental Protection Agency under Contract No. 63-01 -7389 to ICF Incorpo-
rated. It has been subject to the Agency's peer and administrative review and
has been approved for publication as an Agency document.
in
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
PREFACE
Informed public involvement is integral to U.S. Environmental Protection Agency (EPA) and State actions at
hazardous waste sites taken under the Comprehensive Environmental Response, Compensation, and Liability
Act of 1980 (CERCLA). as amended, commonly known as "Superfund." To facilitate this public involvement
throughout the planning and implementation of remedial response at hazardous waste sites, EPA conducts
community relations activities at such sites to encourage two-way communication between EPA and States on
the one hand, and communities affected by Superfund sites on the other EPA seeks to provide the public with
accurate and timely information about cleanup plans and progress, and encourages citizen input throughout
the government's decision-making process.
The Superfund Amendments and Reauthonzation Act of 1986 (SARA), which amended CERCLA, provides un-
der section 117(e) an important new component of EPA's community relations activities at Superfund sites —
technical assistance grants to affected groups The purpose of these grants is to assist citizens' groups in
understanding technical information that assesses potential hazards and the selection and design of appropri-
ate response actions at Superfund sites.
This manual outlines Federal policies, procedures, and regulations related to the Technical Assistance Grant
Program and provides instructions on how to complete Federal grant forms If a State administers the Techni-
cal Assistance Grant Program, the State may have additional procedures and requirements that affect citizens'
groups applying for grants within that State. In addition, a State may require groups to complete different
forms. Groups, therefore, should contact the appropriate State representative for specific information if their
State is administering the Technical Assistance Grant Program
This manual is designed to help citizens' groups apply for and manage a technical assistance grant It is writ-
ten as a self-help guide in an easy-to-understand manner. Step-by-step instructions for completing various
forms are included throughout the manual In addition, copies of blank forms have been included for easy ref-
erence Samples of material required of citizens' groups also have been provided as models Finally, copies
of relevant portions of the EPA grant and procurement regulations and Office of Management and Budget
(OMB) Circulars have been provided in an appendix as a handy reference tool. If you have any comments on
the uselulress and clarity of this manual, please send them to EPA at the following address
Daphne Gemmill (WH-548E)
Office of Emergency and Remedial Response
U S Environmental Protection Agency
401 M Street, S W
Washington, D C. 20460
rjate J Winston Porter
Assistant Administrator for Solid
Waste and Emergency Response
U S Environmental Protection Agency
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
TABLE OF CONTENTS
Page
PREFACE
IV
XI
LIST OF EXHIBITS
LIST OF ACRONYMS .......... '. [[[ xin
GLOSSARY OF TERMS USED IN THIS MANUAL ....................................... xv
CHAPTER 1. OVERVIEW [[[ 1
The Grant Application Process ................................................. 3
The Procurement Process [[[ 4
CHAPTER 2. USING TECHNICAL ASSISTANCE IN THE SUPERFUND REMEDIAL PROCESS ....... 9
The Superfund Program [[[ 9
The Remedial Process [[[ 11
Removal Actions at Remedial Sites ........................................ ' ........ 21
Summary [[[ 22
CHAPTER 3. REQUIREMENTS OF THE TECHNICAL ASSISTANCE GRANT PROGRAM .......... 27
Applicant Qualifications [[[ 27
Activities Suited for Technical Assistance ................................................ 34
Financial Requirements [[[ 36
CHAPTER 4. GRANT APPLICATION AND AWARD PROCESS .......................... 43
The Grant Application Process [[[ 43
The Grant Award Process ............. .............................. 76
The Continuation Application .......... ...... .......... • 80
CHAPTER 5. HOW TO HIRE TECHNICAL ADVISORS ................... 83
Identifying Prospective Technical Advisors ........................................... 83
Meeting EPA Procurement Requirements ......................... • 86
Requirements for All Procurements
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TABLE OF CONTENTS (continued)
Page
CHAPTER 6. MANAGING TECHNICAL ASSISTANCE GRANTS 103
Financial Management 103
Reporting Requirements 116
Recordkeepmg and Audit Procedures 125
APPENDIX A. SAMPLE MATERIALS TO BE PREPARED BY GRANT APPLICANTS AND RECIPIENTS
Part IV of the EPA Grant Application A-3
Sample Request for Proposals A-15
Sample Public Notice A-19
Sample Technical Advisor Subagreement A-21
Sample Cost Analysis A-29
APPENDIX B. BLANK FORMS B-1
Application for Federal Assistance (EPA Form 5700-33)
Procurement System Certification (EPA Form 5700-48)
Minority and Women's Business Utilization Report (EPA Form SF 334)
Request for Advance or Reimbursement (Standard Form 270)
Financial Status Report (Standard Form 269)
Cost or Price Summary Format for Subagreements unde" U.S EPA Grants (EPA Form 5700-41)
APPENDIX C. KEY CONTACTS FOR THE TECHNICAL ASSISTANCE GRANT PROGRAM
Contacts for the Superfund Program C-3
Small. Minority, and Women's Business Contacts C-9
Intergovernmental Review Contacts C-11
APPENDIX D. SELECTED REGULATORY TEXT
EPA Grant Regulations D-1
EPA Procurement Regulations D-45
OMB Circular A-122 and Revision D-86
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
TABLE OF CONTENTS (continued)
Page
APPENDIX E. CHECKLIST FOR TECHNICAL ASSISTANCE GRANT APPLICANTS AND RECIPIENTS
Applying for a Grant • E~3
Hiring a Technical Advisor E~3
Managing the Grant E~4
INDEX '"1
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
LIST OF EXHIBITS
Page
Exhibit 1-1: Applying for a Technical Assistance Grant 6
Exhibit 1 -2: Hiring a Technical Advisor 7
Exhibit 2-1: Summary of Public Documents Prepared During the Remedial Process 23
Exhibit 3-1: Examples of In-Kind Contributions 39
Exhibit 4-1: Sample Letter of Intent 45
Exhibit 4-2: Instructions for Completing Part IV of the Technical Assistance Grant Application . . 49
Exhibit 4-3: Example of Technical Assistance Hours Distributed By Activities 54
Exhibit 4-4: Instructions for Completing Procurement System Certification 74
Exhibit 5-1: Competitive Negotiation Procurement Process 94
Exhibit 6-1: Sample Ledger for Recording Cash Transactions for Budget Period 114
Exhibit 6-2: Sample Quarterly Progress Report 117
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The Citizens' Guidance Manual for the Technical Assistance Grc.it Program
LIST OF ACRONYMS
The following list contains acronyms commonly used in conjunction with the Superfund program. These terms
are used throughout the manual. This list is presented first and then is followed by a glossary so that you will
be familiar with these acronyms and terms as you read this manual.
CERCLA
Comprehensive Environmental Response, Compen-
sation, and Lability Act of 1980, as amended by the
Superfund Amendments and Reauthonzation Act of
1986 (SARA)
ROD
Record of Decision
RA
Remedial Action
CR
Community Relations
RD
Remedial Design
FS
Feasibility Study
RFP
Request for Proposals
HRS
Hazard Ranking System
Rl
Remedial Investigation
NCP
National Oil and Hazardous Substances Pollution
Contingency Plan
RI/FS
Remedial Investigation/Feasibility Study
NPL
National Priorities List
RPM
Remedial Project Manager
O&M
Operation and Maintenance
SI
Site Inspection
PRP
Potentially Responsible Party
TAG
Technical Assistance Grant
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
GLOSSARY OF TERMS USED IN THIS MANUAL
This glossary defines terms describing activities under the Comprehensive Environmental Response, Compen-
sation, and Liability Act of 1980 (CERCLA. commonly called Superfund), as amended by the Superfund
Amendments and Reauthonzation Act of 1986 (SARA) The definitions apply only to this manual and may have
other meanings when used in different circumstances In addition, terms used in EPA regulations governing
grant and procurement processes (40 CFR Parts 30 and 33) are included Italicized words are defined sepa-
rately in the glossary.
Administrative Record:
All documents which EPA considered or relied on in selecting the response action at a Superfund site, culmi-
nating in the record of decision for remedial action or action memorandum for removal actions The adminis-
trative record is available at EPA Regional Offices and individual site information repositories
Allocable Costs:
A cost is allocable to a project if it is incurred specifically for one or more project objectives. An allocable
cost also can be one that is necessary to the overall operation of the project, but does not directly benefit any
specific project objective (e g administrative costs, salary of technical advisor)
Allowable Costs:
Costs that are eligible, reasonable, necessary, and allocable to a project These costs must be permitted by
appropriate Federal regulations and approved by EPA in the grant agreement
Applicant:
Any group of individuals that files an application for a technical assistance grant
Application:
A completed formal written request for a technical assistance grant that is submitted to the Agency on EPA
Form 5700-33, "State and Local Nonconstruction Program," or to a State on its appropriate form
Award:
The technical assistance grant agreement signed by both EPA and the recipient
Award Official:
The official authorized to sign grant agreements
Budget:
A financial plan for the spending of all Federal and matching funds (including in-kind contributions) for a tech-
nical assistance grant project as proposed by the applicant, and negotiated with and approved by the Award
Official
Budget Period:
The length of time specified in a grant agreement during which the recipient may spend or obligate Federal
funds The budget period may not exceed three years A technical assistance grant protect period may be
comprised of several budget periods
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GLOSSARY OF TERMS (continued)
Cash Contribution:
Actual non-Federal dollars, or Federal dollars if expressly authorized by statute, that a recipient spends for
goods and services and real or personal property used to satisfy the matching funds requirement (Also see
in-kind contribution)
Closeout:
The final actions by EPA and the grant recipient to assure satisfactory completion of project work and to fulfill
administrative requirements, including (a) financial settlement, (b) submission of acceptable required final re-
ports by the grant recipient, and (c) the resolution of any outstanding issues under a grant agreement
Code of Federal Regulations (CFR):
An annually revised codification of the rules published in the Federal Register by the executive departments
and agencies of the Federal government The CFR is divided into 50 titles which represent broad areas sub-
ject to Federal regulation. Actions by EPA are governed by Title 40 of the CFR
Community Relations (CR):
EPA's program to inform and involve the public in the Superfund process and to respond to community con-
cerns
Community Relations Coordinator (CRC):
The EPA, State, or Federal facility official in charge of public involvement programs at a Superfund site
Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA), as
amended:
A Federal law passed in 1980 and modified by the Superfund Amendments and Reauthonzation Act of 1986
(SARA). Commonly known as Superfund, CERCLA is intended to protect human health and the environment'
The law also created the Hazardous Substance Superfund, which is financed by special taxes and general
Federal revenues for the purpose of (1) investigating and cleaning up abandoned or uncontrolled hazardous
waste sites, and (2) taking short-term actions to deal immediately with spills and other emergency situations
involving hazardous substances Under the program, EPA can either (1) pay for site cleanup when parties
responsible for the contamination cannot be located or are unwilling or unable to perform the work, or (2) take
legal action to force parties responsible for site contamination to clean up the site or pay back the Federal
government for the cost of cleanup
Continuation:
The extension of a grant agreement for an additional budget period beyond the date to which EPA agreed to
fund a specific project A continuation would be used at the end of each budget period, thus several may be
necessary for one project
Contractor:
Any party (i e , technical advisor) to whom a recipient awards a subagreement
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
GLOSSARY OF TERMS (continued)
Cost Analysis:
The review and evaluation of the cost of each subagreement item to determine if it is reasonable, allocable,
and allowable
Debarment:
An action taken by the Director, Grants Administration Division, U S EPA under 40 CFR Part 32 to deny an indi-
vidual, organization or unit of government the opportunity to participate in EPA grant agreements or to receive
subagreements
Direct Costs:
Those costs that can be identified with and charged to a specific project objective An example would be the
time a technical advisor spends reviewing the feasibility study report (Also see indirect costs)
Eligible Costs:
Those costs that the Federal government is authorized by applicable laws and regulations to pay (See allow-
able costs)
Enforcement:
EPA's efforts, through legal action, if necessary, to force potentially responsible parties to perform or pay for a
Superfund site project
EPA:
The U S Environmental Protection Agency or the Agency Where a State administers the Technical Assistance
Grant Program, the term "EPA" may mean a State agency.
Expendable Personal Property:
Personal property with a useful life of less than two years and/or an acquisition cost of less than $500 An ex-
ample would be office supplies (Also see nonexpendable personal property)
Feasibility Study (FS):
See remedial investigation/feasibility study
Federal Facility:
A facility that is owned or operated by any department, agency, or instrumentality of the United States
Formal Amendment:
A written modification of a grant agreement signed by hoth the authorized representative of the recipient and
the Award Official
Grant Agreement:
A legal document that transfers money, or anything of value, to a recipient to accomplish the purpose of the
techmcal assistance grant protect It specifies budget and proiect periods, the Federal and match.ng shares
of eligible pro/eel costs, a description of the work to be accomplished, and any special conditions
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GLOSSARY OF TERMS (continued)
Hazardous Substance:
Any material that poses a threat to human health and/or the environment Typical hazardous substances are
materials that are toxic, corrosive, ignitable, explosive, or chemically reactive
Health Assessment:
An evaluation of available data on existing or potential risks to human health posed by a Superfund site The
Agency for Toxic Substances and Disease Registry of the U S Department of Health and Human Services is
required to perform a health assessment at every site on the National Priorities List.
Indirect Costs:
Any costs that are incurred for general administration of a project, that cannot be directly charged to a particu-
lar project objective. Indirect costs also are referred to as overhead or burden costs. For example, the office
supplies (paper, pencils, etc) purchased for the accounting of a technical assistance grant are indirect costs
(Also see direct costs)
Information Repository:
A file containing current information, technical reports, and reference documents regarding a Superfund site
The information repository usually is located in a public building that is convenient for local residents — such
as a public school, city hall, or library
In-Kind Contribution:
The value of a non-cash contribution used to meet a recipient's matching Funds requirement in accordance
with 40 CFR 30 307(b) An in-kind contribution may consist of charges for equipment or the value of goods
and services necessary to and directly benefiting the EPA-funded project
Matching Funds:
The portion of allowable project costs that a recipient contributes toward completing the technical assistance
grant project using non-Federal funds or Federal funds if expressly authorized by statute The match may in-
clude in-kind as well as cash contributions
National Oil and Hazardous Substances Pollution Contingency Plan (NCP):
The Federal regulation that guides the Superfund program
National Priorities List (NPL):
EPA's list of the most serious hazardous waste sites identified for possible long-term remedial response EPA
is required to update the NPL and publish it in the Federal Register at least once a year
Nonexpendable Personal Property
Personal property with a useful life of at least two years and an acquisition cost of S500 or more (see 40 CFR
30 200), such as a word processor (Also see expendable personal property)
Nonprofit Organization:
Any corporation, trust, association, cooperative, or other organization which (1) is operated primarily for sci-
entific, educational, service, charitable, or similar purposes in the public interest, (2) is not organized primarily
for profit, and (3) uses its net proceeds to maintain, improve, and/or expand its operations
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GLOSSARY OF TERMS (continued)
Operable Unit:
A response action taken as one part of an overall site response. A number of operable units can be used in
the course of a site response
Operation and Maintenance (O&M):
Activities conducted at a site after a remedial action occurs to ensure that the cleanup or containment system
continues to function properly
Outlays:
The payment of obligations which involves issuing checks or spending cash The terms "expenditures" and
"net disbursements" are frequently used interchangeably with the term "outlays " An example of an outlay that
might be made under a technical assistance grant would be paying a technical advisor for the time he/she
spent reviewing the site feasibility study.
Personal Property:
Property other than real property It may be tangible (having physical existence), such as equipment and sup-
plies, or intangible (having no physical existence), such as patents, inventions, and copyrights
Potentially Responsible Party (PRP):
Any individual(s) or company(ies) (such as owners, operators, transporters, or generators) potentially responsi-
ble under sections 106 or 107 of CERCLA for the contamination problems at a Superfund site
Price Analysis:
The process of evaluating a prospective price without regard to the contractor's separate cost elements (e g ,
labor, travel, other direct costs) and proposed profit Price analysis determines the reasonableness of the pro-
posed subagreement price based on such indicators as adequate competition or previous experience with
similar work
Profit:
The net proceeds obtained by subtracting all allowable costs (direct and indirect) from the price (Because
this definition of profit is based on applicable Federal cost principles, it may vary from many firms' definition of
profit, and may correspond to their definition of "fee ")
Project Costs:
All costs the recipient incurs in carrying out the project Under the Technical Assistance Grant Program, 3!>
percent of these costs will be paid by the recipient with the remaining percentage to be paid by the Federal
government
Project Period:
The period of time specified in the grant agreement for completion of all project work It may be composed of
more than one budget period
Real Property:
Land, including buildings, fences, and other structures, but excluding movable machinery and equipment,
which are classified as personal property
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GLOSSARY OF TERMS (continued)
Responsiveness Summary:
A summary of oral and/or written public comments received during the comment period on key site docu-
ments, and the agency's responses to those comments. As a part of the record of decision at a National Pri-
orities List site, the responsiveness summary documents agency decision-makers' responses to concerns
raised by the community
Risk Assessment:
An evaluation performed as part of the remedial investigation to assess conditions at a Superfund site and
determine the risk posed to human health and/or the environment
Start of Response Action:
The" point in time when there is a guarantee or set-aside of funding either by EPA, other Federal agencies,
States, or PRPs in order to begin response actions at a site The document, which reflects the set-aside of, or
formally guarantees, funding during the coming fiscal year, is EPA's annual Superfund Comprehensive Accom-
plishments Plan (SCAP)
Subagreement:
A written agreement between the technical assistance grant recipient and another party (a contractor other
than a public agency) for services or supplies necessary to complete the technical assistance grant project
Subagreements include contracts and subcontracts for personal and professional services or supplies neces-
sary to complete the technical assistance grant protect, and agreements with consultants, and purchase or-
ders
Superfund:
The common name used for the Comprehensive Environmental Response, Compensation, and Liability Act of
1980 (CERCLA) Also referred to as the Hazardous Substance Superfund, Superfund was established by
CERCLA to help pay for the cleanup of hazardous waste sites and to take legal action to force those responsi-
ble for the sites to clean them up
Technical Advisor:
A person hired by a technical assistance grant recipient to help affected groups and individuals interpret site-
related documents regarding the nature of the hazard at the Superfund site for which the grant has been re-
ceived
Technical Assistance Grant Project:
The activities or tasks identified in the granf agreement, which comprise a recipient's technical assistance pro-
ject
Technical Assistance Grant (TAG) Project Officer:
The official designated in the grant agreement as EPA's Technical Assistance Grant Program contact with the
recipient. TAG Project Officers are responsible for monitoring the project
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The Citizens' Guidance Manual for the Technical Assistance Grcit Program
CHAPTER 1
OVERVIEW
The U.S. Environmental Protection Agency (EPA) is responsible for
protecting and enhancing the quality of the environment. As part of
this responsibility, EPA administers the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980 (CERCLA), as
amended by the Superfund Amendments and Reauthorization Act of
1986 (hereafter referred to as CERCLA). Also known as Superfund,
CERCLA authorizes EPA to clean up abandoned or uncontrolled haz-
ardous waste sites across the United States that the Agency has
placed on the National Priorities List (NPL)." An important aspect of
the Superfund program is citizen involvement at the local level in
decisions that relate to site-specific cleanup actions.
Decisions concerning cleanup activities at Superfund sites must take
into account a spectrum of technical considerations. The process of
cleaning up a Superfund site requires detailed technical study of the
nature and extent of contamination at the site, analysis of the meth-
ods and techniques available for performing cleanup actions, and
design and implementation of the actual site cleanup. In planning
and implementing these cleanup efforts, EPA and States seek to in-
volve citizens living near these sites in activities and decisions made
about the site-specific cleanup process.
Clearly, an understanding of the technical issues concerning a haz-
ardous waste site in their community helps citizens provide thought-
ful, informed comments to decision-makers considering proposed
Superfund actions. Recognizing the need for citizens to be well in-
formed of the conditions and activities at Superfund sites in their
community and the importance of informed comment from citizens,
Congress established the Technical Assistance Grant Program as
part of the Superfund program. The Technical Assistance Grant Pro-
gram provides grants of up to $50,000 to citizens' groups to obtain
assistance in interpreting information related to cleanups at Super-
fund sites on or proposed for the NPL. These grants are to be
•The NPL is EPA's list of the most serious hazardous waste sites identified for
possible long-term remedial response. EPA Is required to update the NPL and
publish it in the Federal Register at least once a year.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
regulatory provisions have been highlighted; therefore, grant appli-
cants (i.e.. any group or individual that files an application for EPA
financial assistance) must read these regulations carefully.
While specific steps for obtaining and managing technical assistance
grants are explained in later chapters of the manual, a summary of
the steps involved in applying for a grant and hiring or procuring a
technical advisor are provided below.
The Grant Application Process
1. Submit Letter of Intent — Groups must notify EPA of their inter-
est to apply for a technical assistance grant by submitting a letter of
intent.
2. EPA Response — EPA will undertake certain activities to formally
notify the community that a grant for the site soon may be awarded
depending on the schedule for work at the site.
3. Begin Consolidation — Other potential applicants then would
have 30 days to contact the original applicant to form a coalition and
submit a single application. If the groups cannot form a single coali-
tion, applicants must notify EPA and will have an additional 30 days
to file competing applications.
4. Complete the Grant Application — Applicants must complete
the grant application, EPA Form 5700-33, including Part IV of the
application which describes applicant qualifications, the projected
tasks, and the schedule and budget for technical assistance activi-
ties.
5. Complete the Procurement System Certification Form — Appli-
cants must complete a procurement system certification form, EPA
Form 5700-48, agreeing to comply with relevant EPA requirements.
6. Begin Intergovernmental Review — Applicants must contact the
appropriate State office to determine what steps are needed to com-
ply with their State's intergovernmental review process, if applicable.
7. Submit Application Package — Applicants must submit a com-
pleted grant application (EPA Form 5700-33) and the procurement
system certification (EPA Form 5700-48) to the appropriate EPA Re-
gional Office.
8. EPA Response — EPA will notify each applicant group in writing
as to whether its grant request has been approved or rejected.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Exhibit 1-1 illustrates the application process for the Technical Assis-
tance Grant Program and Exhibit 1-2 illustrates the process of hiring
a technical advisor. The length of the technical assistance grant
application process will differ from one site to another, as will the
procurement process during which a subagreement between the
grant recipient and the technical advisor is awarded.* The applica-
tion process may take as long as 17 weeks, while hiring a technical
advisor may take 14 weeks.
If your group is applying for a technical assistance grant, you should
anticipate that some steps in the process will be more time-
consuming than others. We recommend that your group identify
and initiate these activities well in advance of required deadlines; for
example, forming coalitions with other groups, identifying and secur-
ing in-kind services, identifying matching funds, identifying potential
technical advisors, developing budget tracking procedures, and set-
ting up recordkeeping systems. Careful advance planning can help
minimize delays in obtaining a grant and hiring a technical advisor.
If your group is interested in applying for a technical assistance
grant, you should be aware that if a State chooses to administer the
program, the State may have additional requirements and forms to
be completed by applicants. Before your group begins the applica-
tion process outlined in this manual, you should check with the ap-
propriate State contact if your State is administering the program.
(See Appendix C for a list of State Superfund contacts.)
This manual las been prepared to guide you through the EPA grant
application and procurement process. Specifically, this manual is
organized as follows:
Chapter 2, "Using Technical Assistance in the Superfund Remedial
Process," outlines the role of a technical advisor within the Super-
fund program. Also included is a list of documents prepared during
the remedial process that a technical advisor might review.
Chapter 3, "Requirements of the Technical Assistance Grant Pro-
gram," outlines the requirements of the technical assistance pro-
gram. Topics discussed in detail include applicant qualifications,
activities suited for technical assistance, and the financial require-
ments of a grant.
"Groups may choose to hire one individual, several individuals, or an organiza-
tion—such as a consulting firm—to perform technical assistance activities.
Throughout this manual, therefore, the term "technical advisor' is used generally
to refer to an individual or individuals under contract to the grant recipient to pro-
vide tecinlcal assistance services.
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The Citizens' Guidance Manual for the Technical Assistance Gram Program
Exhibit 1-2
Hiring a Technical Advisor
Recipient selects a
procurement method
for hiring a technical
advisor.
Recipient prepares
a request (or
proposals (RFP).
Recipient publishes
a public notice
soliciting proposals
Recipient sends
copies of the RFP
to prospective
technical advisors
Recipient evaluates
the proposals
Recipient selects a
technical advisor &
awards the
subagreement
Recipient develops
subagreement with
the technical
advisor
Week 0
Week 6
Week 10
Weeks 14
The process illustrated in this exhibit is based on the competitive negotiation procurement process
(Note for amounts over $25 000 )
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The Citizen's Guidance Manual for the Technical Assistance Grant Program
CHAPTER 2
USING TECHNICAL
ASSISTANCE IN THE
SUPERFUND REMEDIAL
PROCESS*
I
The availability of technical assistance grants will provide communi-
ties with the resources necessary to hire technical advisors. Obtain-
ing the resources to hire a technical advisor, however, is only the
first step. Each citizens' group will have to define the role of the
technical advisor so as to meet their project's unique objectives for
understanding complex site issues and contributing effectively to the
Superfund process. This chapter provides an overview of the Super-
fund remedial process. Rather than give a comprehensive presenta-
tion about the Superfund program, this discussion highlights the
types of technical documents produced during the Superfund re-
sponse process and identifies opportunities for public involvement.
This information will help you define an effective role for your techni-
cal advisor in the Superfund process. Because site conditions vary
widely, however, you should not hesitate to consider site-specific
circumstances in determining how best to use a technical advisor.
The Superfund Program
CERCLA is the nation's principal means of addressing the public
health and environmental threats posed by abandoned or uncon-
trolled hazardous waste sites. This law emphasizes the selection of
remedies that permanently treat or destroy wastes rather than dis-
posing of waste in landfills without such treatment. The law e-.lso
•Sections of this chapter have been taken directly from (a) "Interim Guidance on
Superfund Selection of Remedy," Office of Solid Waste and Emergency Re-
sponse, U.S. Environmental Protection Agency, December 1986; |b) "(Suldance
on Remedial Investigations under CERCLA.' Office of Research and Development
and Office of Solid Waste and Emergency Response, U.S. Environment! Protec-
tion Agency, April 1985; (c) "Superfund Remedial Design and Remedial Action
Guidance." Office of Emergency and Remedial Response, U.S. Environmental
Protection Agency, February 1985; (d) Community Relations in Suoerfund: A
Handbook (Interim Version), Office of Emergency and Remedial Response, U.S.
Environmental Protection Agency. March 1986; and (e| "Final Guidance for Coor-
dinating ATSDR Health Assessment Activities with the Superfund Remedial Proc-
ess." Office of Solid Waste and Emergency Response. U.S. Environmental Pro-
tection Agency. March 11, 1987.
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The Citizen's Guidance Manual for the Technical Assistance Grant Program
EPA. in consultation with States, decides which agency will be in
charge of managing the site cleanup. Regardless of who carries out
the response action at a Superfund site, the procedures governing
that action are outlined in the National Contingency Plan (NCP). The
NCP is the Federal regulation that specifies the requirements for
planning and implementing response actions at Superfund sites and
carries the force of law.
Hazardous waste sites currently or previously owned by other Fed-
eral agencies (e.g., U.S. Department of Defense, U.S. Department
of Interior) also are included on the NPL. At these sites, the Federal
agency pays the cleanup costs. CERCLA provides that EPA make
the final selection of a remedy at a Federal facility on the NPL if the
Federal agency involved and EPA disagree.
CERCLA also authorizes technical assistance grants for sites on or
proposed for the NPL where a response action has begun. There-
fore, the role of the technical advisor at NPL sites is examined in the
remainder of this chapter. This discussion also addresses those
situations in which a significant removal action occurs at an NPL site,
and the special considerations for using an advisor presented by en-
forcement-managed responses and Federally-owned sites. Because
the primary role of the technical advisor is to interpret site-related
information and documents, Exhibit 2-1 (at the end of this chapter)
provides a summary of documents prepared during the remedial
process.
The Remedial Process
The remedial process, as outlined below, is divided into four phases:
* preliminary assessment & site inspection (PA/SI);
+ remedial investigation/feasibility study (RI/FS);
4 remedial design (RD); and
* remedial action (RA).
Preliminary Assessment and Site
Inspection
We learn about potential sites for remedial action through a variety
of sources, including:
4 Reports from concerned citizens;
* Reports required by law;
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The Citizen's Guidance Manual for the Technical Assistance Grant Program
of the response action. A technical advisor could be asked to re-
view the PA/SI data that led to the site's listing. Given limited fund-
ing and the limited scope of the PA/SI, however, your group may
want to consider the usefulness of an advisor's retroactive analysis
of the preliminary data produced during the PA/SI. Furthermore,
while a technical advisor may review activities and documents under-
taken or developed before the Rl/FS, this retroactive analysis cannot
be used to revive issues and decisions previously made by the
Agency regarding the listing of the site.
Remedial Investigation/
Feasibility Study
The Scoping Process and
Development of Planning
Documents
After a site is proposed for or added to the NPL. a study may be
conducted, known as a remedial investigation/feasibility study (Rl/
FS). The purpose of the Rl is to determine the nature and extent of
site contamination by conducting field work at the site. This work
may include taking air, water, and soil samples. Information col-
lected during the Rl then is used in the FS to develop and evaluate
remedial alternatives based on effectiveness, implementability, and
cost factors.
•
The Rl/FS process is interactive. The process of identifying alterna-
tives and site-specific cleanup standards based on "applicable or
relevant and appropriate requirements" (ARARs) of Federal and
State laws and regulations may indicate the need for additional re-
medial investigations. As more information about site characteristics
and remedial alternatives becomes available, ARARs can be identi-
fied with certainty.
Several planning documents (see Exhibit 2-1) are prepared in con-
junction with the Rl/FS:
4 The sampling and analysis plan defines the level of effort and
specific field activities for an Rl. and ensures that Rl data are
accurate and scientifically and legally defensible. A system of
procedures, checks, audits, and corrective actions are used to
ensure that field work and laboratory analysis performed during
the investigation and cleanup of Superfund sites meet estab-
lished standards.
• The health and safety plan (HASP) assesses site hazards and
specific procedures to protect workers from these hazards.
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The Citizen's Guidance Manual for the Technical Assistance Grant Program
Health Assessment
CERCLA requires the Agency for Toxic Substances and Disease Reg-
istry (ATSDR). which is part of the U.S. Department of Health and
Human Services, to perform a health assessment for each site on or
proposed for the NPL. To the extent possible, this assessment
should be completed prior to the completion of the RI/FS at the par-
ticular site.
An ATSDR health assessment is a preliminary evaluation of the po-
tential risks to human health posed by an individual site. A multi-
disciplinary team including physicians, toxicologists, and public health
specialists reviews existing environmental sampling data and other
site-related information such as the Rl report and the risk assess-
ment that are available from EPA. ATSDR conducts a health assess-
ment to assist EPA in determining human health concerns related to
a particular site.
The ATSDR health assessment assists EPA or State officials in deter-
mining whether immediate action such as provision of an alternate
water supply or relocation of residents is necessary to reduce hu-
man exposure. We consider the final results or preliminary findings
of the ATSDR health assessment when selecting a cleanup remedy
to ensure that public health will be protected adequately.
Development of Remedial
Alternatives
The feasibility study (FS) process usually begins at the same time as
the Rl or site characterization. The purpose of the FS process is to
develop and assess remedial alternatives. Potential remedies are
identified and technologies that are inappropriate for the site are
eliminated from further consideration. Combinations of effective
technologies make up the various remedial alternatives.
Remedial alternatives then are evaluated on the basis of effective-
ness, implementability, and cost. This process reduces the number
of alternatives that will be analyzed in detail, while ensuring that a
range of options are evaluated. The alternatives that pass this initial
screening then are compared against the evaluation criteria listed
below to see how well each alternative satisfies the cleanup stan-
dards outlined in Section 121 of CERCLA:
4 Overall protection of human health and the environment;
^ Compliance with ARARs;
+ Long-term effectiveness and permanence;
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The Citizen's Guidance Manual for the Technical Assistance Grant Program
The Record of Decision
Opportunities for Using a
Technical Advisor
RI/FS report and proposed plan, and an opportunity for a public
meeting.
After the public comment period, we select the remedy for the site.
taking into account relevant public comments. We then prepare a
•record of decision (ROD), which summarizes the recommended al-
ternative and the rationale for its selection. The ROD is signed by
either the appropriate Regional or Assistant Administrator.
Also after the public comment period, the NCP requires that a re-
sponsiveness summary be prepared and submitted as part of the
ROD. Through the responsiveness summary, the lead agency sum-
marizes public comments received on the remedial alternatives and
responds to significant comments. Under certain circumstances, the
ROD may be reopened for public comment.
The public must be informed through a public notice when the lead
agency finalizes the ROD for the site. A fact sheet also may be pre-
pared at this time. The final plan must be made available to the
public. Documentation supporting all significant administrative deci-
sions is compiled as the administrative record for the site. Members
of the public, including technical advisors, may examine the adminis-
trative record by visiting the appropriate EPA Regional Office.
Prior to the design stage in which engineering aspects of the reme-
dial acton are resolved, the lead agency must revise the community
relations p'an to reflect any changes in the concerns or anticipated
mformatior needs of the community during design and construction
of the site remedy.
During the RI/FS phase, a significant number of detailed technical
documents are produced. As a consequence, your group may want
to focus the technical advisor's efforts on reviewing the documents
it considers most critical during this phase. These documents will
probably include the RI/FS report "
•Consistent with a memorandum from the EPA Administrator on the release of
draft data and reports (dated October 4 1984) you should be aware that data
from the Ri/FS cannot be discussed or released until it has undergone Agency
quali.y assurance and quality control procedures
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The Citizen's Guidance Manual for the Technical Assistance Cr.it Program
Opportunities for Using a
Technical Advisor
Because the planning and implementation tasks developed during the
RD phase are highly technical and specific, you may want to ask the
technical advisor to review the remedial design. Your group could
have the advisor review the design to ensure that community con-
"cerns are addressed.
Remedial Action
Following completion of the design, remedial action (RA) begins. As
with other aspects of the remedial process, responsible parties and
government agencies other than EPA may be involved in carrying out
remedial construction and inspection activities. For example, a re-
sponsible party may be given the opportunity to construct the reme-
dial alternative; a State could be responsible for inspecting construc-
tion performed by a contractor; or the U.S. Army Corps of Engi-
neers might be involved in both construction and inspection activities
at Federal Fund-lead sites or Federal facilities. Regardless of who
performs these activities, however, EPA retains final oversight re-
sponsibility for the remedial action. To fulfill this responsibility, we
require that detailed progress reports be prepared and submitted.
When construction has been completed, a final inspection is con-
ducted. Upon satisfactory completion of the final inspection, the re-
sponsible agency prepares a final inspection/certification report.
This report should certify that the project is complete and consistent
with the contract documents and the EPA-approved remedial action.
For a remedial action implemented by a responsible party, the set-
tlement document may specify final inspection or certification condi-
tions that are different from what is discussed here.
Operation and Maintenance
Operation and maintenance (O&M) activities are conducted at a site
after a response action is completed to ensure that the cleanup or
containment system continues to function properly and continues to
protect human health and the environment. The O&M period begins
on the date certified in the final inspection/certification report that
the project is complete and in accordance with contract documents.
At this time, the State or the responsible party assumes O&M re-
sponsibility.
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The Citizen's Guidance Manual for the Technical Assistance Grant Program
Removal Action* at Remedial
Sites
Removal actions are emergency or short-term responses to threats
to public health or welfare or the environment for actual or potential
releases of hazardous substances. These actions include a wide
'variety of activities that range from merely fencing the site to pre-
vent public access to completely removing hazardous substances
from the surface. Removal actions may occur at both NPL and non-
NPL sites.
Because section 117 of CE, .CLA provides for technical assistance
only for those significant removal actions that occur at NPL sites or
proposed NPL sites where technical work is underway, discussion of
removal actions is limited to when these actions take place at NPL
sites. While removals are underway, there are likely to be few op-
portunities for public involvement because of the emergency nature
of most removal actions. There are, however, some occasions
where a technical advisor may be useful to groups.
Opportunities for Using a
Technical Advisor
Your group may want the technical advisor to review public docu-
ments generated during the removal process. These documents
include the site assessment sampling data, engineering evaluation/
cost analysis (EE/CA) for non-time critical removals, an action
memorandum, and an On-Scene Coordinator's after action report.'
An EE/CA is a summary of detailed analyses of possible removal
action alternatives and is used to prepare the action memo in those
cases where the site response is non-time critical. Tnere is a mini-
mum 21-day public comment period for the EE/CA. The action
memorandum is the decision document in which the time and cost
of a removal action are estimated for a specific site and the pro-
posed response activities are described. Upon completing the re-
moval action, the On-Scene Coordinator prepares ar, after action
report detailing the removal action.
•The On-Scene Coordinator is the official who coordinates and directs Superfund
removal actions.
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The Citizen's Guidance Manual for the Technical Assistance Gram Program
Exhibit 2-1
Summary of Public Documents Prepared During the Remedial Process
Technical Phase: Site Activity
Document
Purpose of Document
REMEDIAL INVESTIGATION/
FEASIBILITY STUDY (RI/FS):
• Beginning of Rl
RI/FS Work Plan
• Completion of Rl
Sampling and Analysis
Plan
Health and Safety Plan
Community Relations
Plan (CRP)
Rl Report
• During RI/FS
Health Assessment
• FS
Summary Report
Describes the projected scope,
schedule, and budget for the RI/FS.
This plan is usually developed within
five months from the time money is
obligated.
Defines level of effort and
specific field activities for the Rl,
and ensures accuracy of Rl data,
particularly with respect to scientific
and legal extensibility.
Assesses site hazards and
procedures for worker protection from
these hazards
Details how the lead agency
will elicit citizen input into
response decisions and inform
the affected community of site
activities.
Summarizes data collected and
conclusions drawn from all
investigative sources. Includes
information gathered during site
characterization regarding
contamination and public health and
environmental impacts.
Presents results of Agency of
Toxic Substances and Disease
Registry (ATSDR) health assessment,
along with the Administrator of
ATSDR's recommendations for further
action
Summarizes information gathered
during detailed analysis of remedial
alternatives Highlights differences
among alternatives to assist the
decision-maker's selection of a
recommended remedial alternative
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The Citizen's Guidance Manual for the Technical Assistance Grant Program
Exhibit 2-1 (continued)
Summary of Public Documents Prepared During the Remedial Process
Technical Phase: Site Activity
Document
Purpose of Document
REMEDIAL DESIGN (continued):
REMEDIAL ACTION:
Monitoring and Oversight
Construction
Revised Community
Relations Plan
Progress Reports
Final Inspection
Final Inspection/
Certification Report
Site Closeout
Final Technical Report
REMOVAL
(DURING REMEDIAL PROCESS}-
• Removal Action
Preliminary Assessment
Data
Engineering Evaluation/
Cost Analysis
Action Memo
Reflects changes in level of
concern or information needs
of the community since development
of the original CRP.
Submitted by the lead party
for remedial action on a monthly
or quarterly basis, reports are used
by EPA to monitor remedial
construction activities. Provide
chronological record of activities
including work accomplishment, status
of fund, or changes in contract.
Prepared upon satisfactory
completion of final inspection,
report certifies project is complete
and consistent with both contract
documents and the EPA-approved
remedial action.
Required for State-lead sites and
recommended for Federal-lead and
responsible party sites. Documents
(1) project completion consistent with
contract documents, and (2)
adequate performance of remedy
Includes sampling results from
preliminary studies of the site.
Provides analyses of removal
alternatives and used to
prepare the Action Memo at sites
where the site response is non-time
critical
Estimates the cost and time
for the removal.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
CHAPTER 3
REQUIREMENTS OF THE
TECHNICAL ASSISTANCE
GRANT PROGRAM'
35.4010
Applicant Qualifications
EPA is authorized by CERCLA, to make technical assistance grants
available "... to any group of individuals which may be affected by a
release or threatened release at any facility which is listed on the
National Priorities List ..." "Affected groups" are those groups of
individuals who can demonstrate direct ties to the site (e.g., indi-
viduals who are directly threatened by the site from a health, eco-
nomic, or environmental standpoint). In addition to eligibility criteria.
we will use pre-established criteria to evaluate your group's financial
and management capabilities and the degree of responsibility in
making a grant award. Financial and eligibility requirements are
specified in the IFR. This chapter describes these requirements by
explaining.
* Qualifications your group must have to be eligible to receive a
grant;
* Activities that are suited for technical assistance; and
* Financial requirements applicable to the grant.
This section reviews the criteria by which we will evaluate the qualifi-
cations of your group if you decide to apply for a technical assis-
tance grant The categories used to determine your qualifications
are:
4 Group eligibility;
* Responsibility requirements, and
4 Evaluation criteria.
•Numbers that appear in bold in the left margin throughout this manual give the
citation of relevant regulatory provisions These regulatory provisions Include EPA
grant regulations (40 CFR Part 30) EPA procurement regulations (40 CFR Part
33) and the Interim Final Rule for the Technical Assistance Grant Program (40
CFR Part 35) For example, the citation §30.306 refers to 40 CFR Part 2Q sec-
tion 306 -General Regulations for Assistance Programs ' Not all relevant regu-
latory provisions have been highlighted in this manner, therefore, you must refer
to actual regulatory language Reprints of 40 CFR Parts 30 and 33 appear In
Appendix D of this manual
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The Citizens' Guidance Manual for the Technical Assistance Gr:nt Program
Responsibility Requirements
35.4020
30.301
If you are eligible to receive a technical assistance grant, you must
demonstrate your ability to adequately manage the grant by detailing
your administrative and management capabilities in a narrative state-
ment under Part IV of the grant application (see Exhibit 4-1 and Ap-
'pendix A). We will evaluate this statement, in addition to other rele-
vant parts of your application, to determine how well you meet the
responsibility requirements. These requirements include financial
resources, ability to meet project deadlines, accounting and auditing
procedures, and willingness to comply with the civil rights and equal
employment acts. In general, you must demonstrate that your
group has established, or has plans for establishing, reliable proce-
dures for recordkeeping and financial accountability related to the
management of the grant (e.g., that you have established a sepa-
rate bank account for the management of the grant funds, have
sound plans for fulfilling the reporting requirements, and have pro-
vided any other pertinent information showing your group's commit-
ment to establishing effective accounting procedures for managing
the grant). (See Chapter 6 for a discussion of management of
grant funds.) While it is unnecessary to submit documentation of
the steps your group has taken to meet these responsibility require-
ments at the time you submit your completed application, you must
be able to provide such documentation in the event of an audit.
As the last step in assessing your group's administrative and man-
agement capabilities, we will consider the organizational structure of
your group. According to the IFR. in order to receive a grant you
must be incorporated as a non-profit organization for the purpose of
addressing the Superfund site for which the grant is provided. This
non-profit corporation must include all the individuals and groups
that joined in applying for the grant.
In some situations, the pre-existing incorporated status of a citizens'
group will fulfill the eligibility requirements of the Technical Assis-
tance Gra-it Program. For example, a local environmental group
specificall1' formed for the purpose of overseeing the site cleanup
whose membership includes all the "affected" individuals in the
community would not need to re-incorporate. Another situation
might exist where such an incorporated non-profit organization con-
solidates with other citizens who are not members of its organiza-
tion. As long as all the non-member citizens who are interested in
applying for a grant join the non-profit organization, the group is not
required to re-incorporate for the purposes of the Technical Assis-
tance Grant Program. On the other hand, such a group may decide
that it is in its best interest to incorporate specifically for the pur-
pofes of obtaining and managing a technical assistance grant.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
I
application satisfies each criterion will be assigned a score ranging
from zero (not addressed or totally deficient) to four (excellent).
After evaluating the individual criteria, the scores will be multiplied by
the assigned weight and the subtotals will be added to determine the
total score for your application. The maximum score that your appli-
cation can receive is 400 points (5 criteria which total 100 points x a
perfect score of 4 on each criterion = 400 total points).
In general, each criterion will be evaluated according to the scoring
plan outlined below:
Value
Description
0
1
2
3
4
Not addressed or totally deficient
Poor
Fair
Good
Excellent
We will review applications based on the following criteria:
(1) The presence of an actual or potential health threat posed to
grouo members bv the site. (30 points) To help ensure that
groups receiving grants are those most directly affected by a site.
you must include a narrative statement of no more than one page
describing:
4 The actual or potential health threats posed to group members
by the site;
* The number of group members facing such threats; and
4 Where appropriate, any past actions taken by group members to
resolve or to make known their health concerns (e.g.. letters 10
local, State, or Federal officials, petitions for health assess-
ments, etc.).
You will not be required to submit documentation for our review (al-
though you may be required to supply it later if an audit is initiated);
a discussion of these activities as part of the narrative will be suffi-
cient.
You may meet this criterion by establishing that group members are
subject to demonstrable health threats, whether actual or potential,
or to a threat that group members reasonably believe to be substan-
tial. Ordinarily, an applicant claiming the presence of a demonstra-
ble health threat will score higher than one whose claims are based
solely on a potential threat. However, your inability to provide docu-
mentation of health problems related to the site will not necessarily
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
advisor. (20 points) You must describe or outline the activities your
group plans to use to inform other interested community groups and
individuals of the technical advisor's findings or interpretations of
technical documents. This information will ensure that a technical
assistance grant goes to the community group that will disseminate
the information most effectively to the broader community.
We will evaluate your group according to your ability and willingness
to disseminate information provided by the technical advisor to the
broader community. A plan which indicates an inadequate method
for disseminating the information would be given a low score, while
one indicating a clear plan for disseminating information to the
broader community would be awarded a high score.
(5) The presence of an actual or potential economic threat or threat
of impaired use or enjoyment of the environment to group members
that is caused bv the site. (10 points) You must include a state-
ment of no more than one page describing the presence of an ac-
tual or potential economic threat posed to group members by the
site (e.g., decrease in property value or diminished economic use of
the property, such as farming, or recreational use). If appropriate.
you also should include a discussion of how conditions at the site
have adversely affected their use or enjoyment of the surrounding
environment (e.g., aesthetic or recreational value). In addition, you
must include the number of group members affected and a discus-
sion of the actions taken by group members to resolve or to make
known their economic and/or environmental concerns (e.g., through
letters to local, State, or Federal officials, meetings with real estate
agents, etc.). This information will ensure that the group receiving a
grant is most directly affected by a site.
You may meet this criterion by establishing that group members are
subject to:
* A demonstrable economic threat;
4 Impairment of the group's use and enjoyment o- the environ-
ment, whether actual or potential; or
* A threat that is reasonably believed to be substantial.
Not all economic or environmental concerns will be assigned equal
value. Thus, for example, an applicant claiming the presence of a
demonstrable economic or environmental threat ordinarily will receive
a higher score than one whose claims are based solely on a poten-
tial threat. Your inability to provide documentation of economic or
environmental problems related to the site will not necessarily pre-
vent you from receiving a grant, provided other criteria are met.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Ineligible Activities
35.4055 The legislative history of CERCLA section 117 (e) provides that tech-
nical assistance grants "are not intended to be used to underwrite
legal actions. However, any information developed through grant
assistance may be used in any legal action affecting the facility, in-
cluding any legal action in a court of law." (H. Rpt. No. 99-962,
99th Cong., 2d Sess. (1986), p.231). Thus, grant funds may not
be used to pay for attorney's fees or to pay for the time that the
technical advisor may spend assisting an attorney in preparing a le-
gal action (e.g., citizen suit) or for serving or preparing to serve as
an expert witness at any legal proceeding (public meetings held by
EPA or a State are not considered legal proceedings). Moreover,
grant funds may not be used to prepare for, or participate in, any
legal proceeding. For example, an attorney's costs for locating,
interviewing, or preparing a witness to testify, or the time that any
witness spends preparing for any such legal proceeding, may not be
paid for with grant funds.
These prohibitions on the use of grant funds, however, do not pre-
clude a technical advisor from participating m a legal proceeding so
long as none of the costs of such participation are charged to the
grant. A technical advisor may serve as an expert witness on behalf
of the citizens' group, for example, or testify in an action brought by
a potentially responsible party m challenging the record so long as
he or she is not paid with grant funds. In essence, the costs of a
technical advisor in these situations should be borne by the party
who seeks such legal services.
Other ineligible activities include the following:
* Activities inconsistent with the cost principles stated in the Office
of Management and Budget (OMB) Circular A-122 including lob-
bying and related activities;
4 Tuition or other expenses for recipient group members or techni-
cal advisors to attend training, seminars, or courses;
* Any activities or expenditures for recipient group members'
travel;
* Generation of new primary data such as well drilling and testing
(including split sampling),
+ Challenging final EPA decisions (e g , records of decision), and
* Underwriting disputes with EPA
As stated above, costs associated with political and lobbying activi-
ties are not allowable based on OMB Circular A-122. Briefly summa-
rized, this means you cannot use grant funds to participate in, or to
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
The Thirty-Five Percent
Matching Fund* Requirement
I
In-Kind Contributions
35.4115
35.4075
35.4080
In order for your group to be awarded a technical assistance grant,
you must provide 35 percent of the total costs of the technical as-
sistance project. For example, if your total project costs are
$30,000, then your group must provide at least $10.500 to "match"
EPA's grant of $19,500. Other Federal funds cannot be used to
meet this requirement unless statutorily specified. However, you
may use cash and/or in-kind contributions to meet the 35 percent
matching funds requirement. The table below shows how the finan-
cial requirements break down for various levels of project funds:
Federal Grant
Funding Level
35% of the
Total Project
Total
Project Funds
$10.000
$15.000
$20,000
$30,000
$40.000
$ 5.385
$ 8,077
$10,769
$16,154
$21.538
$50.000 (maximum) $26,923
$15,385
$23.077
$30.769
$46.154
$61,538
$76,923
While you are not required to have the matching funds in hand at
the time of application, you must, at a minimum, have a plan for
raising the funds. Your group is required to maintain the
minimum 35 percent "match" throughout each budget period and
each time you file a reimbursement request. If your group
provides more than a 35 percent "match" in any one period, the
extra amount can be applied to the next reimbursement request.
In-kind contributions represent your non-cash contributions to the
grant. They reduce the need to raise money to meet the 35 per-
cent matching funds requirement. In-kind contributions may be pro-
vided by you and non-Federal third parties including States, local
governments, and private citizens. In-kind contributions include:
4 Volunteer services (the volunteer must be qualified in the skill or
profession and must actually perform the specified work);
4 Non-expendable personal property, such as word processor, or
copier, and use of office space;
• Expendable personal property, such as office supplies; and
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The Citizens' Guidance Manual for the Technical Assistance Gr~.it Program
Exhibit 3-1
Examples of In-kind Contributions
(* indicates administrative activities)
Volunteer Services
A bookkeeper's maintenance of the group's financial records and preparation of required
financial reports.
An auditor's review of the group's financial records.
A lawyer's aid in drafting a subagreement for the technical advisor.
A project manager's oversight of the technical advisor's subagreement.
A newsletter editor's efforts to prepare and distribute information to the community.
A university professor's review of site-related documents.
Non-Expendable Property
• Word processor.
* Typewriter.
' Copier.
Office space.
Expendable Property
' Office supplies.
Other Costs
Telephone calls
Publication of a'public notice seeking qualified advisors.
Incorporation filing fees
Postage and printing of newsletters
Copies of project documents.
Fees for public, meeting facilities
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The Citizens' Guidance Manual for (he Technical Assistance Grant Program
The $50,000 Grant Limit
35.4085
Waivers of the $50,000 Grant
Limit
If your group is awarded a grant and subsequently receives a waiver
that reduces or eliminates your contribution, the total resources
available for technical assistance will be less than the amount speci-
fied in the grant agreement. Because this constitutes a substantial
change in the technical assistance grant project, the grant agree-
ment must be amended as required by 40 CFR Part 30. Subpart G.
If a waiver and the grant are awarded at the same time, the grant
agreement would specify the actual amount of resources to be pro-
vided by us and by you: therefore, no amendment would be
needed.
CERCLA section l!7(e)(2) specifically provides that the President
may waive the matching funds requirement if the grant recipient
demonstrates financial need and such waiver is necessary to facili-
tate public participation m the selection of a remedial action at the
fsci'ity. Congress has determined that no waivers can be granted
after EPA has selected the remedial action at the facility (e.g., the
issuance of the record of decision (ROD)}. Therefore, no waiver will
be approved if you request it once the ROD has been issued at the
last operable unit at the site. (An "operable unit" is a term that
re ers to an action taken as one part of an overall site cleanup A
number of operable units may occur in the course of a site
cleanup.) As a result, you will have to contribute 35 percent of the
project costs for technical assistance services during the remedial
design, construction, and operation and maintenance phases if you
fail to request a waiver before the ROD has been issued at the last
operable unit for the site.
Grants for technical assistance are limited to a maximum of S50.000
m Fedsral funds (350,000 of Federal funds represents 65 percent of
the total project funds — or $76,923 — which would require a 35
percent "match" of $26,923 from the grant recipient in cash or in-
kind contributions) for technical assistance support over the life of
the Suoerfund response at the site We believe that, with careful
plannirg and reasonable management, at every NPL site 576.923 will
be suf icient to provide meaningful technical assistance.
In view of the finite resources available for the Superfund program.
we have determined that waivers of the S50.000 limit at the time the
awards are made are appropriate only where a single grant is ad-
dressing multiple NPL sites Thus, where there are several NPL sues
m clcae proximity to each other and an atfected group desires to
'educe its administrative burden by submitting one application and
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
CHAPTER 4
GRANT APPLICATION AND
AWARD PROCESS
The Grant Application Process
Award Timing and Prioritization
35.4085
35.4050
This chapter discusses the application process for a technical assis-
tance grant, under EPA administration of the program, up to the
point when a grant is awarded to a group. Chapters 5 and 6 of this
manual describe how to hire and manage a technical advisor under
a Federally-funded contract, or "subagreement." The discussion of
the grant application and award process is organized under the fol-
lowing sections:
+ The Grant Application Process;
* The Grant Award Process; and
4 The Continuation Application.
Only one technical assistance grant will be awarded per
Superfund site and an award of a grant will be made no earlier than
the start of the response action. Grant awards will depend
on the availability of funds within the Superfund program. When
funds are limited, we will set priorities among sites where grants will
be awarded. Factors we may use to rank the sites include, but are
not limited to:
* The risk to citizens' health or welfare presented by the site;
• The site's stage in the Superfund cleanup process;
4 The history of public involvement at the site; and
4 The environmental threat presented by the site.
For example, we may give priority consideration to funding a grant at
a site where a community already has been required to use bottled
water or where residents have been relocated temporarily, the RI/FS
is beginning, there is a history of community concern, and the site
work is technically complex and is divided into numerous operable
units.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Exhibit 4-1
Sample Letter Of Intent"
Woodtown Landfill Coalition
Main Street
Woodtown. CT 06898
May 3, 1989
TAG Project Officer
Waste Division
U.S. Environmental Protection Agency
Region 1
John F. Kennedy Federal Building
Boston. MA 02203
Dear Sir/Madam:
This letter has been prepared by the Woodtown Landfill Coalition to announce this group's
intention to apply for a technical assistance grant. The coalition, which is comprised of the Wood-
town Citizens Task Force and the Smithtown Outing Club, plans to use any awarded grant funds for
obtaining assistance in interpreting technical information generated during the Superfund cleanup
process at the Woodtown Landfill site in Litchfield County. Connecticut. Please send an application
and other relevant materials to the Woodtown Landfill Coalition in care of Pat Jones at the address
listed above. The group hopes to file its application in July 1989.
Sincerely.
Pat Jones. Executive Director
Woodtown Landfill Coalition
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Category
Exhibit 4-2
Instructions for Completing Part IV of the
Technical Assistance Grant Application
Instructions
PART IV, Section I:
Qualifications of the Applicant
A. Group Eligibility
B. Responsibility
Requirements
Prepare a brief statement, not to exceed one page, that describes
the composition of the group and responds to the following
questions:
• Is the group part of any of the following organizations?
— Potentially responsible parties;
— Corporations that are not incorporated for the specific
purpose of representing affected individuals;
— Academic institutions;
— Political subdivisions (eg., townships and municipalities); or
— Groups established and/or sustained by a State or local
government.
• How many members are m the group and what is its composition
(e.g., is the group a coalition of several groups, how did they
form)?
Prepare brief statements that respond to each of the responsibly
requirements outlined below
(i) Administrative and Management Capabilities. Describe the
group's organizational structure including which officers or
members will be responsible for financial oversight of the
grant and directing the technical advisor.
(n) Resources for Proiect Completion' Describe the resources that
are available to the group to complete the technical assistance
grant project, including any plans the group has for fundraismg,
and obtaining cash and m-kind contributions
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The Citizens' Guidance Manual for the Technical Assistance Gr.int Program
Exhibit 4-2 (cont'd)
Instructions for Completing Part IV of the
Technical Assistance Grant Application
Category Instructions
(i) Health Considerations (30 points) • Describe the actual or
potential health threats posed to individual group members by
the site
— How many group members are/have been affected?
— What efforts have group members undertaken to resolve
or make known these health concerns?
(n) Consolidation/Representation (20 points): Describe the number
and diversity of affected community organizations and individuals
represented by the applicant group.
— In what ways does the group represent affected citizens
in the community in which the site is located?
— Groups may provide a chronology that describes the group's
historical involvement m past ties at the site.'
(in) Tasks for Tschnical Advisors (20 points): Describe how the
group intends to use grant funds with the assistance of a
technical advisor to interpret Superfund technical materials
nv) information Sharing (20 points) How does the group intend to
disseminate information collected as a result of the grant award
to the larger, site community?
(v) Economic/Environmental Considerations (10 points): Describe
the actual or potential economic harm or loss of environmental
amenities posed to individual group members by the site.
— How many group members are/have been affected?
~ What efforts have group members undertaken to resolve
or make known these concerns?
Applicants should cite any available documents (such as letters meeting agendas news reports etc ) but
will not be required to subm,t documentation for review by EPA Applicants may be required however to
supply any cited documentation later if the Agency conducts a pre-award review or an audit
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Exhibit 4-2 (cont'd)
Instructions for Completing Part IV of the
Technical Assistance Grant Application
Category Instructions
C. Matching Contribution Prepare a statement that details the amount of the Federal grant and
Statement the group's matching contribution separately, organized by budget
period. Note that grant funds (65%) plus group contribution (35%)
must equal the total project costs, grant funds cannot exceed 65
percent of project costs for any budget period.
— Differentiate cash from in-kind (donated) contributions.
— Include explanations of the assumptions made in calculating
the value of in-kind contributions.
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The Citizens' Guidance Manual for the Technical Assistance Gram Program
FEDERAL ASSISTANCE
,
9. D
nonet Of IWHNT
-------
The Citizens' Guidance Manual for the Technical Assistance Grant Program
JFK Federal BuiLci-a, Soston, "1A 02203
EMamvt o*cen tnra moctn w
OATI m /1*
a HOT Ufitrvi rr 10. ion G
on nooiuii HA* NOT aON HLECrtD rr TTATI ran atvtfw O
Item
21 Remarks Added
22 The Applicant Certifies that
23 Certifying Representative
Instructions For Completing
The Grant Application
Part 1, Page I, Section I & Section H
Response
If using Section IV (Remarks) to amplify any other information
contained in the grant application, check yes. It is important not to
confuse this section of the application with Part IV of the application
which will be used to gather additional information on the aoplicant
group.
This program may be subject to intergovernmental review If it is.
write the date and that the application has been made avanable to
the appropriate State contact (see Appendix C for a list of State
intergovernmental review contacts), if not. check the second box
under b
The applicant's/recipient's Project Manager (the officar authorized
to obligate your group to the conditions of the grant agreement/
application) must sign this item [Note If violation of EPA regulations
pertaining to grants or procurement occurs, the applicant group may
be hable 1
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Instructions For Completing
The Grant Application
Pan 1, Page 2, Section IV
Section IV, "Remarks." is used to provide a one or two sentence
summary description of the project. Additionally, this section is used
by the grant applicant to amplify information in Sections I and II.
The grant applicant should reference the proper item number; for
example, Section I, #7. It is important not to confuse this section of
the application with Part IV of the application, which will be used to
gather additional information about the applicant group.
DETACH AND AS NECESSARY STAPLE TO ABOVE SHEET
SCCTION (V-flf UAAK1 tftm
Pare 1, Section I, 07
The wdodtown Landfill Coalition is seeking funds to obtain a
technical advisor to provide assistance in the review and
analysis of remedial activities at the Woodtown Landfill Superfund
site The technical advisor will assist Coalition members
in interpreting documents generated throughout the Superfund
process at the Woodtown Landfill site.
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The Citizens' Guidance Manual for the Technical Assistance Cr. it Program
PART II
PROJECT APPROVAL INFORMATION
CVBNO iC2" ' I".
ADC'; ai e«0'«s ' 1 9
Oo*i tr»n it ii i i*nc* rgu«it Suit KJC* f»gin Of oihtf orionrv N»mt of Go«rn,ng Bo
v Riling
Does this assistance recuesi rtcutrv Sun or local revisory «ou N«tw o* A^ncv or
cationn or neirti detfinces7 8t»a
e *»tn E^ecuirv* Odw 123 7P
OOM mn twiu*at r*o,uKi 'tquir* Sat* tool rtgionil or otfwr NMTW of J
flii«« Cr*ch om Sun Q
Loe* O
R*9>onn Q
No Loution at Plwi
.Y« X No
rt Q*A«ftiing from 0
W on Ftdwtl tifld or mitulttion? N«m« of F«ttr«l I
will aw aniuix* rvownnd n«M m impaei or vftwi on aw $«• truifucnom for «taition*i i
This assistance LS intended to
*° facilitate site response actions
"ItMl t
M« trw proitci lot **tc
J«n«*ry 1 t97l or Mnanct
o D* O'Ov,o»d
EPA Form 5700-33 (Rev 11-86) °revious editicns are oDsoieie
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Item
Instructions For Completing
The Grant Application
Part III, Page 7, Section B, Schedule A - Budget Categories
Response
(Section B, Schedule A)
6. Grant Program Function In column (1) enter "Technical Assistance Grant."
or Activity
a.-h. if a group contracts for a package of services with technical
advisors, all costs covered under the contract are reported in line
(f). including wages, travel, etc Other costs, including those
covered by in-kind contributions, go into the appropriate categories
i. Add the amounts in lines (a) through (h) and enter the sum on line
(i), this amount must equal the figure in section A, line (1), column
(g).
Not applicable (leave blank).
Enter the amount from line (i) above
J-
k
7. Program Income
This hne must be zero. Technical assistance grant applicants may
not earn income from their assistance program funds
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
;=.
I |' | "!'"'|r"
- Instructions For Completing
The Grant Application
J££ ~*?^ I***** "•'•'"" ^ar( #A ^a£e ^. Sectton C - Non-Federal Resources
P~ / '. , and Section D - Forecasted Cash Needs
Item Response
8. Grant Program Write "Technical Assistance Grant" and insert name of the site in
column (a). The contributions made by the applicant are entered m
column (b), State contributions in column (c) , and contributions
from other sources in column (d). In column (e), enter the sum of
columns (b), (c), and (d). This figure must equal the figure in
section B. line (a), column (2)
12. Totals Enter the amounts corresponding to line 8 above.
13. & 14. Federal/Non-Federal Enter the estimated amounts for the stated periods based on the
proposed schedule of tasks included in the Scope of Services (Part
IV) below.
15 Totals Total the amounts of lines 13 & 14 for each column
® ©
I — \ /
^^ \ / Foim Apfiiovu
H \ / OMB No ?OV> Of."!)
^H \ / Approval rtpwi" TH 11
• \ / ftCTIONC-NOH-fCDfR«L OIKKJXCH
^1 \ J Ul OHAMT PHOOMAM |»t AVWXICANT ICI1TATC
H \ • '^C'lTLCal /->St, LSLdliCe a. t\ t- « II.01U 1
^ ') 9 .uuUcown LcindCil. -5ir.<--
• L "
• V'
• •>!! TOTAL* * 11.010 *
H IfCTTOX O-XWICA1TID CASH MltM
M D f«** « '. 12 > ' 'D5b < ' 9UO
•1 ^fu No^f«kni j.HU 1.059 88-
H / IS^OIALJ IS722 •2.715 ' 2,784
• / . \ ... "_^
• _>>—/, ^-V""-^-^ «f»^^ ^««4«ifloa»**~-'«8**Mf --KAtELgi
P^ /^<,J^-'\ ^v ^ -*— ^
® ® ®
• 1 1 1 OLO
t I 11,010
• u 1 l.SSb
o7^ u0.
1 675 1 : )Uls
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Instructions For Completing
The Grant Application
Part V, Page 12
The group will comply with the provisions of the Hatch Act that limit
the political activity of State and local government employees.2
The group will 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, and other
not-for-profit organizations; and to employees of State and local
governments who are not employed in integral operations in areas of
traditional governmental functions.
The group will establish safeguards to prohibit employees from using
their positions for a purpose that is or gives the appearance of being
motivated by a desire for private gam for themselves or others.
The group will give EPA and the U.S. Comptroller General through
any authorized representative, access to and the right to examine all
records, books, papers, or documents related to the grant.
The group will comply with all requirements imposed by EPA
concerning special requirements of law, program requirements, and
other administrative requirements.
2 The Hatch Act applies to State and local government recipients and requires
State and local government employees to comply with restrictions on political
activities imposed by the Act if their employment activities are funded wholly or in
part by Federal assistance Because recipients of technical assistance grants
are unlikely to use grant monies to fund a government official in his or her official
capacity, the provisions of the Hatch Act are not likely to apply to grant
recipients or their hired advisors The EPA contacts listed in Appendix C for
each Region can assist applicants further with regard to interpretation of the
Hatch Act s relevance for this grant program
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The Citizens' Guidance Manual for the Technical Assistance Grant.Program
The Procurement Certification
Form
I
33.110
Part 33,
App. A
In addition to your completed application, you must submit to us a
completed EPA Form 5700-48, "Procurement System Certification."
"Procurement" is the term for purchases of supplies and services.
Part 33 of 40 CFR, "Procurement Under Assistance Agreements,"
contains the requirements that recipients of technical assistance
grants must fulfill when they purchase supplies and services. Chap-
ters 5 and 6 of this manual present a detailed discussion of the pro-
curement rules that you must follow to obtain a technical advisor.
Because a procurement system certification form must be submitted
with your grant application, however, a limited discussion of the pro-
curement process is provided here.
The United States Government requires that recipients of grant funds
have procedures for the purchase of supplies and services that en-
sure responsible use of Federal funds. This "procurement system"
must comply with the requirements specified in 40 CFR Part 33. The
procurement system certification form requires you either to certify
that your group has a procurement system in place that complies
with 40 CFR Part 33, or that you agree to follow the requirements of
40 CFR Part 33. Groups applying for technical assistance grants are
not likely to do frequent business with government agencies and
thus are not likely to have certifiable procurement systems in place;
therefore most groups will have to agree to follow the requirements
of 40 CFR Part 33. (See Exhibit 4-4 for a sample procurement sys-
tem certification form completed by a group without a certified pro-
curement system.)
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The Citizens' Guidance Manual for the Technical Assistance Cr^nt Program
Intergovernmental Review of
Application
30.303
The intergovernmental review process under Executive Order 12372
is designed to inform appropriate State agencies about all applica-
tions for Federal assistance funds that have been received from their
-jurisdiction. This policy applies to all Federal assistance programs.
When EPA is administering the Technical Assistance Grant Program,
you must contact the appropriate State contact person (see Appen-
dix C) before filing the grant application package with us to find out
what procedures to follow to comply with the State's official inter-
governmental review process."
Some States may elect not to include the Technical Assistance Grant
Program in the intergovernmental review process. For States that
do include the Technical Assistance Grant Program in the inter-
governmental review process, however, the actual process may vary
from State to State. For example, some States require applications
to undergo intergovernmental review before being submitted to the
Federal funding agency, while other States conduct the inter-
governmental review concurrently with the Federal agency's review
of an application. Regardless of when the State requires this review,
grant applicants must accommodate the State requirements. States
may require a maximum of 60 days for the intergovernmental review
process. We will not process your application package without evi-
dence of compliance with these requirements. (Be sure to respond
"yes" on item 22, "Intergovernmental Review Certification," on page
one, Section II, of the grant application.) A State's failure to review
your application or respond in a timely fash on. however, will not
prevent us from proceeding with our review.
Submission of Grant Application
Completed grant application packages must be submitted to the ap-
propriate EPA Regional Office or, where the grant program is being
administered by a State, to the appropriate State office (see Appen-
dix C). You must submit the original application package and two
copies. The primary application must have the original signature
(i.e., not a photocopy of the signature) of your group's project
manager.
"This process under Executive Order 12372 does not apply to technical assis-
tance grants awarded by a State. You need to check with your State TAG Pro-
ject Office before filling out your application because some States may have their
own review process.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
The award of a grant agreement constitutes a public trust By sign-
ing and accepting a grant agreement, you become responsible
30.309 for complying with all terms and conditions of the grant agreement.
including any special conditions necessary to assure compliance with
EPA or State policies and objectives and any other applicable law or
regulation. You must efficiently and effectively manage the project.
successfully complete the project according to the schedule, and
meet all monitoring and reporting requirements. You may not dele-
gate or transfer this responsibility without formally obtaining EPA
30.405 approval and amending the agreement.
Your group can hire someone to prepare the grant application, how-
ever, it cannot reimburse with grant funds any person, corporation,
partnership, agency, or other entity that solicits or obtains EPA or
30.611 State assistance for the group in exchange for a commission, per-
centage fee. brokerage fee, or contingency fee. Neither EPA nor
State employees may act as paid agents or attorneys to your group.
30.612 As described in the IFR. necessary and reasonable costs incurred
35.4070 by your group to incorporate are the only pre-award costs eligible
for reimbursement with grant funds. These costs should not exceed
$500.
Disputes
40 CFR 30,
Subpart L
30.1200-
30.1235
If EPA administers the Technical Assistance Grant Program, we will
review disputes between Agency officials and an applicant
and/or recipient m accordance with EPA's existing dispute
resolution procedures. Accordingly, if a disagreement occurs
between your group and an EPA official regarding the terms of the
grant, the disagreement should be resolved at the lowest level of
EPA authority possible. If an agreement is impossible to achieve,
you may file a written "dispute" with the EPA Award Official. The
Award Official will forward the dispute to an EPA Disputes Decision
Official (an individual designated by the Award Official to resolve
the dispute).
The Disputes Decision Official will provide you with a written decision
This decision is EPA's final decision unless you file a request for re-
view of the decision with the appropriate EPA Regional Administrator
by registered mail, return receipt requested, within 30 calendar days
of the date of the dispute resolution decision. The Regional Admin-
istrator's decision will be the final Agency decision unless, within 30
days of the Regional Administrator's decision, you file a petition for
discretionary review by the Assistant Administrator for Administration
and Resources Management m Washington, D C The Assistant Ad-
ministrator's decision is the final EPA decision
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
may arise (e.g., a group finds that despite efforts to raise funds to
meet the matching funds requirement, it cannot meet the share
35.4085 of non-Federal funds committed in the Scope of Services). EPA
regulations require formal amendments, negotiated with the EPA
Award Official and signed by both parties, to make the following revi-
sions:
'•* A transfer of an award to another recipient (e.g., another
authorized group);
* Changes in the objective of the project,
* Major changes in the budget categories (e.g.. major additions or
deletions of budget and in-kind items established m the work
plan and changing the balance of the match contributions be-
tween cash and in-kind),
* A rebudgeting of amounts allocated for indirect costs (e.g.. ad-
ministrative costs) to absorb increases m direct costs (e.g., the
technical advisor's services and expenses);
* Making a change that will affect the assistance amount, including
obtaining a post-award waiver of the matching funds require-
ment; or
* Carryover of unused funds from a prior budget period to the cur-
rent budget period. (You may carry over unexpended funds
when filing a continuation application, which is discussed later m
this chapter.)
30.705 Minor changes to the project defined in the grant agreement do not
require a formal amendment. Group members assigned to the pro-
ject may be changed as long as the basic objectives of the project
remain the same. You may adjust your project budgets, except as
noted above, provided the funds are used in accordance with the
approved grant agreement and with EPA as well as State regula-
tions. Because EPA is not obligated to provide additional funds for
any costs m excess of the approved budget, you should discuss
both minor and major changes with your TAG Project Officer prior to
implementation.
30.710 In addition, either your group or EPA may terminate all or part of a
grant agreement if both parties agree that continuation of the project
would not produce any beneficial results. Such a case could occur,
for example, if there were insufficient group interest in further techni-
cal assistance or if duplicate technical assistance efforts were being
provided by another source
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
I
The directions for filling out and submitting the standard grant appli-
cation are the same for the continuation application as they are for
the initial grant application, with the following exceptions:
Section I, p. 1, #14:
continuation;
Enter "D" to indicate the application is a
. • Section I, p. 1, #20: Enter the EPA identification number and
title of the current grant; and
* Part ///, p. 7, Section A (Budget Summary): Enter in columns
(c) and (d) the estimated amounts of funds, which will remain
unobligated at the end of the grant funding period only if the
Award Official instructs you to do so. Otherwise, leave these
columns blank. Enter in columns (e) and (f) the amounts
needed for the upcoming budget period. The amount in column
(g) should be the sum of the amounts in columns (e) and (f).
The continuation application must include:
* A detailed progress report for the current budget period;
* A Financial Status Report (EPA Form SF 269) for the current
budget period that includes the amount your group expects to
spend by the end of the current budget period and the amount
of any uncpmmitted funds that your group proposes to carry
over beyond the term of the current budget period;
• A budget for the new budget period; and
* An updated Scope of Services (Part IV, Section II of the applica-
tion) revised to account for your group's accomplishments dur-
ing the previous budget period and to provide more detail about
projected activities during the upcoming budget period.
This information, along with any other reports required by the grant
agreement, provides the basis for evaluating your group's progress
and approving funding for the next budget period.
If approved by the Award Official, you may carry over unexpended
funds, either in lieu of new funds to complete work started in prior
years or to supplement the new award. However, to carry over
funds, you must meet all program requirements, including the
matching funds requirement (unless it is waived), in each budget
period.
If a continuation agreement is awarded after expiration of the current
budget period, we will reimburse your group for any costs incurred
between the end of the first budget period and the date of award for
the next budget period provided the continuation application was filed
before expiration of the prior budget period. You are advised, there-
fore, to begin completing the continuation application well in advance
of the date that the initial budget period expires.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
CHAPTER 5
HOW TO HIRE TECHNICAL
ADVISORS
The process for hiring technical advisors involves identifying prospec-
tive candidates, reviewing candidate qualifications, selecting the
most appropriate candidate, and developing a contract (called a
"sub-agreement") between your group and the technical advisor se-
lected by your group. The term "procurement" refers to the actual
hiring process and spending of grant funds by your group. The hir-
ing process is discussed in this chapter, according to the following
topics:
* How to identify prospective technical advisors;
4 Meeting EPA procurement requirements;
4 Requirements for all procurements;
* Procurements of $25,000 or less:
4> Procurements over $25,000;
* Recommended steps to take in hiring a technical advisor: and
*• The subagreement with a technical advisor.
Under existing EPA regulations, procurements of $10,000 or less
may be conducted using small purchase procedures. These proce-
dures are relatively simple and informal, and are discussed at length
later in this chapter. In order to make it easier for citizens' groups
to hire technical advisors. EPA has issued a special exception to its
existing regulations, called a class deviation, which raises to $25.000
the maximum amount that can be procured using the small purchase
method. This deviation applies only to the Technical Assistance
Grant Program. Consequently, this manual uses the S25.000 techni-
cal assistance grant amount when it discusses small purchases,
even though the regulations use the $10,000 figure.
Identifying Prospective
Technical Advisors
Before hiring a technical advisor, you must carefully determine the
specialties you are likely to need to interpret information on the Su-
perfund site in your community. Advisory needs will vary according
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
33.220
35.4130
EPA procurement regulations require that technical advisors possess
the following characteristics:
* The technical qualifications, financial resources, and experience
to successfully carry out the required tasks;
* A satisfactory performance record for completing work:
' 4 Adequate accounting or auditing procedures to control funds
properly; and
4 Demonstrated compliance or willingness to comply with civil
rights, equal employment opportunity, and other statutory re-
quirements outlined in 40 CFR Part 30.
In choosing a technical advisor, you must be alert to potential con-
flict of interest problems. All prospective technical advisors must
provide information on their financial and business relationships
with any parties potentially responsible for site contamination (i.e..
PRPs), and with their parent companies, subsidiaries, affiliates, sub-
contractors, and current clients, attorneys, and/or agents. Contrac-
tors and subcontractors may not be technical advisors to groups at
the same NPL site for which they are doing work for the Federal or
State government or any other entity. A more detailed discussion of
conflict of interest appears later in this chapter.
Bearing these considerations in mind, you may turn to a variety of
sources for hiring technical advisors. Because identification of these
sources may be time consuming, you should begin to identify possi-
ble sources for, and ways to obtain technical advisors as early as
possible in the grant application process. Many of the organizations
listed below may be good sources of low-cost, high-quality assis-
tance and may be particularly useful in identifying other sources of
technical advisors appropriate to the needs of individual groups:
* Organizations that specialize in scientific, environmental, and
hazardous waste issues.
• College and university science, engineering, and public health
faculties.
4 Local research institutions.
• Local hospitals anrt madical facilities.
*• Local or State health departments.
• Local chapters of professional or technical societies.
* Consulting firms that specialize in scientific, technical, engineer-
ing, and environmental .services.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
* Make positive efforts to use small and minority-owned busi-
nesses; and
• Verify that a technical advisor is not on EPA's master list of sus-
pended or debarred contractors.
Conflict of Interest
30.613
33.270
EPA's policy is to prevent personal or organizational conflicts of in-
terest or the appearance of such conflicts in the award of subagree-
ments. Recipients of EPA financial assistance must be concerned
with conflict of interest problems that may arise in evaluating propos-
als of prospective technical advisors as well as business relationships
of the technical advisor.
An official or employee of your group may not participate in
any activity relating to awarding subagreements if any of the follow-
ing persons or organizations (to the official's or employee's knowl-
edge) has a financial interest in the activity:
4 The official or employee;
4 A member of the official or employee's immediate family;
• A partner of the official or employee;
4 An organization (other than a public agency) in which the official
or employee serves as an officer, director, trustee, partner, or
employee; or
4 Any person or organization with whom the official or employee is
negotiating or has any arrangement concerning prospective em-
ployment.
In addition, you must neither solicit nor accept gratuities, favors, or
anything of monetary value from potential technical advisors. Indi-
vidual group members must not have a financial or other interest in
your technical advisor's firm.
Officials and employees of your group must avoid any action which
might result in, or create the appearan;e of:
• Using their official position for private gain;
4 Giving preferential treatment to an/ person;
4 Making an official decision outside official channels: or
4 Undermining public confidence in the integrity of EPA programs.
With respect to-the technical advisor, groups must have the opportu-
nity to assure themselves of the objectivity, as well as the expertise,
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The Citizens' Guidance Manual for the Technical Assistance Cram Program
33.250
33.290;
Part 33,
App.A
* The basis for your screening and selecting the technical advi-
sors;
• A written justification for the procurement method used by your
group;
* A written justification for any specification or requirement that
does not encourage free and open competition;
+ A written justification for the type of subagreement used (e.g.,
labor hour, cost plus fixed fee. etc.);
• Actual bids submitted by all prospective technical advisors;
+ The basis of the award cost, including any cost analysis con-
ducted and documentation of negotiations;
4 The reasons for your rejection of any or all proposals; and
* The reasons for rejecting any and all bids and the justification for
any noncompetitively negotiated procurements. (This information
must be available for public inspection).
For all negotiated subagreements, potential technical advisors
must submit to you their cost information on EPA Form 5700-41,
"Cost and Price Summary," or in a similar format and provide you
with supportive documentation. You must keep this form in your
files in the event that we ask you to supply documentation prior to
awarding the subagreement. EPA Form 5700-41 provides technical
advisor applicants with instructions on how to complete the form. (A
blank copy of this form is included in Appendix B.)
EPA Form 5700-41 will aid your group, as well as EPA if an audit is
conducted, in determining whether a potential technical advisor's
costs for carrying out the technical assistance project are reason-
able, and whether the potential technical advisor has the financial
capability, accounting system, and management resources to man-
age Federal funds adequately. A technical advisor must have an
adequate accounting system for providing records of financial trans-
actions, accounting records (e.g., purchase requests, progress pay-
ment records, invoices and the like), and other data to enable an
EPA auditor to trace all financial transactions related to the project.
Form 5700-41 requires potential technical advisors to present their
costs for you in specific categories including:
* Personnel costs (estimated hours multiplied by hourly rate);
•* Fringe benefits;
4 Labor overhead costs;
4 Travel (e.g.. air fare and car rental) and "per diem" costs
(e.g., hotel and meals);
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Small and Minority Business
Utilization
33.240
Debarmant
33.220
You must make positive efforts to use small and minority-owned
businesses as sources of services and supplies whenever possible.
To identify potential small and minority business enterprises, you
should use resources such as your State's minority business office,
the Small Business Administration, the Minority Business Develop-
ment Agency, and EPA's Office of Small and Disadvantaged Busi-
ness Utilization (EPA's Office of Small and Disadvantaged Business
Utilization may be reached by calling (703) 557-7777). Minority
Business Development Centers operated by the U.S. Department of
Commerce also can help you identify minority firms. (See Appendix
C for a list of these organizations.) Additionally, you could send a
public notice soliciting proposals to small and minority business as-
sociations, professional societies, and media targeted to these
groups. You are required to report to EPA on your use of minority
businesses as discussed in Chapter 6.
You also must ensure that any individuals, organizations, or
firms to be selected are not on EPA's master list of suspended or
debarred or voluntarily excluded contractors (under 40 CFR Part 32).
This list is available from any EPA Regional Office and is updated
weekly. (See Appendix C for a list of EPA Regional contacts.) In
addition, the list is published four times a year in the Federal Regis-
ter. EPA will not pay for any subagreement awarded to a firm or
person on this list.
Procurements of $25,000 or
Less (or Small Purchase
Procurement)
33.305-
33.'315
The small purchase procurement method is used when the total
cost including overhead and profit for technical assistance services
is $25,000 or less. You must obtain price estimates for services
from an adequate number — at least three — of qualified sources.
You then should award the subagreement to the lowest-priced,
qualified bidder. If you choose, however, to award a subagreement
to a higher-priced bidder, you must provide a written justification for
the selection in your files. You must determine that the proposed
cost is reasonable. You may negotiate with prospective advisors if
you wish.
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The Citizens' Guidance Manual for the Technical Assistance Cr^nt Program
33.405-
33.430
ation criteria outlined in the RFP) whose proposal best meets your
group's needs. Exhibit 5-1 illustrates the competitive negotiation
process.
We believe that a competitive negotiation model is more appropriate
for technical assistance grant recipients than other procurement
methods such as formal advertising or noncompetitive negotiation.
The formal advertising method of procurement should be used
only when you can spell out exactly what services are needed and
prospective technical advisors can reasonably be expected to de-
velop a fixed price for the project. The fixed price encompasses all
costs associated with a project, including labor costs, overhead ex-
penses, and profit. Under formal advertising, the prospective tech-
nical advisors provide your group with "bids" for how much they
would charge for performing the requested service. You must then
make your selection, based principally on price.
Noncompetitive negotiation is allowed only when the small purchase,
competitive negotiation, or formal advertising procurement methods
cannot be used. All noncompetitive procurements must be ap-
proved by the EPA Award Official before the procurement takes
place. As the phrase suggests, no competition is involved when
selecting a technical advisor. Instead, selection is based on a justifi-
cation of why no other firms or individuals are being considered by
your group under that method. Even if you already have a technical
advisor who is providing services on a volunteer basis, you still must
follow EPA's procurement requirements and give other potential ad-
visors the opportunity to compete for the subagreement to ensure
that there is adequate competition and the costs are reasonable.
Steps in the Procurement
Process
Regardless of which procurement method is used, there are six
steps to follow, which are outlined in this section. Although you do
not have to follow all of the specific steps listed here, you should to
avoid audit or review problems later.
1. Select a procurement method. You should select the procure-
ment method that best suits your needs. To ensure maximum open
and free competition, EPA recommends that grant recipients with
subagreements over $25,000 use the competitive negotiation pro-
curement method.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
2. Prepare a request for proposals. A request for proposals (RFP)
is an announcement issued by your group to solicit proposals from
33.510 prospective technical advisors when using the competitive negotia-
tion method of procurement. (A sample RFP is included in Appendix
A.) You will need to determine the kinds of services to be provided
by the technical advisor prior to writing the RFP.
'An RFP provides the general parameters of the services required,
and prospective technical advisors must submit technical approaches
for accomplishing the various tasks. You then can negotiate with
33.510 technical advisor applicants to determine the services to be pro-
vided, as explained in the previous section on procurements over
$25,000. The following specifications must be included in an RFP:
* A complete description of the services required, including the
purpose, objectives, and scope of work;
4 A schedule for performing tasks that are time-sensitive;
4 All evaluation criteria that you will use in selecting the contractor,
and the relative importance attached to each;
* Total projected hours for the project; and
• The deadline and place to submit proposals.
Under EPA regulations, prospective technical advisors cannot be in-
volved in drafting these specifications.
In the sample RFP provided in Appendix A, only one example of a
scoring system for evaluating proposals is shown. You have many
options available to you for developing appropriate scoring methods.
Whatever method you use should reflect the type of technical assis-
tance relevant to the site, and should be prioritized and weighted
accordingly.
You should develop your own estimates of what are reasonable
costs for the services to be performed, and determine a total pro-
ject budget. A price range for the subagreement may be included
in the RFP at your discretion. Regardless of how advisors are
3.J.510- selected, the selection method must be outlined in the RFP, and
33:520 you must maintain in the project files complete records of the pro-
curement process, including scoring sheets or other evaluation
forms.
33.510 3. Publish or post a public notice soliciting proposals. Public
Part 33. notice for procurements in excess of $25.000 must be given
App. A to obtain the maximum number of qualified proposals. The public
notice that solicits proposals and announces the availability of the
RFP should be published in professional journals, newspapers, or
publications of general circulation over a reasonable area at least 30
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
33.250
The Subagreement with the
Technical Advisor
33.1015
I
sor, you must promptly notify in writing all unsuccessful candidates
that their proposals were rejected.
A written record summarizing the negotiations must be kept in your
procurement file. This record can be in the form of either a dated
log book or dated memoranda, but must describe both the issues
negotiated and the result of these negotiations. You must keep in
the files a written explanation of why the selected proposal is the
most advantageous, taking into consideration price and the other
evaluation criteria set forth in the request for proposals. You
must carefully document for the file your reasons for rejecting a pro-
posal, as well as the factors used to select the successful proposal.
You must inform EPA of any proposed subagreement between you
and a technical advisor and must provide us with the opportunity
35.4095 to review the subagreement before it is awarded. The purpose of
this review is to ensure that the subagreement is in compliance with
all the procurement regulations. However, you are responsible for
complying with the procurement regulations even 'if we have re-
viewed the subagreement.
33.1005 All subagreements with technical advisors must include, at a mini-
mum, the following elements:
* Nature, scope, and extent of work to be performed;
* Time-frame for performance;
4 Total cost of the subagreement; and
+ Payment provisions.
A labor-hour subagreement will be used in virtually all cases for the
procurement of services of a technical advisor. Under a labor-hour
subagreement, payment is made on the basis of a specified fixed
hourly labor rate. A discussion of an hourly rate structure, which
includes wages, overhead (0/H). general and administrative (G&A)
expenses, and profit is included in Appendix A. The technical advi-
sor must employ an accounting system that will provide appropriate
documentation, allocation, and segregation of costs to allow a clear
understanding of the source and application of all project funds.
You must oversee this labor-hour subagreement to ensure proper
use of grant funds. A more thorough description of your
recordkeeping requirements related to the subagreement is given in
Chapter 6.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Renewing a Subagreement
• Covenant against contingent fees. This clause prohibits a tech-
nical advisor from paying a contingency fee to an agency or indi-
vidual to solicit or secure the subagreement.
• Contractor gratuities. This clause prohibits a technical advisor
from providing gratuities in return for favorable consideration or
award of the subagreement.
> Final payment. This clause should outline the conditions for final
payment of the technical advisor.
• Responsibilities of contractor (including a conflict of interest
disclaimer). This clause should specify the responsibilities of
the technical advisor for conduct under the subagreement.
A sample contract is shown in Appendix A of this manual.
As discussed in Chapter 4, once a technical assistance grant is
awarded, we will obligate funds only for one budget period of up to
three years at a time. When a project extends beyond three years,
you must submit to EPA a continuation application requesting funds
to continue the project for another budget period of up to three
years. Depending upon the availability of funds for the Superfund
program, grant funds could be delayed. Therefore, to ensure that
you have funds available to pay for technical assistance, you should
award subagreements only for the length of the budget period in
your grant with an option to extend the subagreement for additional
periods of time (e.g., for additional one- to three-year contract pe-
riods).
This method provides you with the assurance that you will not have
to pay for the services of a technical advisor if you do not receive
additional funds from EPA. In addition, you will be provided with the
flexibility to extend or terminate the technical advisor's subagree-
ment, as necessary. Under this scenario, the technical advisor
need not recompete each time the subagreement is extended.
Terminating a Subagreement
with the Technical Advisor
You must follow certain procedures specified in clause 6 of the
model subagreement clauses in Subpart F of 40 CFR Part 33 if you
have to terminate a subagreement with your technical advisor. All
or part of the subagreement can be terminated by either party in the
event of substantial failure bv the other party to fulfill obligations un-
der the subagreement, throi gh no fault of the terminating party.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
* Provide to you all data, drawings, specifications, reports, esti-
mates, r jtes, summaries, and other relevant information and
materials accumulated in performing the subagreement, whether
completed or in process.
If terminated, technical advisors may obtain an equitable adjustment
in the price provided for in the subagreement. Termination for con-
venience results in a more favorable adjustment for the technical
advisor than termination for cause. Upon termination of the sub-
agreement with a technical advisor, you may hire another technical
advisor. Your group, however, must begin again and follow EPA
procurement procedures in hiring another technical advisor as dis-
cussed earlier in this chapter.
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The Citizens' Guidance Manual for the Technical Assistance Grcrt Program
CHAPTER 6
MANAGING TECHNICAL
ASSISTANCE GRANTS
Financial Management
Accessing Grant Funds
30.405
Technical assistance grant projects must be managed carefully to
ensure that your group receives the technical assistance it contracts
for, and to avoid having costs disallowed by EPA or the project ex-
ceeding the budget because expenditures were not monitored ade-
quately. The day-to-day management of these projects will vary
among groups depending on group-specific characteristics such as
size, organizational structure, and experience dealing with contrac-
tors. Issues that your group will need to address include defining
the role of your project manager, specifying which group member
should assign tasks to the technical advisor, and which group mem-
ber should oversee the accounting and recordkeepmg aspects of the
project. This chapter discusses general aspects of administering a
technical assistance project including financial management and re-
porting requirements.
This section outlines required financial management activities follow-
ing a grant award that pertain to accessing grant funds. Also in-
cluded is a summary of EPA's financial records requirements and
audit procedures.
When your technical assistance grant application is approved,
you will receive an award package describing the details of the grant
agreement. Once the grant agreement has been signed by you.
funds may not be reassigned to any other group or individual without
our prior written approval. We will make payment only to the person
identified in the grant agreement.
In the award package, we will specify the form of payment that we
will use for the project and the steps your group must take to be
eligible for that form of payment Under the Technical Assistance
Grant Program, we will reimburse you for legally incurred grant-
related costs up to the amount of the grant
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
1a
3.
5.
Item
Instructions For Completing
Form SF 270
Response
Check "reimbursement "
Check "partial" for the initial and interim payments Check "final1
only for the last request made for the project.
Check "cash "
Write the name of the EPA Regional Office designated in the
assistance agreement
Enter the Federal grant number, assigned by EPA
Enter the number (m sequence) of this request.
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The Citizens' Guidance Manual for the Technical Assistance Gram Program
Item
9.
10.
11.
Instructions For Completing
Form SF 270
Response
Enter the name of your group and the name and address of the
individual authorized to obligate your group to the financial
commitments of the assistance agreement
Complete this item only if the payment should be sent to an
address other than that provided in item 9 We will make payments
only to the payee identified in the assistance agreement
Enter "Technical Assistance Grant" under column (a).
Line (a) enter the total outlays for the period covered by this
request and all previous reimbursement periods.
Enter "0"; program income is not allowed by the Technical
Assistance Grant Program.
Enter the sum in line (a)
Pa'. Jones
*""• Woocnown Lardfill Coalitio-1
Main Street
*. *7^w< -oodtown. CT 0680",
cOMn/rtnon or UMUMT or MI
Tec.rni.cal
Assistance
» 5,i99
5 -99
ttQUEtno
=1
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The Citizens' Guidance Manual for the Technical Assistance Gram Program
:•;:...vs..
Instructions For Completing
Form SF 270
12.
13.
Write "N/A".
The individual authorized by your group to obligate the group to
the terms of this agreement must read the certification statement
and verify that the information is accurate before signing and dating
the form. The authorized individual's name, title, and telephone
number also must be included.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
the purchase of property will be scrutinized closely by the EPA TAG
Project Officer. The purchase of property is unlikely to be judged to
be the most effective use of your technical assistance grant funds.
No property purchases are permitted unless they are specifically
authorized in your grant agreement. In addition, you may not use
grant funds or make purchases of more than $10,000 without
30.530 obtaining prior written approval from the EPA Award Official. All
'property must be accounted for in your budget.
Rather than purchasing expensive equipment, you should consider
alternatives such as:
+ Asking a group member to donate the use of equipment or sup-
plies as an in-kind contribution;
+ Procuring a technical advisor who has the appropriate equipment
to conduct the work (in general, technical assistance projects
should not require any special equipment other than standard
office machines); or
* Leasing equipment on a short-term basis, as needed (if leased
equipment is used for work unrelated to the technical assistance
project, that percentage of the leasing costs would not be reim-
bursable under the assistance agreement).
The purchase of equipment is an allowable cost only if you can:
• Demonstrate that the equipment is vital to the project;
* Show that purchase of the equipment is the most cost-effective
method of obtaining that equipment and that it cannot be ob-
tained through an in-kind contribution, by leasing, or through the
technical advisor; and
* Provide justification for the purchase and supporting documenta-
tion in your grant application.
All equipment cost allocations must be documented carefully and
costs must be allocated proporfonally if the equipment is used for
purposes other than the technical assistance project. The projected
use of the equipment must account for the majority of the equip-
ment's useful life. You must use a property management system
that meets the following minimum standards:
30.531 + Maintenance of accurate records reflecting:
- a description of the property;
- manufacturer's serial number, model number, or other iden-
tification number;
source of the property, including assistance identification
number;
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The Citizens' Guidance Manual for the Technical Assistance C • ~nt Program
complete accounting of all financial transactions for the project.
Supporting documentation should include canceled checks, in-
voices, timesheets, work orders, receipts, and correspondence
indicating:
- the sources and amounts of funds received (Federal and
other) as well as any transactions involving in-kind contribu-
tions:
the application of all project funds, including grant awards
and authorizations, obligations, unobligated balances, assets,
liabilities, outlays, and income accrued from interest pay-
ments; and
- the total cost of the project:
* Records of any purchases made under the award, including re-
ceipts for all goods and services purchased over the life of the
project;
* Control over and accountability for all project funds, property and
other assets, and an assurance that you used these solely for
authorized purposes;
• A comparison of actual costs versus budgeted amounts;
• Audits at least every other year on an organization-wide basis;
• Procedures for determining allowable, allocable, and reasonable
costs; and
* A systematic method for responding to audit findings and recom-
mendations.
You must carefully monitor the project budget and document all fi-
nancial transactions throughout your technical assistance project.
Exhibit 6-1 provides a suggested layout for design of your financial
ledger. A possible format also is provided for you to track the bal-
ance of the matching contribution required to be met during the
budget period. Accountants or computer software programs also
may assist with the management of financial information.
The technical advisor has the responsibility of keeping detailed re-
cords related to his or her technical grant activities as well. These
records must reflect acquisitions, work progress, reports, expendi-
tures, and commitments and indicate their relationship to established
costs and schedules.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Exhibit 6-1 (continued)
Sample Format for Monthly Recording of a Group's Matching Contribution
Month.
Year —
Date
Task/Job/Resource Hours Rate
Value
Description
.3
Total In-Kind I_L
Date
CASH CONTRIBUTIONS
Amount/
Source Balance
Description:3
Total Cash [~S
Total Contribution Required: UL
Contributions to Date: L|
il
Subtotal
S
Total Monthly Contribution: |JL
Current Remaining Balance Li
nd olher documenis are avai
in this column
4) Total monthly contribution = Total In-Kind t Total Cash
When receipts, timesheels. and other documenis are ava.lablc lor both m-kmd and monetar> coninbunons
their existence may be noted in this column
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Exhibit 6-2
Sample Quarterly Progress Report
[This report is based on the activities at an imaginary site, Woodtown Landfill, and is a
hypothetical situation. Any similarity to actual people places or events is not intended.)
Date: 7/1/91
Report Number: 2
Report Period: 4/1/91 - 6/30/91
Site: Woodtown Landfill Site. Litchfield. Connecticut
Grant Recipient: Woodtown Landfill Coalition
Recipient Group Representative1 Pat Jones (Executive Director)
Technical Advisor: Professor Jan Carter
Progress Report:
• The technical advisor completed review of the remedial investigation work plan (9 hours).
• The technical advisor issued an evaluation memo on the remedial investigation work plan
(8 hours; total time spent on review of work plan in the first and second quarters equals
28 hours).
• The technical advisor and other Woodtown Landfill Coalition members attended the
remedial investigation kick-off public meeting (8 hours; billed for technical advisor's
preparation for and attendance at meeting).
• The Woodtown Landfill Coalition held four general membership meetings during this quarter
to discuss the technical advisor's progress
• The Coalition mailed the technical advisor's evaluation memo to interested individuals and
to EPA to be included in the site information repositories
Difficulties Encountered:
• None.
Project Status
• Estimated percentage of technical assistance project completed: 10%.
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The. Citizens' Guidance Manual for the Technical Assistance Grant Program
35.4115
In addition, we encourage you to publish the results of your technical
assistance project. If you or your technical advisor choose to pub-
lish a report under your technical assistance grant, you must submit
the document to your TAG Project Officer for review. The document
must include the disclaimer listed in 40 CFR 30.518(c).
You are required to submit to the EPA TAG Project Officer all final,
• written documents published under your grant as evidence of the
project's progress as related to the Scope of Services. The
TAG Project Officer, in turn, will ensure that copies of all such docu-
ments will be placed in the local information repository for the site.
Minority and Women's Business
Enterprise Report
It is Agency policy to encourage the use of minority and women's
businesses which are defined in the instructions section of EPA Form
SF 334. "Minority Business Enterprise (MBE) and Women's Business
Enterprise (WBE) Utilization Under Federal Grants, Cooperative
Agreements, and Other Federal Financial Assistance," contained in
Appendix B. The Superfund program requires that you submit this
form for all procurements regardless of the dollar amount 30 days
following the close of each Federal fiscal year quarter (e.g.. the
Federal fiscal year begins October 1 and ends September 30;
therefore, fiscal year quarters would end December 31, March 31.
June 30, and September 30). If you award all of your grant monies
at one time, the Form SF 334 only needs to be completed once.
during the fiscal quarter in which the subagreement(s) is awarded.
However, if you only award, for example, $5,000 of $10.000
budgeted for subagreements, you must continue to file an SF 334 in
every Federal fiscal quarter until all subagreements are awarded.
Also, your technical advisors must comply with this reporting
requirement if they intend to hire other personnel to assist them on
this project. In the fiscal quarters when you or your technical
advisors do not award subagreements but there are still grant
monies outstanding, you merely inform us by using the Form SF 334
that no subagreements have been awarded during that fiscal
quarter.
The following are step-by-step instructions on how to fill out an
MBE/WBE form along with a completed Form SF 334."
•For a complete discussion of EPA requirements regarding small and minority
firms see "EPA Guidance for Utilization of Small, Minority and Women's Business
Enterprises in Procurement Under Assistance Agreements-6010.- Office of Small
and Disadvantaged Business Utilization. U.S. Environmental Protection Agency.
1986.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
1 A.
B.
2.
A.
3.
A.
4 A.
B.
C.
5 A.
B.
C
D.
E.
6.
7.
Item
Instructions For Completing
Form SF 334
Pan 1
Response
Enter the Federal fiscal year date. (The Federal fiscal year runs from
October 1 through September 30. so December 1. 1989 is in fiscal
year 1990).
Check the box of the applicable Federal fiscal quarter.
Write the name and address of the EPA Regional Office designated
in the assistance agreement.
Write the name and phone number of the EPA TAG Project
Officer.
Enter the name and address of your group.
Enter the name and phone number of your Project •
Manager.
Enter the Federal grant number assigned by EPA.
Enter "Technical Assistance."
Check "grant."
Enter the dates during which subagreements under the grant were
awarded or will be awarded.
Enter the total project dollars that will be awarded to the technical
advisor during the current fiscal year.
Calculate the percentage of procurement dollars you plan to
spend with MBEs during this fiscal year You must consult with
your EPA TAG Project Officer with regard to EPA fair share goals
Enter the dollar amount of any subagreements awarded to MBE
firms during this quarter.
Check only if one or more procurements were executed this
reporting quarter but no MBE procurements occurred
Leave blank or fill in with any additional comments or explanations.
Type or print name and title of your Project Manager.
Your Project Manager should sign and date this form
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Financial Status Reports
35.4110
You must submit a Financial Status Report (SF 269) each year within
90 days of the anniversary date of the start of the project, and
within 90 days of the end of the grant budget period. A final Finan-
cial Status Report also must be submitted within 90 days of the end
Of the project period or termination of your technical assistance pro-
ject. These reports detail expenditures during the past year. At the
time the final Financial Status Report is filed, all payments to the
technical advisor must have been made.
The following are step-by-step instructions on how to fill out a Finan-
cial Status Report and a completed form that complies with these
instructions.
123
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The Citizens' Guidance Manual for the Technical Assistance Cram Program
Item
10. Column (a) & (g)
a.
b.
c.
Instructions For Completing
Financial Status Report
(SF 269)
Response
Enter "Technical Assistance" in vertical column (a). Instructions for
subparts a-m follow All figures should be entered under column
(a) and m column (g) "Total".
Show zero if this is the initial report. On subsequent reports show
total outlays previously reported
Enter total gross program outlays for the report period (outlays
are the sum of actual cash payments for goods and services [plus
the value of in-kind contributions]).
Enter the total amount of program income accrued (as interest) on
program funds. For the Technical Assistance Grant Program, this
amount should be 0.
Subtract line c from line b and enter the difference
Add line a to line d and enter the total sum.
Pat Jones
Woodtown Landfill Coalition
Main Street, Woodtown, CT 06898
^
»8
nee
EPA Region 1
9,01.90
,«
,
\ \\ V
V-IKIX \,
None 41
9.01,96
dl
,
:
w
I
. ' . •
Q...
9,01,90
17,
t
• . ".'..:
\
r" *?" _
B.
Q C>tM Q »CC WML
9,01,91
t
'*J^+>>*'
^r>
.0
8 7:2
n
8,722
8,722
^, n*Jtaf^^^^ .•
rtf^fin
'•l Techn tc
Assistance
125
-------
The Citizens' Guidance Manual for the Technical Assistance Grant Program
Instructions For Completing
Financial Status Report
(SF 269)
11.
Item
Response
Not applicable.
12.
Optional. You may attach a separate sheet providing explanatory
information if you believe such information is necessary to explain
data entered on this report.
13.
Read, sign, and date this certification and submit this form to the
EPA Award Official within 90 days of the anniversary date of the start
of the project, of the end of the budget period, or of project
completion.
11
nxo at mumo MM AMD tmi
Pat Jone^1 tp(. Director
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30.802 determine that you owe funds to the Federal government, you will be
required to reimburse us for that amount. We will take appropriate
legal and administrative actions to collect the amount you owe the
Federal government if reimbursement is not made in a timely man-
ner.
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APPENDICES
APPENDIX A: Sample Materials to be Prepared by Grant Applicants
and Recipients
APPENDIX B: Blank Forms
APPENDIX C: Key Contacts List
APPENDIX D: Selected Regulatory Text
APPENDIX E: Checklists for Grant Applicants and Recipients
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APPENDIX A
SAMPLE MATERIALS TO BE PREPARED BY GRANT APPLICANTS AND RECIPIENTS
• Part IV of the EPA Grant Application
• Sample Request for Proposals
• Sample Public Notice
• Sample Technical Advisor Subagreement
• Sample Cost Analysis
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Part IV of the EPA Grant Application Submitted by the Woodtown Landfill Coalition
for a Technical Assistance Grant
[This appendix is based on an imaginary site, Woodtown Landfill, and is a hypothetical situation. Any
similarity to actual people, places or events is not intended.]
INTRODUCTION
This application for a technical assistance grant at the Woodtown Landfill site in Litchfield County.
Connecticut is being submitted by the Woodtown Landfill Coalition. The Coalition is composed of
members from the Woodtown Citizen Task Force of Woodtown, Connecticut and the Smithtown
Outing Club of Smithtown, Connecticut, both of which are located in Litchfield County in the north-
western corner of the State. Since both groups require technical assistance, they have elected to
form an incorporated Coalition for the purposes of this program. The grant and technical advisor
will be managed by an executive committee comprised of two officers from each group.
The Woodtown Citizen Task Force, formed in 1982. has 30 members at present. All of the group's
members live within one quarter mile of the Woodtown Landfill site, which was added to the Na-
tional Priorities List (NPL) in 1982. The task force has been concerned primarily with health effects
resulting from the contamination at the site.
The Smithtown Outing Club, founded in 1965. is composed of 75 members. All group members
live within five miles of the site. The group organizes a variety of swimming, canoeing, fishing.
and hiking trips in and around Litchfield County. The Club has focused on the effects of contami-
nation from the Woodtown Landfill site on the surrounding environment.
SECTION 1: QUALIFICATIONS OF THE APPLICANT
This section describes the qualifications of the Woodtown Landfill Coalition. It is organized accord-
ing to the instructions for completing Part IV of the grant application form:
A. Group Eligibility;
B. Group Responsibility; and
C. Group Issues and Objectives.
Questions concerning the group's qualifications should be c'irected to Pat Jones at the Woodtown
Landfill Coalition, Mam Street. Woodtown. Connecticut 067S8. (203) ""-
A. Group Eligibility
This application for a technical assistance grant at the Woodtown Landfill site in Litchfield County is
being submitted by the Woodtown Landfill Coalition. This group is a non-profit organization with no
direct affiliation to any State or local unit of government. 3r any other political subdivision In addi-
tion, no member of the group is in any way associated w,th a potentially responsible party. Sev-
eral members work for ineligible organizations but are members of the group m their capacity as
concerned citizens The group is composed of members wno live in close proximity to the site (all
members live within a five mile radius of the site) and who believe that they are directly affected
by the contamination at the site. Given these circumstances, the group strongly believes that they
should be considered as an eligible applicant for a technical assistance grant
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Exhibit A-l
PROPOSED TECHNICAL ADVISORS' SCHEDULE OF TASKS AND COSTS
FOR USE OF FEDERAL GRANT FUNDS
Three-Year
Budget Period Schedule/Tasks
1st Remedial Investigation (Rl)
• Review work plan
• Issue evaluation memo
• AUend Rl klckoff public meeting
• Review various Rl reports (e g . risk assessment,
OA/QC plan, sampling plan)
• Review Rl report and prepare Rl evaluation report
1st Feasibility Study (FS)
• Review health assessment and prepare report
• Review draft FS and prepare FS evaluation
2nd Feasibility Study (FS ) Continued
• Brief Coalition on FS and attend FS meetings
• Review Coalition comments on FS
• Review ROD and prepare summary memo
Remedial Design (RD)
• Review pre-flnal and final design and prepare
Review
Report
X
X
X
X
X
X
X
X
Prepare
Memo/
Report
X
X
X
X
X
X
X
Attend ff of
Meeting Hours
28
X 6
42
56
39
84
X 11
12
56
56
Cost at
S/hour*
•
$2.128
$ 608
$3.192
$4.256
$2.964
$6,384
$ 924
$ 1 ,008
$4.704
$4,704
Total Cost Total 0
of Advisor of Hours
$10.184 134
$ 9.348 123
$ 6.636 79
$ 4,704 56
2nd
design evaluation memo
Remedial Action (RA)
• Review pre-flnal and final Inspection reports and
prepare cleanup evaluation report
Travel
• Two trips (total of 4 days/3 nights) to
attend two meetings
- Airfare ($150)
- Rental Car ($40 per day)
- Lodging and Meals ($100 per diem)
Administrative Costs
• Phone and Mall
• Xeroxing
29
$2.436
$ 2.436
Total Cost of Advisor $ 33.308
$ 300
$ 160
$ 300
Total $
$
_*_
760
640
440
Total $ 1.080
Total (Federal Share) $35,148
29
421
' This example assumes that there Is a 10 percent Inflation cost every budget period (3 years) To account for this, the hourly rate In the first budget period Is
$76, and In the second budget period Is $84
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Exhibit A-2 (Continued)
Comparison of Federal and Matching Shares over Two Budget Periods
Budget Period 2 (Feasibility Study Continued, Remedial Design and
Remedial Action):
1. Federal Share:
Labor (164 hours at $84 per hour) = $ 13,776
Travel (one trip (two nights) to attend FS meeting = $ 430
and briefing)
- Airfare ($150)
- Rental Car (2 days at $40 per day)
- Lodging and Meals (2 nights at $100 per diem)
Other Direct Costs (OOCs) = $ 505'
- Phone and Mail ($350)
- Xeroxing ($225)
Subtotal Federal Share = $14.711
2. Matching Share:
Cash
- Newsletter (6 issues at $200) = $ 1.320
- External Audit (20 hours of accounting @ $24 = $ 520
per hour)
- Newspaper ads announcing Community Forum = $ 156
In-Kind Contributions
- Meeting Space ($198 per year) = $ 594
- Accountant (75 hours at $26 per hour = $ 1,950
- Editor(220 hours at $22 per hour) = $ 4,840
Subtotal Matching Share = $ 9,380
TOTAL (Federal and Matching) = $ 24.091
' Indicates administrative costs In Budget Period 1 administrative costs total $4 645 (the maximum
administrative costs allowed in this example would be $4 717 - $31 447 x 15)
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Exhibit A-3
Chronology of Activities Conducted by Members of the Woodtown Citizen Task
Force and the Smithtown Outing Club Regarding the Woodtown Landfill Site
A. Woodtown Citizen Task Force Activities
Date
Action
June 1. 1982
July 15. 1982
September 9. 1982
September 23, 1982
December 10. 1982
March 3. 1983
May 18. 1983
October 1983
January 22, 1984
February 5. 1984
April 9. 1985
February 28. 1986
July 1, 1986
Woodtown Citizen Task Force forms in response to the listing of the Woodtown
Landfill site on the National Priorities List
Task Force holds meeting to discuss actions needed at Woodtown Landfill site
Task Force members begin receiving bottled drinking water
Letters written by the Task Force to Connecticut Congressional delegation re-
questing help in evaluating health risks caused by contamination at the site
Held public meeting and press conference to publicize concerns of community
members
Executive Council of Task Force attends a Town Board of Directors meeting to
voice concerns about contaminated well water
Task Force began fund drive to raise money for water testing residential wells in
the community
Water testing performed at 60 residential wells in Woodtown
Letter to EPA seeking information on potential cleanup solutions at site
Held public meeting to discuss water testing results provided by EPA
Member of Task Force with environmental background begins trying to map out
area of contamination
Task Force writes to EPA for information on the Technical Assistance Grant Pro-
gram
Woodtown Citizen Task Force unites with Smithtown Outing Club to form Wood-
town Landfill Coalition
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
report, residents' well water continues to be undnnkable due to its strong odor, brownish color,
and unpleasant taste which the Task Force believes to be solely caused by contamination from the
Woodtown Landfill site. Several residents have reported to the Task Force that they have experi-
enced mysterious skin rashes after bathing in the well water and are concerned about their health,
As a result, Task Force members have had to resort to using bottled water for nearly two years.
EPA is considering members' request for an alternate water supply after the Agency has com-
pleted their sampling at the landfill. The Woodtown Citizen Task Force, as a member of the Wood-
town Landfill Coalition, wants to ensure specifically that all potential health risks related to the site
are investigated thoroughly and that the remedial action selected will restore the quality of their
private well water supplies.
2. Broad Representation
The Woodtown Landfill Coalition, despite its recent formation, has a diverse membership which rep-
resents much of the community's interests and concerns about the Woodtown Landfill site By
combining the Woodtown Citizens Task Force and the Smithtown Outing Club, the Coalition is able
to represent a wide range of interests and concerns about the Woodtown Landfill site. Coalition
members believe that this organized effort will positively affect both members of the group and in-
dividuals in the community by providing a single contact from which community concerns can be
addressed. The Coalition itself does not have a long history with the Woodtown Landfill site, but its
composite organizations have been active in dealing with site issues since the site was listed on
the National Priorities List in 1982. The primary areas of past involvement are health and environ-
mental concerns. Attached as Exhibit A-3 are two chronologies, one from the Woodtown Citizen
Task Force and one from the Smithtown Outing Club, detailing past involvements by Coalition mem-
bers with the Woodtown Landfill site. As can be noted from these chronologies, the combined his-
torical involvements of the two groups forming the Woodtown Landfill Coalition represent a wide
range of community concerns and a significant commitment on the part of these groups to achieve
a remedy for the Woodtown Landfill site.
3. Tasks for the Technical Advisor
The primary purpose of the tasks to be performed by the technical advisor is to help the members
of the Woodtown Landfill Coalition better understand the technical information, data, reports, de-
signs, and oral presentations provided by EPA and the State in the course of studying and conduct-
ing remedial activities at the Woodtown Landfill site. By interpreting, analyzing, and evaluating the
information, the technical advisor will aid our group in commenting more productively and effec-
tively on remedial activities at the site. The ultimate goal of the technical assistance project is to
help u-5 help EPA clean up our drinking water and restore the Rolling River to its previous recrea-
tional jses A more detailed description of the tasks to be performed by the technical advisor is
given m the Scope of Services (Section 2 of this Appendix).
The technical advisor will be hired for a three-year contractual period beginning at the start of the
remedial investigation (Rl) This contract will be eligible for renewal for additional periods of three
years or less, as needed, until the completion of the remedial action
4. Informing Others in the Community
As a means of keeping community members informed of activities at the Woodtown Landfill sue,
the Woodtown Landfill Coalition will produce 12 issues of a newsletter containing information gener-
ated by the technical advisors Five hundred copies of this newsletter will be printed for each is-
sue. 400 copies will be distributed by hand to interested community members and 100 copies will
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The advisor will be expected to attend a proposed meeting between EPA staff and residents sched-
uled for the start of the Rl. The advisor will prepare questions to be asked of EPA'regarding sam-
pling plans, particularly in regard to the Rolling River. The Coalition also will take the opportunity
during the meeting to discuss EPA's plans for evaluating the site's potential health risks.
Upon completion of the Rl report, the advisor will be expected to help the Coalition evaluate the
results. Another key document to be reviewed by the advisors will be the risk assessment (if avail-
able). The advisor will prepare memos on both these documents and the information will be made
available to the Coalition membership via the newsletter and the information repository
Feasibility Study (288 hours including one trip)
The advisor will complete a detailed analysis of the proposed remedies in the draft feasibility study
and then brief the Coalition on its contents. Additionally, the advisor will prepare a written report to
aid the Coalition's preparation of public comments. This report will provide the advisor's recom-
mendations regarding the proposed cleanup measures. The advisor will make a presentation on
his findings at a special community forum held by the Coalition prior to EPA's public meeting The
advisor will attend EPA's public meeting to be held in Woodtown during the public comment period.
The advisor's primary responsibility will be to serve as a resource to the Coalition spokespeople at
the meeting, interpreting technical information and asking clarifying questions. The advisor may
make comments at the meeting if asked by the Coalition. The single, two-day trip during this
period will combine both the Coalition briefing and the public meeting.
The Coalition is particularly concerned about the potential risks to human health posed by the
Woodtown Landfill site. Consequently, we consider the health assessment to be prepared for the
site to be a particularly important document. The advisor will be expected to analyze the health
assessment thoroughly to ensure that public health is being adequately considered. The advisor
will prepare a summary report on the potential health risks posed by the site and how EPA pro-
poses to address these risks. This report will be included in the newsletter and sent to EPA to be
placed in the information repository.
The advisor also will examine the ROD and prepare a memorandum on the chosen method of
cleanup. Additionally, this report will describe how major comments submitted by the Coalition and
the general community were addressed by EPA in the responsiveness summary This memoran-
dum will be published in the Coalition's newsletter and sent to EPA to be placed in the information
repository.
Remedial Design (80 hours)
The technical advisor-will be expected to carry out oversight functions during this stage The advi-
sor will review the final design to ensure that the design is consistent with the record of decision
(ROD). The advisor will be expected to report his/her findings in memoranda submitted to the
Coalition's Executive Committee Excerpts about the progress at the site will be published m the
Coalition newsletter The memoranda will be available in the information repository
Remedial Action (42 hours)
During the remedial action phase, the advisor will be expected to review the final inspection report
Within 30 days of the completion of the cleanup, the advisor will prepare a final report summarizing
his/her findings This report will be published in the Coalition's newsletter
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Sample Request for Proposals
The Woodtown Landfill Coalition is soliciting proposals under competitive negotiation for a
technical advisor to provide assistance in the review and analysis of remedial activities under-
taken by the U.S. Environmental Protection Agency (EPA) at the Woodtown Landfill Superfund
site. Members of the Coalition include approximately 105 citizens in the Smithtown-Woodtown
areas of Litchfield County, Connecticut. The technical advisor will assist Coalition members in
interpreting documents generated throughout the Superfund process at the Woodtown Landfill
site. The advisor also will help members review s'te data and data-gathering techniques. Tech-
nical assistance will ensure that Coalition members are thoroughly informed about all aspects of
site cleanup activities, which will enable them to participate more effectively in EPA's decision-
making process.
The scope of work will require the technical advisor to perform the following tasks during an
initial three-year contractual period (with options for additional years), beginning just prior to the
start of the Remedial Investigation (Rl).
(1) Review of technical documents generated during the remedial investigation/feasibility
study (RI/FS). remedial design (RD), and remedial action (RA). These documents will
' include the Rl work plan, sampling plan, quality assurance/quality control plan. Rl report,
risk assessment, health assessment, draft FS, record of decision, pre-fmal and final
engineering design, and final inspection report;
(2) Attendance at RI/FS meetings;
(3) Preparation of summary memos and repo'ts,
(4) Review of the Coalition's written comment?, to be submitted during the public comment
period on the draft FS: and
(5) Presentations to Coalition members ar,d Cihers
The advisor will work with Coalition members to develop a scope of services that will define
Coalition expectations further The scope of services will be included in the subagreement and
will specify the timing and scope of the advisor's responsibilities based on the contractual agree-
ment.
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Sample Request for Proposals (continued)
The group has the option to renew the subagreement after the initial three-year period for
additional one to three-year contract periods as long as the cleanup continues. Contract renewal
will be based on satisfaction with the technical advisor's previous performance. A total of ap-
proximately 421 hours of work is estimated for the technical advisor during the entire cleanup; the
distribution of these hours is dependent upon the pace at which site cleanup proceeds.
This contract will be awarded under a competitive negotiation procurement method to the
best qualified applicant within a competitive price range. The Coalition will negotiate to obtain the
best final offer. Candidates will be informed of the Coalition's decision to reject or accept a
proposal.
The deadline for submitting proposals to the Coalition is 5 p.m.. July 10, 1990. Qualified
firms or individuals are encouraged to respond to this request for proposal. All proposals should
be sent to:
-Ms. Pat Jones, Executive Director
Woodtown Landfill Coalition
Mam Street
Woodtown. Connecticut 06798
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Sample Public Notice
PUBLIC NOTICE
Technical Assistance Services
Solicited by Woodtown Landfill Coalition
Community group concerned with local Superfund
site in Litchfield County, CT seeks technical
assistance services for a three to five year period.
Support to include review and analysis of U.S.
EPA remedial activities at hazardous waste sites
required under CERCLA. Technical advisor to
review sampling data, reports, and studies during
Superfund response. Written and oral presentation
must be appropriate for non-technmcal audiences.
Interested individuals or firms should have
experience in working with government agencies;
knowledge of hazardous waste and expertise in the
following areas: health sciences, biochemistry,
toxicology, engineering, and hydrogeology.
Effective immediately, applicants may obtain an
RFP by sending a large, self-addressed envelope to:
Ms. Pat Jones, Executive Director
Woodtown Landfill Coalition
Main Street
Woodtown, CT 06798
Proposals must be received at the above address by
close of business (date must be at least 30 days from
the publication of this notice).
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Sample Technical Advisor Subagreement
This subagreement is entered into this day of . 19 . by and between the WgQd.tp.wn
l andfill Coalition and (Contractor! of (Business Address!.
I. SCOPE OF SUBAGREEMENT
The contractor agrees to perform the following services:
A. Purpose:
The Woodtown Landfill Coalition is entering into this subagreement for the services of a technical
advisor with (the contractor) to provide assistance in the review and analysis of remedial activities
at the Woodtown Landfill Superfund site Members of the Coalition include approximately 105
citizens in the Smithtown-Woodtown areas of Litchfield County, Connecticut. The technical advisor
will assist Coalition members in interpreting documents generated throughout the Superfund
process at the Woodtown Landfill site. The advisor also will help members review site data and
data-gathering techniques. Through this technical assistance, the contractor will ensure that
Coalition members are thoroughly informed about all aspects of site cleanup activities, which will
enable them to participate more effectively in EPA's decision-making process
B. Contractual Period and General Statement of Duties:
This subagreement will cover an initial three-year period. This subagreement may be renewed, at
the option of the Woodtown Landfill Coalition, after the initial contract period for additional one- to
three-year contract periods as long as the cleanup continues, but is not to exceed ten years.
The contractor will perform the following tasks during the initial contractual period, beginning just
prior to the start of the remedial investigation (Rl) at the Woodtown Landfill Superfund site
(1) Review of technical documents generated during the Rl. These documents will include
the Rl work plan, sampling plan, quality assurance/quality control plan, Rl report, and risk
assessment;
(2) Attendance at Rl kickoff meeting;
(3) Preparation of summary memoranda and reports:
(4) Preparation of questions and review of Coalition comments/questions for the public meet-
ing on the Rl kickoff. and
(5) Presentations to Coalition members and others.
C. Specific Contractor Tasks:
1. Remedial Investigation
Time allocation' 134 hours, including one trip
(a) The contractor's first tas.k will be to review the Rl work plan, sampling plan, and quality assur-
ance and quality control plan The Coalition wants to ensure that adequate sampling is earned out
and gauge the need for testing m areas not included m the Rl work plan Special attention shall be
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ing the purpose of this subagreement. The Woodtown Landfill Coalition shall review the final
report and may require revisions. Upon receipt of the Woodtown Landfill Coalition revisions,
the contractor shall incorporate any revisions necessary and resubmit the final report within 15
days.
II. PAYMENT
A. The Woodtown Landfill Coalition shall compensate the contractor for the services outlined in
this subagreement at a rate of seventy-six dollars per hour ($76.00 per/hr), which shall include
overhead, general, and administrative costs.
B. Reimbursement for Other Direct Costs, not to exceed six hundred and forty dollars. Shall be at
the following rates:
1. Telephone expenses at cost
2. Postage at cost
3. Stationary at cost
4 Secretarial at cost
5. Copying, printing at cost
6. Other expenses at cost (graphics, for example)
7. Lodging expense up to $100 per diem (charged at the Government rate )
8. Other travel expenses at cost •
Travel rates shall be limited to approved Federal reimbursement rates. (These rates can be found
in the July 15, 1987 Federal Register.)
C. Overall maximum payment for the subagreement, including any reimbursement authorized in
(A) and (B) above, shall not exceed:
Ten thousand, eight hundred and twenty four dollars
(amount in words)
(S1Q.824)
(amount in numbers)
Payment shall be made on a basis in accordance with provision III (A) of this subagreement.
D In no event shall the contractor be reimbursed for holidays, sick days, or time other than that
actually spent providing the services.
III. METHOD OF PAYMENT
A. Standard Invoice System:
Monthly, the contractor shall submit time sheets and corresponding invoices to Pat Jones. Execu-
tive Director, Woodtown Landfill Coalition, for services performed during the calendar month that
ended Time sheets must indicate the hours charged on a daily basis (even if zero) and indicate
travel expenses corresponding to the days the charges were incurred invoices must clearly show
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the contractor at the time of termination may be adjusted to cover any additional costs to the
Woodtown Landfill Coalition because of the contractor's default. If termination for default is ef-
fected by the contractor, or if termination for convenience is effected by the Woodtown Landfill
Coalition, the equitable adjustment shall include a reasonable profit for services or other work per-
formed. The equitable adjustment for any termination shall provide for payment to the contractor
for services rendered and expenses incurred prior to the termination, in addition to termination set-
tlement costs reasonably incurred by the contractor relating to commitments which had become
firm prior to the termination
(d) Upon receipt of a termination action under paragraphs (a) or (b) above, the contractor shall
(1) promptly discontinue all affected work (unless the notice directs otherwise), and (2) deliver or
otherwise make available to the Woodtown Landfill Coalition all data, drawings, specifications, re-
ports, estimates, summaries, and such other information and materials as may have been accumu-
lated by the contractor in performing this subagreement, whether completed or in process.
(e) Upon termination under paragraphs (a) or (b) above, the Woodtown Landfill Coalition may take
over the work and may award another party a subagreement to complete the work under this sub-
agreement.
(f) If. after termination for failure of the contractor to fulfill contractual obligations, it is determined
that the contractor had not failed to fulfill contractual obligations, the termination shall be deemed
to have been for the convenience of the recipient. In such event, adjustment of the subagreement
price shall be made as provided in paragraph (c) of this clause
4. Remedies
Unless otherwise provided in this subagreement, all claims, counter-claims, disputes, and other
matters in question between the Woodtown Landfill Coalition and the contractor arising out of. or
relating to. this subagreement or the breach of it will be decided by arbitration if the parties mutu-
ally agree, or in a court of competent jurisdiction within the State in which the Woodtown Landfill
Coalition is located.
5. Audit - Access to Records
(a) The contractor shall maintain books, records, documents, and other evidence directly pertinent
tc performance on EPA funded work under this subagreement in accordance with generally ac-
cepted accounting principles and practices consistently applied, and 40 CFR Part 30 in effect on
the date of execution of this subagreement. The contractor also shall maintain the financial infor-
mation and data used in the preparation or support of the cost submission required under 40 CFR
33.290 for any negotiated subagreement or change order and a copy of the cost summary submit-
ted to the recipient, the U.S. Environmental Protection Agency, the Comptroller General of the
United States, the U.S. Department of Labor, the Woodtown Landfill Coalition, and (the State) or
any of their authorized representatives shall have access to all such books, records, documents,
and other evidence for the purpose of inspection, audit, and copying during normal business hours
The contractor will provide proper facilities for such access and inspection.
(b) If this is a formally advertised, competitively awarded, fixed price subagreement, the contrac-
tor agrees to make paragraphs (a) through (f) of this clause applicable to all negotiated change
orders and subagreement amendments affecting the subagreement price In the case of all other
types of prime subagreements, the contractor agrees to make paragraphs (a) through (f) applica-
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event of a breach of the subagreement by the contractor, and as a penalty, in addition to any
other damages to which it may be entitled by law, be entitled to exemplary damages in an amount
(as determined by the Woodtown Landfill Coalition) which shall be not less than three nor more
than ten times the costs the contractor incurs in providing any such gratuities to any such officer
or employee.
8. Responsibility of the Contractor
(a) The contractor is responsible for the professional quality, technical accuracy, timely comple-
tion, and coordination of all reports or other services furnished by the contractor under this sub-
agreement. The contractor shall, without additional compensation, correct or revise any errors.
omissions, or other deficiencies in the reports and other services.
(b) The contractor shall perform the professional services necessary to accomplish the work
specified in this subagreement in accordance with this subagreement and applicable EPA require-
ments in effect on the date of execution of the assistance agreement for this project.
(c) The Woodtown Landfill Coalition's or EPA's approval of reports and incidental work or materials
furnished hereunder shall not in any way relieve the contractor of responsibility for the technical
adequacy of his work. Neither the Woodtown Landfill Coalition's nor EPA's review, approval, ac-
ceptance, or payment of any of the services shall be construed as a waiver of any rights under
this subagreement or of any cause for action arising out of the performance of this subagreement
(d) The contractor shall be, and shall remain, liable in accordance with applicable law for all dam-
ages to the Coalition or EPA caused by the contractors's negligent performance of any of the serv-
ices L -iished under this subagreement, except for errors, omissions or other deficiencies to the
extent attributable to the Coalition, Coalition-furnished data, or any third party. The contractor shall
not be responsible for any time delays m the project caused by circumstances beyond the contrac-
tor's control.
(e) The contractor's obligations under this clause are in addition to the contractor's other express
or implied assurances under this subagreement or State law and in no way dimmish any other
rights that the Coalition may have against the contractor for faulty materials, equipment, or work
9. Final Payment
Upon satisfactory completion of the work performed under this subagreement, as a condition be-
fore final payment under this subagreement, or as a termination settlement under this subagree-
ment, the contractor shall execute and deliver to the Woodtown Landfill Coalition a release from
any future claims against the Woodtown Landfill Coalition arising under this subagreement. except
claims that are specifically exempted by the contractor to be set forth in the release Unless oth-
erwise provided in this subagreement, by State law or otherwise expressly agreed to by the parties
to this subagreement, final payment under this subagreement or settlement upon termination of
this subagreement shall not constitute a waiver of the Woodtown Landfill Coalition's claims against
the contractor under this subagreement.
10. Conflict of Interest
For the purposes of this subagreement, the contractor shall provide (1) information on its status
and the status of parent companies, subsidiaries, affiliates, subcontractors, and current clients and
attorneys and agents of such parties as potentially responsible parties (PRPs) at the site (this dis-
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Sample Cost Analysis
(for subagreements over $25.000)
This section explains how to perform a cost analysis, and how to review and categorize cost informa-
tion provided by potential technical advisors under a competitively negotiated procurement. Cost
analysis also is discussed in Chapter 5 of this manual.
This information is adapted from Chapter 22 of the Assistance Administration Manual (12/3/84) pub-
lished by the EPA Grants Administration Division.
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Indirect Costs are costs which benefit the technical advisor's organization as a whole, which are
not specifically identified in the sub-agreement. Indirect costs also are referred to as overhead or
burden costs, and include such costs as fringe benefits, office rental, equipment depreciation, ac-
counting costs, legal services, and top level management costs.
In some cases the technical advisor will present his/her indirect costs as separate categories of
costs (e.g., fringe benefits, general and administrative); in other cases the technical advisor will
present his/her indirect costs as one figure. Either way is acceptable provided the technical advi-
sor consistently accounts for indirect costs in the same way all of the time.
Example 1:
Example 2:
Category
Fringe benefits
Overhead
General and Administrative
Category
Direct
Labor Estimated
Rate Base
10%
50%
2%
x $18.300
x $18.300
x $18.300
Indirect Costs
Total Indirect Costs
Rate Base
62% x $18.300
Indirect
Cost
= $ 1,830
= $ 9.150
= $ 366
$11.346
Estimated
Cost
= $11.346
Things to Consider:
The indirect cost base. Does the indirect cost base include only reasonable and allowable
costs such as office space and equipment depreciation?
The proposed indirect rate. Has the rate been approved by EPA or another Federal agency? If
not, is there enough documentation to evaluate the rate? Unallowable costs must be excluded
from the rate. (See 40 CFR 31 1 and 31.2 for the applicable cost principles.)
Travel and per diem costs are costs for travel and related charges (e.g , hotel and meal charges)
that can be directly related to the subagreement. A per diem usually is a lump sum that includes
the cost of hotel room and meals for one day.
The technical advisor must provide detailed information on his proposed travel costs. The example
shows how a prospective technical advisor may arrive at his travel expenses shown m Section 9 (a)
of the form. The Federal rate for trips by car is 20.5 cents per mile.
A-31
-------
The Citizens' Guidance Manual for the Technical Assistance Grant Program
Subcontract costs are costs related to work performed by an additional "contractor" hired by the
technical advisor to aid in carrying out the tasks specified in the subagreement. In some cases, a
technical advisor may want to acquire the services of an additional expert whose knowledge may
complement the overall services the technical advisor candidate could provide to you. This addi-
tional expert is called a subcontractor. For example, if the primary technical advisor is a health
sciences expert but engineering expertise is also needed, an engineer might be hired as a subcon-
tractor, Costs associated with the subcontractor must be reflected in the technical advisor's cost
or price summary. The procedures for cost analysis of subcontracts are the same as for the pri-
mary contractor.
Example: pr,ce
Total direct and indirect costs $10,000
Profit $ 1.000
Total Cost $11,000
B. Cost Analysis Findings
You must determine (and document) that all costs are allowable, necessary, and reasonable You
also must determine that only fair and reasonable profits are paid to their technical advisors.
Allowable costs are identified in the applicable cost principles (see 40 CFR 30.410). A few exam-
ples of unallowable costs are:
+ Bad Debts. Losses arising from uncollectible accounts and other claims, and related costs.
* Entertainment. Costs of amusements, social activities, and related costs, such as rneais or
beverages.
* Interest and Other Financial Costs. Interest on borrowing (however represented), bond dis-
counts, costs of financing operations, and related legal and professional fees
* Fines and Penalties. Costs from violations of, or failure to comply with Federal, State, and
local laws and regulations.
Necessary Costs are those, which you determine must be incurred in order for the technical advi-
sor to carry out the work plan.
Reasonable costs are the minimum amounts for each necessary and allowable cost
Profit is determined before the subagreement award and does not change unless there is a
change in the scope of work. Profit cannot be tied to the actual costs of the project In other
words, profits cannot increase if costs go up. Profit may be established by taking a percentage of
the estimated costs, but the subagreement should list profit as a dollar figure, not a percentage.
Generally, you should negotiate fee or profit amounts based on:
* Technical advisor's assumption of risk: The greater the amount of risk the technical advisor
assumes, normally the higher the rate of profit. On "fixed-price" subagreements involving
complex or difficult tasks, the technical advisor would assume considerably more risk than on
A-33
-------
«FPA COST OR PRICE SUMMARY oZlFSoQ,,
^O^C r M f$tfB accompanying instructions before comoletina this form) Aoaro**! twit to 3t as
PARTI -GENERAL
1 RECIPIENT 2 ASSISTANCE IDENTIFICATION NO
Uoootoun Landfill Coalition
3 NAME Of CONTRACTOR OR SUBCONTRACTOR 4 DATE OF PROPOSAL
Acme Services 9/15/9G
5 ADDRESS OF CONTRACTOR OR SUBCONTRACTOR (Inclu* lit CixMI
123 ilairt Street
Any town, USA
TELEPHONE NUMBER nneiu» /•*«>/• »r«px>««;
Senior Scientist
Staff Scientist
Clerical
DIRECT LAiOR TOTAL
S INDIRECT COSTS /Se*:*r indrrttt tea pooitl
Overhead Rate
INDIRECT COSTS TOTAL
EST1MAT1D
HOURS
-kOO
100
150
RATE
627,
HOURLY
RATE
• 35.00
25.00
12.00
• BAM •
1
13.100
ESTIMATED
COST
• u.ooo
2.500
1.3UO
ESTIMATED
COST
1
9 OTHER DIRECT COSTS
« TRAVEL (To VXS1C che Slte aad che EPA Kepional Office)
III TRANSPORTATION (local)
iZiPEROiEM (3 davs Q $82. OC oer dav)
TRAVEL SUBTOTAL.
0 EQUIPMENT MATERIALS SUPPUES lSi»ci*, cti»ton»t>
None
EQUIPMENT SUBTOTAL.
OTY
COST
»
C SUBCONTPIACTS
CoodCirne Ensmeerincf
-
SUICONTRACTJ SU8TOTAL
a OTHER lSv»titv cti»gori»ti
None
OTHER SUBTOTAL
• OTHER DIRECT COSTS TOTAL
ESTIMATED
COST
• 51
• 246
« 297
ESTIMATED
COST
t
ESTIMATED
COST
1
11 000
i 11.000
ESTIMATED
COST
*
1
10 TOTAL.ESTIMATEO COST
11 PROFIT
i j TOTAL PRICE
TOTALS
i 18,3UU
» 11 34ft
• 11.297
• 40.943
I 4,094
• i.S 017
EPA Form 6700-41 |R«v 4-84) Previous Mittens may b« u*«4 until suppi't* «r« unausiM
-------
PURPOSE AND APPLICABLITY
The purpose of this form is to provide a simple form for the display of cost and price data 40 CFR 33 290 requires the
recipient to perform cost or price analysis for every procurement action, including subagreement modifications This
form is not required by EPA. but may be used at the recipient's option If the recipient currently uses a cost and price
analysis form which acomplishes the same objectives as this form, the recipient may use its own form
INSTRUCTIONS
If thi« form is used. CAREFULLY READ AND FOLLOW ALL INSTRUC-
TIONS Many items are not salf-explenatory Attach addition*! shMts
if neceuary
UM only the applicable portions of this form
Pirt I is applicable to an subegreements
Pan II if applicable to all subagreements requiring • co*t analysis
pursuant to EPA procurement reguletions
Pan III is applicable to an subegreementa where review is beted on
price comparison (i e . price analysis)
Pan IV certifications will be executed as required by the instruc-
tion! for each block
PART I-GENERAL
Item I — Enter the name of the recipient as shown on the assistance
agreement
Item II — Enter the assistance identification number shown on the
assistance agreement (or assigned to the protect, if no assistance
agreement has yet been executed)
Item 3 — Enter the name of the contractor or subcontractor with
whom the subagreement is proposed to be executed
Item 4 — Enter the date of the contractor s or subcontractor s proposal
to the recipient
Item 5 —Enter the full mailing address of the contractor or sub-
contractor
Item 6 — Give a brief description of the work to be performed under
the proposed subagreement
Pan II - COST SUMMARY
This portion of the form if to be completed by the contractor lor his/her
subcontractor) witn whom a subagraemant is proposed to be exe-
cute* unless that subagreement is a formally advertised compel)-
t.vely bid. fixed price contract
Nothing m the following discussions should be interpreted as recom-
mencing the inclusion as direct costs any items normally treated as
overhead costs m the form s accounting or estimating system 4OCFR
Part 30 identifies general cost principles applicable to subagreements
undei EPA assistance Pursuant to that Pan all subagreements
awar Jed to profit making organizations are subject to the cost prmci
plesoI41 CFR 31 2 Architect engineer and construction contracts are
also subject to 41 CFR 31 105
Item 7 — Direct Labor
Oirac lebor eettt normally include salaries at a regular time rale
Overtime premiums should be identified separately on in anacfiment
Incurfonce of unanticipated overtime cdsts requires the approval of
the rucipient at the time ofincurrence If significant overtime is known
to 64. needed at the time of completion of the cost review form the
reasons therefore, labor categories, rates and hours should be identi-
fied on an attachment Also included is the cost of partners or princi-
pal^' time when they are directly engeged in services to be rendered
under the subagreement In case the full time of any tmplo tee is not to
be devoted to wort to be performed under the subagreement only the
con of actual time to be applied should be included The compensation
of a partner or principal shall be included as direct cost only for the
time that the/he it expected to be engaged directly m the pertormenca
of wort under the subegreement and only if it is the firm s normal
practice to charge such time directly to all/obs The rat a of comgensa •
tion of a partner or principal thai! be commensurate with the cost of
employing another gualified person to do such wort but the salary
portion shall net exceed the actual salary fete of the individual con-
cerned Distribution of profits shell not be included m the rate of
compensation
Enter in block 7 the categories of professional or technical personnel
necesary to perform each major element of work unaer tne subagree-
mant scope of cervices Estimate hours worked lor each category and
extend them by the wage rates to be paid during tne actual perfor
manca of the work Current rates, adjusted for projected increases if
any. should be uaed for the actual categories of labor contemplated AM
projected increases should be supported by recent experience or
established personnel policy
Enter m the far right column the total estimated direct labor cost
Supporting nacorde to be maintained by the contractor and which
must be submitted or made available to the recipient or EPA upon
request include
a The method of estimating proposed hours worked
b The computation technique used m arriving at proposed labor
rates
c The specific documents., books or other records used as (actual
source material to develop proposed hours worked and labor
rates J
d Detailed rate computations which were used m computing tne
information submitted on the form
if m block 14a the contractor has checked No a one' narrative
description of the methods used in arriving at items a tnrougn a aoove
shall be included on an attached sheet
Item 8 — Indirect Costs
Indirect costs may consist of one or more pools of eioenses whicf art
grouped on the basis of the benefits accruing to the cost ob/ectives
rep, fiented by the distribution bate or bases to which they are t'lo
cated Since accounting practices very the use ol particular groupings
is not required Neither is the use of any particular allocation oast
mandatory However, it is mandatory thet the method used results m
an equitable allocation ol indirect costs to cost ob/ectives which they
support
Normally the lirm s accounting system and estimating oracuces Mill
determine the method used to allocate overhead costs Tr\e lirm s
established practices, if m accord with generally accepted accounting
principles and PROVIDED THfY PRODUCE EQUITABLE ȣSUL TS IN
FPA form 6700-41 (Rev 4-84)
Page 3 of S
-------
price over allowable eosti. such computation can indicate a higher
profit estimate that the firm i eipenenced profit as it customarily
computes it The contractor may separately disclose to the recipient its
customary computations.
Enter the dollar amount of profit in block 11
Item 12 -Tout I
Enter the total of items 10 and 11
PART III - PRICE SUMMARY
This portion of th.0 form is for use by a recipient when price comparison
(i e price analysis) is used in subagreemeni review it may also be
used by a controctor when price comparison is used as a basis for
award of a subcontract
Item 13 — Comparator's Catalog Uatings. In-Houee Estimates.
Pnce Quotes
Enter sources of ell competitive bids or quotes received or catalogs
used and their prices, or m-nousa estimates made, if appropriate for
comparison Attach additional sneets if necessary, particularly tor
purchases of several different items
Enter m the far right column tt>e propoeed price for the subagreement
PART IV - CERTIFICATIONS
Item 14 — Con
TRACTOR ONLY
- FOR USE BY CONTRACTOR OR SUBCON-
a Complete this Mock only if pan II has been completed
b Complete this block only if pert II hes been completed
Enter the specific cost principles with which the cost summary of Part
II conforms Cost principles applicable to subagreements with various
types or organizations are identified m 40 CFH Part 30410 Cost
principles applicable to subagreements with profit making organiza-
tions are those at 41 CFR 31 2. and, for architect engineer or construe
tion contracts. 41 CFR 31 105
c II) Deecnbe the proposal quotation request lor price
adjustment, or other submission involved giving aporop-
riate identifying number (e g RFP No 1
(2) Enter the date when the price negotiations were con-
cluded and the contract price was agreed to The respon-
sibility of the subagreement is not hmaeo by the personal
knowledge of the contractor s negotiator if the time of
agreement showing that the negotiated price is not
based on complete current and accurate data
(3) Enter the dete of signeture This dete should be as close
as practicable to the date when the price negotiations
were concluded and the subagreemeni price was agreeo
to (not to exceed 30 days)
Item 15 - Rectpwnt Reviewer - FOR USE BY RECIPIENT ONLY
If required by applicable assistance regulations the recipient must
submit the ngned form for EPA review prior to execution of the
lubegreement
rum 16 - EPA Revwwer - FOR USE BY EPA ONLY
EPA Form 5700-41 (Rev 4-84)
Page 5 of S
-------
Form Approved
OMB No 2030-0020
Approval expires 7-31-89
U.S. Environmental Protection Agency
Application for Federal Assistance
(State and Local Nonconstruction Programs)
General Instructions
Note: This application may be used to request financial assistance for either a grant or cooperative agreement. Where the term
"grant" is used the term "cooperative agreement" may be used interchangeably.
In completing this form, carefully read and follow all Instructions. Many items are not self-explanatory. An incomplete or
incorrectly completed application may delay consideration of your application.
1 Use of this Application Form • This application form, with appro-
priate program narrative, is to be used for all EPA State and local
grant programs except for (a) construction, land acquisition or
land development projects and (b) single purpose one-tune assis-
tance requests of less than $10,000 which do not require a clearing-
house review, an environmental impact statement, or relocation of
persons, businesses, or farms. This form shall be used to request
continuation or refunding for approved grants originally submitted
on this form.
2. Submission - All applications for State and local government grants
(excluding construction grants) are to be addressed to the Grants
Administration Branch of the appropriate EPA Regional Office
Submit the original and three copies of the forms. When a request
is made tor supplemental assistance, amendments, or changes to
an approved grant, submit only those pages which are appropriate.
3 Grant Regulations - Applicants must comply with all EPA grant
regulations. These regulations are published in Title 40, Chapter 1,
Subchapter B of the Code of Federal Regulations. A copy of these
regulations is included in the application kit
4. Environmental Impact - The National Environmental Policy Act of
1969 requires that all agencies of the Federal Government prepare
detailed environmental statements on any actions to be taken
which significantly affect the quality of the human environment
EPA procedures for the preparation of such statements are set
forth in Pan 6 of Title 40 of the Code of Federal Regulations (40
CFR 6 1 et seq.). a copy of the Environmental Assessment outline
is included in tt e appropriate application kits. As stated in the reg-
ulations, ETA requires an environmental assessment of certain
projects that are to be supported by agency grants. Those projects
which require such an assessment and the responsibtliues of the
applicant in supporting and contributing to the conduct of the as-
sessment arc set forth in the regulations. EPA will use the environ-
mental assessment to either prepare an Environmental Impact
Statement which will identify and analyze in detail the impact of the
project on the quality of the environment, or a "Negative Declara-
tion' indicating that there will be no such impact
S Relocation Ass'sunce and Real Property Acquisition - The Uni-
form Relocation Assistance and Real Property Acquisition Poli-
cies Act of 1970, P L. 91-646, provides certain rights and benefits
to persons whose land is acquired or who are displaced as the re-
sult of a Federal or a federally assisted project. If the project of a
State or local agency involves land acquisition or the displacement
of any person from his home, business, or farm, actions must be
taken to assure compliance with the ACL Land must be acquired in
accordance with the policies of Title III of the Act Persons to be
displaced must be provided decent, safe, sanitary, and comparable
housing Procedures for complying with the Act are set forth in
Part 4 of Title 40 of the Code of Federal Regulations (40 CFR 41
et seq.V No project subject to the Act can be assisted without the
action* and assurances required by those regulations. Applicants
whose projects involve the acquisition of land or the displacement
of people should request a copy of 40 CFR Pan 4 from the office
to which this application is submitted.
6 Rood Insurance - The Flood Disaster Protection Act of 1973 (P L
93-234) requires grantees, as a condition of receiving any form of
Federal assistance for acquisition (including real and nonexpend-
able personal property) or construction purposes in an idemtficc
special flood area, to purchase flood insurance if the total cost o,
insurable construction and acquisition is S 10,000 or more Specia
flood hazard areas are identified on Rood Hazard Boundarv Map;
and Flood Insurance Rate Maps issued by the Department o
Housing and Urban Development Communities have one year a'
ter they are notified that they are a flood-prone conmumty to cm<.
the flood insurance program, or no grant assistance may '
awarded for property in the flood hazard area Specific require
ments pertaining to the flood insurance program and to the re
quired grantee purchase of flood insurance are set forth m -W CFF
30600(b).
7 Completing the Application
a. This application consists of S parts General Informatior
Signature, and Certification on Part I, Project Approw
Informanon on Part II, Budget Information on Part III
Project Narrative Statement on Pan iy, and Assurance
on Pan V
b. All dollar amounts requested in this application should b
rounded to the nearest dollar
c. Applicants currently receiving gram assistance from EP
who are applying for a continuation grant for an addition.
budget penod within the project penod need not complc;
an entirely new Project Narrative Statement The narr
ove should detail only changes in the narrative stateme'
applicable to the existing grant. The current grant shou
be identified by its EPA Identification Number and T't'
Evaluation of performance under the current grant will i
based on progress reports required by EPA assistance re
illations or grant agreement Continuation applications L>
each budget penod after the first will include, as a mir
mum, a report of estimated financial expenditures, a tec
meal progress report and a statement of the objectives
be achieved during the next budget period This inforrr.
uon, along with any other reports which may have bee
required by the grant agreement, provides the basis k
evaluation of progress and for a decision regard.ng conti
uanon funding. Applications for amendments to exist:
grants may be submitted on the Short Form, EPA For
5700-31.
d. Project • The term "project" as used in this applicat,
refers to the activities or tasks whicn will be suppers c
part by grant funds requested in this application
8 Preappucation Assistance - EPA preappucation assistance mav
obtained from the appropriate program office prior to applicam
submission.
EPA FORM 5700-33 (Rev. 11-86) Previous editions are obsolete.
-------
GENERAL INSTRUCTIONS FOR THE SF-424
This is a standard form used by applicants as a required facesheet for preapphcations and applications submitted m accordance
with OMB Ocular A-102 it will be used by Federal agencies to obtain applicant certification that states which have established a
review and comment procedure in response to Executive Order 12372 and have selected the program to be included in the*
process have been given an opportunity to review the applicant's submission
APPLICANT PROCEDURES FOR SECTION I
Applicant «d complete an iumi in Section i wrth the exception of Box 3 "Slats Application identifier » an item is not applicable, write "NA " N additional space
« needed, insert an astensk • and use Section IV An explanation follow* for sach Ham
/ton
1
Mark appropnate box Praappiicaoon and application are descnbed in
OM8 Ocular A-102 and Federal agency program instructions Use of
IMS form as a Notice ol intent is at Slate option Federal agenciea do
not require Notice* ol Intent
2a Applicant s own control number if desired
20 Date Section i is prepared (at applicant s option)
3a Number assigned by State
3b Date assigned by Slate
«a-4h Legal name ol applicant name ol pnmary orgaiwaoonal unit which wiN
undertake me assistance activity, complete address of applicant, and
name and telephone number of the person wfto can provide further
information about this request
5 Employer Identification Number (EIN) of applicant as assigned by tne
internal Revenue Service
6a Use Catalog of Federal Domestic Assistance (CFDA) number assigned
to program under which assistance is requested if more than one
program (eg , |Oint funding), check "multiple" and explain in Section
IV if unknown cite Public Law or U S Code
6b
7
8
9
10
1 1
12
Program one from CFDA Abbreviate H necessary
Use Section IV to provide a summary descnpbon of the protect rf
appropriate, te if protect affects particular sites as. for example.
construction or real property protects, attach a map showing the
protect location
'City includes town township or other municipality
List only largest unit or unra affected, such as State, county, or city
Estimated number of persons directry (profiting from protect
Check the type(s) of assistance requested
A Basic Gram— an original request to- F«deral funds
6 Supplement* Gram— a request to increase a basic grart in certain
cases »nere the eligible applicant cannot auoory tne required
matching snare ol the basic Federal program (e g . grants swarded
by tne Appalachian Regional Commission to provide the applicant
a matching share)
E Other Explain in Section IV
Amount requested or to be contributed during the first funding/budget
penod by each contributor Value of in-kind contributions should be
included if the action is a change in dollar amount ol an existing grant
136
14
15
16
17
18
19
20
21
(a revision or augmentation under item 14), indicate only the amount of
the change For decreases, enclose tne amount in parentheses if both
baste and supplemental amount* are included, breakout m Section rv
For multiple program funding, use totals and show program breakouts
in Section IV I2a—amount requested from Federal Government
12b—amount applicant wiH comnbute I2c—amount from State rf
applicant is not a State t2d—amount from local government, rf
applicant is not a local government I2e—amount from any other
sources, explain m Section rv
The dfctnct(s) where most of sctwn work wiH be accomplished if city
wide or State-wide, covering several distrtcta, wntt "city-wide or
•State-wide'
A New A submittal for protect not previously funded
B Renewal An extension tor an additional funding/budget penod 'O' a
protect having no proiected eompleBon data, but tor which Federal
support must be renewed each year
C Revision A modification to protect nature or scope which may result
m funding change (increase or decrease)
0 Continuation An extension for an additional funding/budget penod
for a protect with a protected completion date
E Augmentation A requirement for additional funda for a protect
previously awarded funds in the same funding/budget penod
Project nature and scope unchanged
Approximate date project expected to begin (usually aasociated with
estimated date of availability ol funding)
Estimated number of months to complete protect after Federal fund*
are available
Complete onty for revisions (item I4c) or augmentations (item 14s)
Date preappHcahon/apphcation must be submitted to Federal agency
m order to be eligible for funding consideraDon
Name and adJreaa of the Federal agency to which this request u
addressed indicate aa dearly as poasOe the name of the office to
which the application will be delivered
Existing Federal grant identification number if thia is not a new rogues'
and directly rotates to a previous Federal action Otherwise, wnte
"NA"
Check appropriate box as wwhaMher Section rv of form contains
remarks and/or additional remarks are attached
APPLICANT PROCEDURES FOR SECTION II
Applicants will always complete either item 22a or 22b ma item* 23a and 230
22a Complete rt application >s subtect to Executive Order 12372 (Stale 22b
revww and comment)
23a
Check if application is not subtect to E 0 12372
Name and hflo of authonzed representative of legal applicant
FEDERAL AQENCY PROCEDURES FOR SECTION III
nptetee only Sections I and II Sectton ni is completed by Federal agencies
26 Use to identify award actions
27 Us* Section rv to amplify where appropriate
28 Amount to be contributed dunng the first funding/budget penod by
each contributor Value of in-kind contributions wril be included If the
action is a change in dollar amount of an existing grant (a revision or
augmentation under item HI indicate only the amount of change For
decreases, enclose the 5- ount m parentheses if both basic and
supplemental amounts are.. ouded. breakout m Section IV For multiple
program funding, use totals and show program breakouts m Section IV
28a—amount awarded by Federal Government 28b—amount applicant
EPA Form 5700-33 (Rev. 11-86) Previous editions are obsolete
wifl contribute 28c—amount from State, if applicant * not a Stale
28d—amount from Weal government if aopiicam is not a local govern
merit 28e—amount from any other sources, explain in Section IV
29 Data action was taken on thts request
30 Oats funds wil become avatleots
31 Name and telephone number of agency penjon who can provide more
information regarding this assistance
32 Date after which funda wril no longer be available lor obligation
33 Check appropriate box as to whether Section IV of form contana
Federal remarks and/or attachment of addWonal remarka
a -.W -»"> 3 - 411-J'i 1290)11
-------
C.SBWI/PO BOB
FEDERAL ASSISTANCE
OF
SU8MOSWN
(k
D NOTICE OP INTENT (OPTIONAL)
D PREAPPUCATON
D APPLICATION
2. APPU-
OffTS
APPU-
CATION
IDENTI-
FIER
t. NUMBER
b-OATE
Tar mamlJl tfy
18
3 STATE
APPU-
CATION
IDENTV
FIER
ASSIGNED
IT TTATE
OMB Aptre»«No 0348-0008
.NUMBER
b. DATE
ASSIGNED
da?
LEGAL APPUCAKT/REOPiefr
5. EMPLOYER IDENTIFICATION NUMBER (EIN)
g. ZIP Cod*
a.
PRO-
GRAM
'From CFDAI
4. NUMBER
MULTIPLE D
tt TITLE
TITLE OF APPLICANTS PROJECT (UM wrton IV at M form »
8 TYPE Of APPUCANT/BEOP1ENT
\ \
9 AREA OF PROJECT IMPACT fflta
10 ESTIMATED NUMBER
OF PERSONS BENEFITING
11 TYPE OF ASSISTANCE
0»«*~- I I I
rmitlmtrllJ I I I
PROPOSED FUNCKNQ
FEDERAL
APPyCANT
STATE
d LOCAL
OTH6B
TaM
00
00
00
00
00
00
13
CONGRESSIONAL DISTRICTS OF
14 TYPE OF APPLICATION
I APPLICANT
IS. PROJECT START
IB
b. PROJECT
Siutri
17 TYPE W OHANOC rAr /* • /«./
i —
18. PROJECT
DURATION
18. DATE DUE TO
FEDERAL AGENCY »
CED
8 FEDERAL AGENCY TO RECEIVE REQUEST
«. OHGAW12ATIONAL UNIT (IF APPROPRIATE)
DL ADMINSTHATIVE CONTACT
C. ADDRESS
20 EXISTING FEDERAL GRANT
IDENTIFICATION NUMBER
21 REMARKS ADDED
32
THE
APPLICANT
CERTIFIES
CERTIFYMQ
REPRE-
SENTATIVE
To ffw MM Of my munnogi mo MM
Otm n M i»»UJ«i iit«/«4JfcPPLICATl6N/APPLICATION WAS MADE AVAILABU; TO THE STATE
EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON-
DATE
b. NO. PROQAAM IS NOT COVERED BY eO 12372 D
OB PROGRAM HAS NOT BEBI SELECTED BY STATE FOR REVIEW U
«. TYPED NAME AND TITLE
b. SIGNATURE
24 APPUCA- tar mtmOt ttf
TUN
RECEIVED 19
77 ACTION TAKEN
O i. AWARDED
Ob. REJECTED
Q & RETURNED FOR
AMENDMENT
Q d RETURNED FOR
E.O 12372 SUBMISaON
BY APPLICANT TO
STATE
Q *. Dtf-tHNU)
Q I WITHDRAWN
B. FEDERAL APPLICATION IDENTIFICATION NUMBER
26. FEDERAL GRANT IDENTIFICATION
FUNDING
FEDERAL
b. APPLICANT
C. STATE
H. LOCAL
L OTHER
TOTAL
00
00
00
_co
_co
tX)
Tmr moult iff
10
30 r«
STARTING
DATE 18
31. CONTACT FOR iWXXTIONAL INFORMA-
TION tNtmt V* tritftan* nm*r)
32.
ENOINQ
DATE
19
31 REMARKS ADDED
V. a
EPA Form 5700-33 (Rev. 11-86) Previous editions are obsolete.
STANDARD FORM 424 PAGE 1 (R*> «-M)
-------
STANDARD FORM 424
EPA Form 5700-33 (Rev. 11-86) Previous editions are obsolete.
-------
PART II
PROJECT APPROVAL INFORMATION
Form Approved
OM8 No 2030-0020
Approval expires 7-31 89
Item 1.
Does thu assistance request State, local, regional, or other priority
rating?
_Yes
No
Name of Governing Body .
Priority Rating
Item 2.
Does this assistance request require State or local advisory, edu-
cational, or health clearances?
_.Yes
Name of Agency or
Board
.No (Antefi Oocumtaution)
Item 3.
Does this assistance request require clearinghouse review in ac-
cordance with Executive Order 12372^
Yes No
lAntcti Comments!
Item 4.
Doe* (tin auiitonoa requeit require Sate, local, regional or other
planning approval?
.Yes
No
Name of Approving Agency.
Oat*
Item 5.
11 the proposed project covered by an approved comprehensive
plan?
.Yes
.No
Check one State D
Local O
Regional D
Location of Plan _^_^_
Item 6.
Will the atsitunce requested serve a Federal installation?
Yes
No
Name of Federal
Federal Population benefiting from Project ,
Item 7.
Will the assistance requested be on Federal land or installation?
-Yet
.No
Name of Federal Installation .
Location of Federal Land _
Percent of Protect _^_^__
Item 8.
Will the assistance requested have an impact or effect on the
environment?
.Yes
.No
See mstructions for additional information to be provided
Item 9.
Has the protect for which assistance is requested caused, tinea
January 1, 1971, or will it caute, the diiplacnment of any individual.
family, business, or farm?
.Yes
.NO
Number of
Individuals.
Families _
Businesses.
F«fmi
Item 10.
Is there other related assistance on this project previous, pending. See instructions for additional information to be provided.
or anticipated?
.Yes
.No
11.
Is project In a Designated Flood Hazard Area?
.Yes
.No
EPA Form 5700-33 (Rev. 11-86) Previous editions are obsolete
PAGE 5 OF 12
-------
Form Approved
OMB No 2030 0020
Approval expires 7 31 89
PART MI-BUDGET INFORMATION
SECTION A-BUDGET SUMMARY
GRANT PROGRAM.
FUNCTION OR ACTIVITY
1
2
3
4
FEDERAL
CATALOG NO.
Ib)
6 TOTALS
ESTIMATED UNOBLIGATED FUNDS
FEDERAL
Icl
S
$
SECTION B-SCHEOULE
6 Oblect Cleu Categories
e Penonnel
b Fringe Baneflu
c Travel
d Equipment
e Suppllet
1 Contractual
g Construction
h Other
1 Total Direct Chargei
I Indirect Chargei
V TOTALS
7 Program Income
GRANT
ID
$
$
$
NON FEDERAL
Id)
$
S
NEW OR REVISED BUDGET
FEDERAL
la)
$
$
A BUDGET CATEGORIES
PROGRAM. FUNCTION OR ACTIVITY
(21
$
S
5
(3)
$
S
$
NON -FEDERAL
III
$
$
TOTAL
(g)
$
$
(4)
$
$
$
TOTAL
15)
$
S
$
EPA Form 5700-33
1 1-86) Previous editions aie obsolete
-------
Form Approved
OMB No 2030 0020
Approval expu 65 7 01 80
SECTION C-NON FEDERAL RESOURCES
(a)
(b) APPLICANT
(C) STATE
(d( OTHER SOURCES
(e) TOTALS
10
11
12 TOTALS
SECTION D-FORECASTED CASH NEEDS
13 Federal
TOTAL FOR l«l VEAR
l«l QUARTER
2nd QUARTER
3rd QUARTER
4th QUARTER
14 Non Federal
IB TOTALS
SECTION E-BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT
(•) GRANT PROGRAM
FUTURE FUNDING PERIODS (YEARS)
(b) FIRST
(c) SECOND
(d) THIRD
(•) FOURTH
16
17
18
19
20 TOTALS
SECTION F-OTHER BUDGET INFORMATION
(Atndi Addition*! Sfiefti If
21 Direct Charge*
27 Indirect Charge*
23 Remark*
EPA Form 5700-33 (Rev. 11-86) Previous editions are obsolete
PART IV-PROGRAM NARRATIVE (Attach per instruction)
•AGE • OF 12
-------
INSTRUCTIONS
corm Approved
OMB No 2030 0020
Approval expires 7 31 39
PART III
(Continued)
Section B. Schedule B-Budget Categories
Line* 6a-h—For each program element fill in the total
requirements for funds (Federal, non-Federal, and total! and
manyears
Line i-Show the totals of Lines 6a through h m each
column.
Line j-Show the State totals. Total (Program Elements)
and State total might not be equal due to expenses which
are not classified under specific program elements.
Section C. Source of Non-Federal Resources
Lines 8-11-Enter amounts of non-Federal resources
that will be used on the grant. If in-kind contributions
are included, provide a brief explanation on a separate
sheet. (See Attachment F, A-102 )
Column (a)-Enter the program titles identical to Col-
umn (a), Section A. A breakdown by function or activity
is not necessary.
"Column (b)-Enter the amount of cash and in-kind
contributions to be made by the applicant as shown in
Section A. (See also Attachment F, A-102.)
Column (c)-Enter the State contribution if the applicant
is not a State or State agency. Applicants which are a State
or State agencies should leave this column blank.
Column (dl-Enter the amount of cash and in-kind con-
tributions to be made from all other sources.
Column' (e)-Enter totals of Columns (b), (c), and (d).
Line 12-Enter the total for each of Columns (b)-(e). The
amount in Column (e) should be equal to the amount on
Line 5, Column (f). Section A.
Section D. Forecasted Cash Needs
Line 13—Enter the amount of cash needed by quarter from
the grantor agency during the first year.
Line 14—Enter the amount of cash from all other sources
needed by quarter during the first year.
Line 15—Enter the totals of amounts on Lines 13 and 14
Section E. Budget Estimate* of Federal Funds Needed for
Balance of the Protect
Lines 16-19—Enter in Column (a) the same grant program
titles shown in Column (al. Section A. A breakdown by
function or activity is not necessary. For new applications
and continuing grant applications, enter in the proper col-
umns amounts of Federal funds which will be needed to
complete the program or project over the succeeding funding
periods (usually in yean). This Section need not be com-
pleted for amendments, changes or supplements to funds
for the current year of existing grants.
If more than four lines are needed to list the program
titles submit additional schedules as necessary
Line 20-Enter the total for each of the Columns (b)-(e)
When additional schedules are prepared for this Section,
annotate accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21-Use this space to explain amounts for individual
direct object cost categories that may appear to be out of
the ordinary or to explain the details as required by the
Federal grantor agency.
Line 22-Enter the type of indirect rate (provisional, pre-
determined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which
the rate is applied, and the total indirect expense.
Line 23-Provide any other explanations required herein or
any other comments deemed necessary
EPA Form 5700-33 (Rev. 11-86} Previous editions are obsolete.
PACE M Or 12
-------
3 EPA
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. DC 20460
PROCUREMENT SYSTEM CERTIFICATION
APPLICANT'S NAME
Form Approved
OMB No 2000-0453
Approval axoires 10-31 87
ASSISTANCE APPLICATION NUMBER
APPLICANT'S ADDRESS
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 m 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:)
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
Please furnish citations to applicable procurement ordinances and regulations
u
TYPED
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
NAME AND TITLE
SIGNATURE
DATE
EPA Form 5700-48 (Rev 5-84) Previous edition is obsolete
-------
OMB NOS. 1999-0001 AND 06*0-001 T
EXPIRES. APRIL 10, 1990
MBE/WBE* UTILIZATION UNDER FEDERAL GRANTS, COOPERATIVE
AGREEMENTS, AND OTHER FEDERAL FINANCIAL ASSISTANCE
PART
1. (NEGATIVE REPORTS MAY BE REQUIRED)
1A FEDERAL FISCAL YEAR
19
18 REPORTING QUARTER (Check appropriate oox)
Q 1st (Oct. -Dec). Q 2nd (Jan -Mar ). Q 3rd (Apr Jun >. [
^ 4tn Uui-Seo )
FEDERAL FINANCIAL ASSISTANCE AGENCY
I Depanmenv Agency. Bureau/Administering Office. Address)
REPORTING RECIPIENT (Name ana Address)
2A. REPORTING CONTACT
PHONE
4A FINANCIAL ASSISTANCE AGREEMENT ID NUMBER
3A REPORTING CONTACT
PHONE
48 FEDERAL FINANCIAL ASSISTANCE PROGRAM
4C TYPE OP FEDERAL ASSISTANCE AGREEMENT
GRANT COOPERATIVE AGREEMENT
OTHER FEDERAL FINANCIAL ASSISTANCE
5A PERIOD WHEN PROCUREMENT UNDER THIS AWARD WILL
OCCUR
START DATE
END DATE
SB AMOUNT OF TOTAL PROJECT
DOLLARS PLANNED FOR
PROCUREMENT THIS FISCAL YEAR
5C RECIPIENTS MBE/WBE GOALS (Percent at total procurement dollars (So) 'or eacni
MBE
WBE
50 MBE.WBE PROCUREMENT ACCOMPLISHED THIS QUARTER
MBES
WBES
5E NEGATIVE REPORT (Checx)
SEE INSTRUCTIONS
6 COMMENTS
7 NAME OF AUTHORIZED REPRESENTATIVE
TITLE
8 SIGNATURE OF AUTHORIZED REPRESENTATIVE
DATE
rnwling « woo* •' IK* direction cl '•Otftl tiuncMi taaofct agency ~
STAMOAM 'O*tt
nuinniii &Y ooMTvofT o» COWMUCC
-------
INSTRUCTIONS
MBE/WBE UTILIZATION UNDER FEDERAL GRANTS,
COOPERATIVE AGREEMENTS,
AND OTHER FEDERAL FINANCIAL ASSISTANCE
Standard Form 334
A. General Instruction*:
MBE/WBE utilization is based on Executive Orders
11625. 12138 and 12432 and OMB Circular A-102.
Standard Form 334 must be completed by recipients
of Federal grants, cooperative agreements, or other
Federal financial assistance valued at $500,000' or
more and wfwch involve procurement of supplies,
equipment, construction or services to accomplish
Federal assistance programs.
Recipients are required to report to agency award
officials within one month following the end of each
Federal fiscal year quarter (i.e. January 31, Apnl 30,
July 31 and October 31) dunng which any procure-
ment in excess of $10,000 is actually executed un-
der this assistance agreement.
B. Definitions:
Procurement is the acquisition through order,
purchase, lease or. barter of supplies, equipment.
construction or services needed to accomplish Fed-
eral assistance programs.
A minority business enterprise (MBE) is a business
concern that is (1) at least 51 percent owned by one
or more minority individuals, or, in the case of a
publicly owned business, at least 51 percent of the
stock is owned by one or more minority individuals:
and (2) whose daily business operations are man-
aged and directed by one or more of the minority
owners.
There is no standard definition of minority individuals
used by all Federal financial assistance agencies.
However, recipients shall presume that minority in-
dividuals include Black Americans, Hispanic Ameri-
cans, Native Americans, Asian Pacific Americans, or
other groups whose members'are found to be dis-
advantaged by the Small Business Act or by the
SoCietary of Commerce under section 5 of Execu-
tive Order 11625. The reporting contact at your
Federal financial assistance agency can provide ad-
ditional information.
A woman business enterprise (WBE) is a business
concern that is, (1) at least 51 percent owned by
one or more women, or, in the case of a publicly
owned business, at least 51 percent of the stock is
owned by one or more women; and, (2) whose daily
business operations are managed and directed by
one or more of the women owners.
Business firms which are 51 percent owned by mi-
norities or women, but are in fact managed and
operated by non-mmonty individuals do not qualify
for meeting MBE/WBE procurement goals.
The following affirmative steps for utilizing MBEs and
WBEs are suggested:
1.
2.
3.
4.
5.
6.
Inclusion of MBEs/WBEs on solicitation
lists.
Assure MBEs/WBEs are solicited onc.e they
are identified.
Where feasible, divide total requirements
into smaller tasks to permit maximum
MBEWBE participation.
Where feasible, establish delivery sched-
ules which will encourage MBEWBE par-
ticipation.
Encourage use of the services of the U S.
Department of Commerce's Minority Busi-
ness Development Agency (MBDA) and the
U.S. Small Business Aoministration to iden-
tify MBEs-WBEs.
Require that each party to a subgrant, suo-
agreement, or contract award take the
affirmative steps outlined here.
fhere <• no ripon.ng threshold 'or ine Environmental Protection Agency
(EPA) Recipients ol EPA financial atusianc* mull 'eoort under an assistance
agreements regaraiesa at IIM tin ot me aware
C. Instructions for Part I:
1. Complete Federal fiscal year and check ap-
plicable reporting quarter. (Federal fiscal
year runs from October 1 through Septem-
ber 30.)
2 Identify the Federal financial assistance de-
partment or agency including the oureau.
office or other suoactivity which administers
your financial assistance agreement.
-------
REQUEST FOR ADVANCE
OR REIMBURSEMENT
(5« vutrnettont an buck)
. . _ MHa «6o4tV Ako
WHICH THI» RfPOCT I* MMMITTI0
I.
wt or
PAYMENT
REQUESTED
«. BUHoVtrt
7. mtdMBirt ActoOlrf1 HUMBP
oa loornmNa NUMBER
Budfot, No. 8CMKJ183
a
AOVAMCE
MENT
b. "X" tt« i
D riMAL
D PARTIAL
mnoo
2. BASIS OF REQUEST
n
D ACCRUAL
BY TMI» REQUEST
CIO. 5
.WS/
11. COMFVTATTON OF AMOUNT OF RQMBURUMENTS/ADVANCES REQUESTED
PROaRAMS/FUNCnONS/ACnvmES •>
outlay* to data
b LtMt Cumulattva program Inooma
e. Hat program outtayt (Lou a moot*
bM 4)
d. EcUmatadnat cash outtaya for advanoa
PWIOQ
a. Total (Sum of hut t A d)
f Non-Fadaral share of amount on Una a
g. Fadaral thara of amount on lino •
1. Fodanl thara now raquad
mtmu Inu k)
\. Advanoaa raqulrad by
month, when ivquaat-
ad by Fadaral grantor
•fancy for UM In mak-
ing pratefiodiiM ad-
vanoaa
lyraquastad
ad (Ln* g
let inofrtn
2nd month
3rd month
(o)
$
(6)
$
s
TOTAL
$
12.
ALTtRNATt OOMFVTATWN FOR AOVANCCS ONLY
t. Eftlnwtod Fcdaral c**h outliy* Out will bt mad* dunng ported cevtnd by th» idvine*
b. Lttt Eitlnutad bilinoi o< Ftdtral ea«h on hand •« of beginning of advtnc* period
e. Amount r*qu«tod (LoMonuiuu luu 6)
$
$
13.
CERTIFICATION
1 ortify that to tno bnt of my knowladg*
«nd DdM th* data ibov* «• comet *nd
that lU outUy* worn mad* in acoordinc*
wtth OM grant condlttoni or oO*r «grw-
mont ind thit p«ym«m It duo and hat not
boan prwiouiry raquotad
UQNATUm Of AUTHORIZED CCirTIFYINO OfTlCUU.
TTPCO OR PWINTCD NAME AND TITLE
PATt REQUtST
SUIMITTED
TELEfHONI (ARtA
COOC. NUMBfR
CXTENJIONI
tTANOAW MMM I7O (7-7«)
PrnertBM b» O«M
Clr M.A-110
-------
FINANCIAL STATUS REPORT
(Follow irutrvclum* on ttt€ back)
> MCinUfT OMANIIATION IN.m. a-J ro.pl.l. .44,u. ,,,1*1,,, ZIP r°4»
10
PROGRAMS/FUNCTIONS/ACTIVITIES fr-
• N«t outlay* pravlou»ly reported
b Total outlayi thl> raport parted
c Lttt Program Income credit*
d Nrt outlay* Ihlt report period
iL>*t 6 mmu4 lin« c)
a Net outlay* to d*te
f Luti a pnu IIM d)
1 L*u Non Federal ihara of outlay*
• Total Federal than ol outlay*
(L\nt « i«Miiw< IIM /)
h Total unliquidated oollg>tlon>
1 £-«« Non Fadarkl thira of unUquWatad
obligation* thown on Una h
I FadaraJ ahara ol unUquhtotad obligation*
k. Total Fadanl thara of outlay* and
unliquidated oMIiatlona
1 Total cumulitlva amount of Fadaial fundi
•uttiofitad
m UnoMlgatad balanca of Fadaral hind*
M
9
1 fCCIKAL AUNCT
fROW |«»db <•> r«ir| TO (Mo.l» <., r«rl
I FINAL MPO
QYI.
OMB Approvad »cc or
No 8O-ROIBO
PAOCt
n
GHO
7 «Atlt
f^l CA1M (~J ACCauAL
• KKMU> COVfJU D •> TMI* *XK>ltT
FNOM IH..U d.r w«r)
TO |W*«ffc 4«r »Mr|
STATUS OF FUNDS
c*;
»
(0
s
W
$
^ TYK OF HAH „ um)ncJlT10M
ilinitfCT D flWrWIOHAt D ">0>nfl.«IHU, D HHAI G F.XfO , t.rtlfy lo ,„. „„, 0, my kno»|«lg. ..rf b.
•HPaJOC *• "*« c CASC d TOTAl AMOUNT . HOIMAL aHADC "•' ">•' ">'« ''Port '»
that all outlay* and
ft s^issL--' -• — — —- " -*— ••>— — -M — - -H~. -a ^l'.^; purpo-
coirecl and complata and
unliquidated obllgallon*
> *al forth In the awird
(•>
$
l7>
$
SIGNATURE OF AUTHORIZED CERTIFYING
OFFICIAL
TYPED OR PRINTED NAME AND TITLE
169 IOJ .„
TOTAL
(9)
$
DATE REPORT
SUBMITTED
TELEPHONE (Aria tod*.
• yintxr and ixttiuum)
uuwuro ro*u lt» (r-7«>
r>«Krll>«l b, Offlc.
-------
Form Approved
t CD A COST OR PRICE SUMMARY OMB NO 2030-0011
^3f t "A (See accomoanymq instructions before completing, this form) Approval expires 10-31-86
PARTI -GENERAL
1 RECIPIENT 2 ASSISTANCE IDENTIFICATION NO
3 NAME OF CONTRACTOR OR SUBCONTRACTOR 4 DATE OF PROPOSAL
5 ADDRESS OF CONTRACTOR OR SUBCONTRACTOR (Include ZIP Code)
TELEPHONE NUMBER (Include Area Code) '
6 TYPE OF SERVICE TO BE FURNISHED
PART II - COST SUMMARY
7 DIRECT LABOR (Specify labor categories/
DIRECT LABOR TOTAL
8 INDIRECT COSTS /Specify indirect cost pools!
INDIRECT COSTS TOTAL
ESTIMATED
HOURS
RATE
HOURLY
RATE
$
x BASE =
$
ESTIMATED
COST
$
ESTIMATED
COST
$
9 OTHER DIRECT COSTS
a TRAVEL
(1) TRANSPORTATION
121 PER DIEM
TRAVEL SUBTOTAL
b EQUIPMENT MATERIALS SUPPLIES (Specify categories)
EQUIPMENT SUBTOTAL
OTY
COST
$
c SUBCONTRACTS
SUBCONTRACTS SUBTOTAL
d OTHER /Specify categories)
OTHER SUBTOTAL
• OTHER DIRECT COSTS TOTAL
ESTIMATED
COST
9
$
$
ESTIMATED
COST
$
ESTIMATED
COST
9
$
ESTIMATED
COST
$
$
TOTALS
$
S
S
$
$
*
EPA Form 5700-41 (Rev 4-84) Previous editions may be used until supplies are exhausted
-------
PURPOSE AND APPLICABLITY
The purpose of this form is to provide a simple form for the display of cost and price data 40 CFR 33 290 requires the
recipient to perform cost or price analysis for every procurement action, including subagreement modifications This
form is not required by EPA. but may be used at the recipient's option. If the recipient currently uses a cost and price
analysis form which acomplishes the same objectives as this form, the recipient may use its own form
INSTRUCTIONS
If this form is used. CAREFULLY READ AND FOLLOW ALL INSTRUC-
TIONS Many items are not self-explanatory Attach additional sheets
if necessary
Use only the applicable portions of this form
Pan I is applicable to all subagreements
Part II is applicable to all subagreements requiring a cost analysis
pursuant to EPA procurement regulations
Part III is applicable to all subagreements where review is based on
price comparison (i e . price analysis)
Part IV certifications will be executed as required by the instruc-
tions for each block
PART I - GENERAL
Item I — Enter the name of the recipient as shown on the assistance
agreement
Item II — Enter the assistance identification numfc<" shown on the
assistance agreement (or assigned to the protect, u no assistance
agreement has yet been executed)
Item 3 — Enter the name of the contractor or subcontractor with
whom the subagreement is proposed to be executed
Item 4 — Enter the date of the contractor's or subcontractor's proposal
to the recipient
Item 6 —Enter the full mailing address of the contractor or sub-
contractor
Item 6 — Give a brief description of the work to be performed under
the proposed subagreement
Part II - COST SUMMARY
This portion of the form is to be completed by the contractor (or his/her
subcontractor) with whom a subagreement is proposed to be exe-
cuted, unless that subagreement is a formally advertised, competi-
tively bid. fixed price contract
Nothing in the following discussions should be interpreted as recom-
mending the inclusion as direct costs any items normally treated as
overhead costs in the form's accounting or estimating system 40 CFR
Pan 30 identifies general cost principles applicable to subagreements
under EPA assistance Pursuant to that Pan. all subagreements
awarded to profit-making organizations are subject to the cost princi-
plesof41 CFR31 2 Architect engineer and construction contracts are
also subject to 41 CFR 31 105
Item 7 — Direct Labor
Direct labor costs normally include salaries at a regular time rate
Overtime premiums should be identified separately on an attachment
Incurrence of unanticipated overtime costs requires the approval of
the recipient at the time ofincurrence If significant overtime is known
to be needed at the time of completion of the cost review form, the
reasons therefore, labor categories, rates and hours should be identi-
fied on an attachment Also included is the cost of partners'or princi-
pals' time when they are directly engaged in services to be rendered
under the subagreement In case the full time of eny employee is not to
be devoted to work to be performed under the subagreement only the
cost of actual time to be applied should be included The compensation
of a partner or principal shall be included as direct cost only for the
time that she/he is expected to be engaged directly in the performance
of work under the subagreement and only if it is the firm's normal
practice to charge such time directly to all/obs The rate of compensa •
tion of a partner or principal shall be commensurate with the cost of
employing another qualified person to do such work, but the salary
portion shall not exceed the actual salary rate of the individual con-
cerned Distribution of profits shall not be included in the rate of
compensation
Enter in block 7 the categories of professional or technical personnel
necesary to perform each major element of work under the subagree-
ment scope of services Estimate hours worked for each category and
extend them by the wage rates to be paid during the actual perfor-
mance of the work Current rates, adjusted for protected increases, if
any. should be used for the actual categories of labor contemplated All
projected increases should be supported by recent experience or
established personnel policy
Enter in the far right column the total estimated direct labor cost
Supporting records to be maintained by the contractor and which
must be submitted or made available to the recipient or EPA upon
request include
a The method of estimating proposed hours worked
b The computation technique used in arriving at proposed labor
rates
c The specific documents, books, or other records used as factual
source material to develop proposed hours worked and labor
rates
d Detailed rate computations which were used in computing the
information submitted on the form
If in block 14a. the contractor has checked 'No a brief narrative
description of the methods used in arriving at items a through d above
shall be included on an attached sheet
Item 8 — Indirect Costs
Indirect costs may consist of one or more pools of expenses which are
grouped on the basis of the benefits accruing to the cost ob/ectives
represented by the distribution base or bases to which they are a/lo-
cated Since accounting practices vary the use of particular groupings
is not required Neither is the use of any particular allocation base
mandatory However, it is mandatory that the method used results in
an equitable allocation of indirect costs to cost ob/ectives which they
support
Normally, the firm s accounting system and estimating practices will
determine the method used to allocate overhead costs The firm s
established practices, if in accord with generally accepted accounting
principles and PROVIDED THEY PRODUCE EQUITABLE flESUL TS IN
EPA Form 5700-41 (Rev 4-84)
Page 3 of 6
-------
The Citizens' Guidance Manual for the Technical Assistance Grant Program
APPENDIX C
KEY CONTACTS LIST
I. Contacts for the Superfund Program
A. EPA Technical Assistance Grants Staff
B. EPA Headquarters Superfund Community Relations Staff
C. EPA Regional Technical Assistance Grants Contacts
D. State Superfund Contacts
II. Small, Minority, and Women's Business Contacts
A. EPA Headquarters Contacts
B. Minority Business Development Centers (Regional Offices)
C. Minority Business Development Centers (District Offices)
III. Intergovernmental Review Contacts
A. State Single Point of Contact List
C-1
-------
The Citizens' Guidance Manual for the Technical Assistance Grant Program
KEY CONTACTS LIST
I. Contacts for the Superfund Program
A. EPA Technical Assistance Grants Staff
Daphne Gemmill.
Office of Emergency and Remedial Response
EPA Headquarters (WH-548E)
401 M Street, S.W.
Washington. DC 20460
(202) 382-2460
B. EPA Headquarters Superfund Community Relations Staff
Melissa Friedland Vanessa Musgrave
Superfund Community Relations Coordinator Superfund Community Relations Coordinator
Office of Emergency and Remedial Response Office of Emergency and Remedial Resoonse
EPA Headquarters (WH-548E) EPA Headquarters (WH-548E)
401 M Street. S.W. 401 M Street. S.W
Washington. DC 20460 Washington. DC 20460
(202) 382-2461 (202) 382-2462
C. EPA Regional Technical Assistance Grant Contacts
Region 1 Region 4
Mary Grealish Pat Zweig
Superfund Management Superfund
EPA - Region 1 EPA - Region 4
John F Kennedy Federal Building 345 Courtland Street. N.E.
Boston. MA 02203 Atlanta. GA 30365
(617) 573-5701 (4°4) 347-2234
Region 5
Re9ion 2 Jennifer Hall
Lillian Johnson Office of Public Affairs
Office of Public Affairs EPA _ RegiOn 5
EPA - Region 226 Federal Plaza 230 South Dearborn
New York. NY 10278 Chicago, IL 60604
(212) 264-4534 ' (312) 886-4359
Region 3 Re9'on 6
Ann Cardinal Ellen Greeney
Office of Public Affairs EPA ~ Re9'on 6
EPA - Region 3 1445 Ross Avenue. 10th Floor
841 Chestnut Street Dallas, TX 75270
Philadelphia. PA 19107 (214) 655-6720
(215) 597-9905
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Region 2
New Jersey:
Grace Singer
Chief. Bureau of Community Relations
Division of Hazardous Site Mitigation
New Jersey Department of Environmental
Protection
CN413
401 East State Street
Trenton, NJ 08625
(609) 984-3081
Naw York:
Bruce Bentley
Citizen Participation Specialist
Department of Environmental Conservation
50 Wolf Road, Room 505
Albany, NY 12233
. (518) 457-0849
Region 3
Delaware:
David Small
Chief, Information and Education
Department of Natural Resources and
Environmental Control
P.O. Box 1401
Dover. DE 19901
(302) 736-4506
District of Columbia:
A. Padmanabha. Director
Pasty Hardin, Public Affairs
Department of Consumer and Regulatory
Affairs -
Environmental Control Division
5010 Overlook Avenue, S.W.
Washington, DC 20032
(202) 727-7395
Maryland:
Ray Feldman/Peggy Powell
Public Affairs Officers.
Office of Environmental Programs
201 West Preston Street
Baltimore, MD 21201
(301) 225-5747
Puerto Rico:
Juan Merced
Director, Air Quality Area
Environmental Quality Board
P.O. Box 11488
Santurce, Puerto Rico 00910
(809) 722-0077
Pennsylvania:
John Caltagirone
Office of Communications
Department of Environmental Resources
Harnsburg. PA 17120
(717) 787-1323
Virginia:
Dr. Cathy Harris/Cheryl Cashman
Public Affairs Officers
Department of Waste Management
Monroe Building
101 North 14th Street
Richmond, VA 23219
(804) 225-2667
West Virginia:
Diana Young
Public Information Officer
Department of Natural Resources
1800 Washington Street, East
Charleston, WV 25305
(304) 348-3381
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The Citizens' Guidance Manual for the Technical Assistance Grnnt Program
Region 9
Arizona:
Phil King
Manager, Emergency Response and
Remedial Projects Section
Arizona Department of Environmental Quality
2005 North Central
Phoenix. AZ 85004
(602) 257-2338
California:
Lachlan McClenahen
Chief of Planning and Policy
Site Mitigation Unit
Toxic Substances Control Division
714/744 P Street
P.O. Box 942732
Sacramento, CA 94234-7320
(916) 324-3773
Guam:
Charles P. Cnsotomo
Administrator
Guam Environmental Protection Agency
P.O Box 2999
Agana. Guam 96910
Region 10
Alaska:
David DiTragha
Hazardous Waste Program Manager
Department of Environmental Conservation
P 0. Box O
3220 Hospital Drive
Juneau. AK 99811
(907) 465-2666
Idaho.
Dr. John R Moeller
Manager, Policy and Standards Section
IDHW-Division of the Environment
450 West State Street
Boise. ID 83720 .
(208) 334-5879
Small, Minority, and Women's Business Contacts
A. EPA Headquarters Contact
Office of Small and Disadvantaged Business
Utilization
U.S Environmental Protection Agency
401 M Street, S.W (A-149C)
Washington, D C 20460
(202) 557-7777
Hawaii:
John Lewin
Director
Department of Health
P.O. Box 3378
Honolulu, Hawaii 96801
(808) 548-4159
Nevada:
Lewis Dodgion
Administrator
Division of Environmental Protection
201 South Fall Street
Carson City. NV 89710
(702) 885-4670
Oregon'
Al Goodman
Manager, Remedial Action Section
Hazardous and Solid Waste Division
Department of Environmental Quality
811 Southwest 6th Avenue
Portland, OR 97204
(503) 229-5254
Washington.
Washington Department of Ecology
Hazardous Waste Cleanup Program
Mailstop PV-11
Olympia, WA 98504-8711
(206) 438-3000
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Intergovernmental Review Contacts
(The ' indicates those States that have included the Technical Assistance Grant Program in their
intergovernmental review program as of 4/25/88.)
A. State Single Point of Contact List
Alabama:
Donna J. Snowden
Alabama State Clearinghouse.
Alabama Department of Economic and
Community Affairs
3465 Norman Bridge Road
Post Office Box 2939
Montgomery, AL 36105-0939
(205) 284-8905
Arizona:'
Janice Dunn
Arizona State Clearinghouse
1700 West Washington, Fourth Floor
Phoenix, AZ 85007
(602) 255-5004
Arkansas:*
Joe F. Gillespie, Manager
State Clearinghouse
Office of Intergovernmental Services
Department of Finance and Administration
P.O. Box 3278
Little Rock, AR 72203
(501) 682-1074
California:'
David C. Nunenkamp
Office of Planning and Research
1400 Tenth Street
Sacramento, CA 95814
(916) 323-7480
Colorado:
State Clearinghouse
Division of Local Government
1313 Sherman Street, Room 520
Denver, CO 80203
(303) 866-2156
Connecticut "
Horace H. Brown
Intergovernmental Review Coordinator
Comprehensive Planning Division
Office of Policy and Management
80 Washington Street
Hartford, CT 06106-4459
(203) 566-3410
Delaware:'
Francme Booth
Office of Budget Director
Thomas Collins Building
P.O. Box 1401
Dover, DE 19903
(302) 736-4204
Florida:
Ron Fahs
Executive Office of the Governor
Office of Planning and Budgeting
The Capitol
Tallahassee, FL 32301
(904) 488-8114
Georgia:
Charles H. Badger
Administrator
Georgia State Clearinghouse
270 Washington Street, S.W.
Atlanta. GA 30334
(404) 656-3855
Hawaii:"
Harold S. Masumoto
Director
Office of State Planning
P 0. Box 2359
Honolulu. Hawaii 96804
(808) 548-3016 or 548-3085
Illinois:
Tom Berkshire
Office of the Governor
State of Illinois
Springfield, IL 62706
(217) 782-8639
Indiana: *
Kristin Kothe
Intergovernmental Review Coordinator
State Budget Agency
212 State House
Indianapolis, IN 46204
(317) 232-5604
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The Citizens' Guidance Manual for the Technical Assistance Gram Program
District of Columbia:
Lovetta Davis
D.C. State Single Point of Contact for
E.G.12372
Executive Office of the Mayor
Office of Intergovernmental Relations
Room 416, District Building
1350 Pennsylvania Avenue, N.W.
Washington. D.C. 20004
(202) 727-6265
Guam:
Guam State Clearinghouse
Office of the Lieutenant Governor
P.O. Box 2950
Agana, Guam 96910
Puerto Rico
Patna G. Custodio, P.E.
Chairman
Puerto Rico Planning Board
Mmillas Government Center
P.O. Box 41119
San Juan, Puerto Rico 00940-9985
(809) 727-4444
Northern Mariana Islands
Planning and Budget Office
Office of the Governor
Saipan. CM 96950
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The Citizens' Guidance Manual for the Technical Assistance Cram Program
APPENDIX D
SELECTED REGULATORY TEXT
EPA Grant Regulations
40 CFR Part 30, Annotated
EPA Procurment Regulations
40 CFR Part 33, Annotated
OMB Circular A-122 and Revision
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
SUBCHAPTER B—GRANTS AND OTHER FEDERAL ASSISTANCE
PART 30—GENERAL REGULATION
FOR ASSISTANCE PROGRAMS
Subpart A—What i* Hi* Purpose and Scop* of
»hl» Regulation?'
Sec
30 100 What is the purpose of this regula-
tion'
30 101 What is the scope of this regula-
tion'
30 102 What laws authorize EPA to issue
this regulation'
Subpart B—What Definitions Apply to this
Regulation?
30 200 What definitions apply to this regu-
lation'
Subpart C—How do I Apply for and Receive
Atiittanc*?
30 300 What activities does EPA lund'
30 301 To whom does EPA award assist-
ance'
30 302 How do I apply for assistance'
30 303 What steps must I take when filing
a standard application'
30 304 Is the information I submit to EPA
confidential0
30 305 How do I find out If EPA approved
or disapproved my application9
30 306 How long will I have to complete my
project'
30 307 How much must I contribute to the
funding of my project'
30 308 When may I begin Incurring costs'
30 309 What is the effect of accepting an
assistance agreement1
Subpart D—How do** EPA Pay M*?
30 400 How does EPA make payments'
30 405 Can I assign my payment to anyone
else'
30 410 How does EPA determine allowable
costs?
30.412 How are costs categorized'
Subpart E—How do I Managa My Award?
30 500 What records must I maintain'
30 501 How long must I keep these
records'
30 502 To whom must my contractor and I
show these records'
30 503 What type of quality assurance
practices am I required to have'
30 505 What reports must I submit'
Sec
30 510 What type of financial management
system must I maintain7
30 515 What restrictions on signs, surveys.
and questionnaires must I observe'
30518 What are the procedures for pub-
lishing scientific, informational, and
educational documents'
30 520 When may I use my own employees
( 'force account")'
30525 How should I treat program
income'
30 526 How do I treat interest earned on
EPA funds'
30 530 May I purchase personal property
using EPA assistance funds'
30531 What property management stand-
ards must I follow for nonexpendable
personal property purchased with an
EPA award'
30 532 How do I dispose of personal prop-
erty'
30 535 May I purchase real property with
EPA awarded funds'
30536 How do I manage Federally-owned
property'
30 537 Are contractors required to comply
with EPA property policies'
30 538 May I use General Services Admin-
istration (GSA) supplies and services'
30 540 Who will audit my project'
Subpart f—What Oth*r Federal Requirement.
Mutt I Comply With?
30 600 What Federal laws and policies
affect my award'
30 601 Are there restrictions on the use of
assistance funds for advocacy purposes'
30 603 What additional Federal laws apply
to EPA assisted construction projects'
30610 What are my responsibilities for
preventing and detecting fraud and
other corrupt practices'
30 611 Can I hire a person or agency to so-
licit EPA assistance for me'
30612 May an EPA employee act as my
representative'
30613 What is EPA's policy on conflict of
interest'
30615 May I employ a former EPA em-
ployee and still receive assistance'
Subpart G—Can an Attiitance Agreement be
Changed?
30 700 What changes to my assistance
agreement require a formal amend-
ment'
30 705 What changes can I make to my as-
sistance agreement without a formal
amendment'
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of 40 CFR Part 30
Subpart A—What io «ho Purpose end
Scepo of »hlo Regulation?
§ 30.100 What is the purpose of this regu-
lation?
(a) The U.S. Environmental Protec-
tion Agency (EPA) Is responsible for
protecting and enhancing the quality
of the environment. To achieve these
objectives, EPA may award assistance
In the form of grants, cooperative
agreements, or fellowships to support:
(1) State and local pollution control
programs; (2) research, demonstration,
or training projects; and (3) other
projects that advance EPA's mission.
This regulation tells how to apply for
and manage an EPA project, describes
EPA involvement in the process, and
identifies recipients' responsibilities.
Other EPA assistance regulations sup-
plement these. They are found in 40
CFR Part 32 (Debarment), Part 33
(Procurement Under Assistance Agree-
ments), Part 35 (State and Local As-
sistance), Part 40 (Research and Dem-
onstration), Part 45 (Training) and
Part 46 (Fellowships).
(c) This regulation incorporates the
requirements of Office of Manage-
ment and Budget (OMB) Circulars
and EPA Orders.
(d) Recipients must provide the re-
porting information required in this
part to be eligible for EPA assistance
awards.
NOTE. The OMB clearances required by
the Paperwork Reduction Act are identified
in Appendix D to this part
§30.101 What is the scope of this regula-
tion?
This regulation covers financial as-
sistance awards made as grants or co-
operative agreements under require-
ments of the Federal Grant and Coop-
erative Agreement Ac£ (Pub. L. 95-
224). It does not cover direct EPA con-
tracts under which EPA acquires prop-
erty or services for its use.
§ 30 102 What laws authorize EPA to issue
this regulation?
Reorganization Plan Number 3 of
1970 and the following statutes au-
thorize the Administrator of EPA to
issue this regulation.
Explanation of Key Provisions
All technical assistance grants are considered
"assistance agreements" and are therefore
subject to all of the relevant requirements in this
section.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of 40 CFR Part 30
Explanation of Key Provisions
"Consolidated assistance." An assist-
ance agreement awarded under more
than one EPA program authority or
funded together with one or more
other Federal agencies. Applicants for
consolidated assistance submit only
one application.
"Continuation award." An assist-
ance agreement after the initial
award, for a project which has more
than one budget period in its approved
project period, or annual awards, after
the first award, to State, Interstate, or
local agencies for continuing environ-
mental programs (see 5 30.306).
"Contractor." Any party to whom a
recipient awards a subagreement.
"Cooperative agreement." An assist-
ance agreement In which substantial
EPA involvement is anticipated during
the performance of the project (does
not include fellowships).
"Cost sharing." The portion of al-
lowable project costs that a recipient
contributes toward completing its
project (i.e., non-Federal share, match-
ing share).
"Emnronmentally related measure-
ments. " Any data collection activity or
investigation involving the assessment
of chemical, physical, or biological fac-
tors in the environment which affect
human health or the quality of life.
The following are examples of envi-
ronmentally related measurements: (a)
A determination of pollutant concen-
trations from sources or in the ambi-
ent environment, including studies of
pollutant transport and fate; (b) a de-
termination of the effects of pollut-
ants on human health and on the en-
vironment; (c) a determination of the
risk/benefit of pollutants in the envir-
onment; (d) a determination of the
quality of environmental data used in
economic studies, and (e) a determina-
tion of the environmental impact kf
cultural and natural processes.
"Expendable personal property." All
tangible personal property other than
nonexpendable personal property
"Force account work." The use of
the recipient's own employees or
equipment for construction, construc-
tion-related activities (including A and
E services), or for repair or improve-
ment to a facility.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of 40 CFR Part 30
Explanation of Key Provisions
"Project" The activities or tasks
EPA identifies in the assistance agree-
ment.
"Project costs." All costs the recipi-
ent incurs m carrying out the project.
EPA considers all allowable project
costs to include the Federal share.
"Project officer" The EPA official
designated in the assistance agreement
as EPA's program contact with the re-
cipient. Project officers are responsi-
ble for monitoring the project.
"Project period." The length of time
EPA specifies in the assistance agree-
ment for completion of all project
work. It may be composed of more
than one budget period.
"Quality assurance narrative state-
ment." A description of how precision,
accuracy, representativeness, com-
pleteness, and compatibility will be as-
sessed, and which is sufficiently de-
tailed to allow an unambiguous deter-
mination of the quality assurance
practices to be followed throughout a
research project.
"Quality assurance program plan."
A formal document which describes an
orderly assembly of management poli-
cies, objectives, principles, organiza-
tional responsibilities, and procedures
by which an agency or laboratory
specifies how it intends to:
(a) Produce data of documented
quality, and
(b) Provide for the preparation of
quality assurance project plans and
standard operating procedures.
"Quality assurance project plan."
An organization's written procedures
which delineate how it produces qual-
ity data for a specific project or meas-
urement method
"Real property" Land, including
land improvements, and structures
and appurtenances, excluding movable
machinery and equipment
"Recipient." Any entity which has
been awarded and accepted an EPA as-
sistance agreement.
"Standard operating procedure " A
document which describes in detail an
operation, analysis, or action which is
commonly accepted as the preferred
method for performing certain routine
or repetitive tasks
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of 40 CFR Part 30
Explanation of Key Provisions
(1) Financial resources, technical
qualifications, experience, organiza-
tion, and facilities adequate to carry
out the project, or a demonstrated
ability to obtain these:
(2) Resources to meet the. project
completion schedule contained in the
assistance agreement;
(3) A satisfactory performance
record for completion of projects and
subagreements:
(4) Accounting and auditing proce-
dures adequate to control property,
funds, and assets, as required in Sub-
part E of this part;
(5) Procurement standards that
comply with Part 33 of this subchap-
ter;
(6) Property management systems
for acquiring, maintaining, safeguard-
Ing, and disposing of property, as re-
quired in Subpart E of this pan, and
(7) Demonstrated compliance or will-
ingness to comply with the civil rights,
equal employment opportunity, labor
law, and other statutory requirements
under Subpart F of this part.
(b) EPA considers your submission
of an assistance application as your as-
surance that you can and will meet
these standards. EPA may conduct a
preaward audit or other review to de-
termine your capabilities.
(c) EPA must notify you in writing if
it finds you unable to meet these
standards. The written notice will
state the reasons for the finding. You
may appeal EPA's findings under the
disputes procedures in Subpart L.
(d) Individuals, agencies, or organi-
zations voluntarily excluded, suspend-
ed, or debarred under 40 CFR Part 32
are ineligible to receive assistance.
9 30.302 How do I apply for assistance?
(a) You must submit a standard ap-
plication to apply for'EPA assistance.
(b) Before you file an application to
perform unsolicited work, you may
submit an unsolicited proposal EPA
will apprise you of your proposal's po
tential for funding.
Recipients must be aware that acceptance of EPA
grant funds will require the establishment of
accounting, procurement, and property
management systems. EPA has the authority to
cancel the assistance agreement or stop the
reimbursement of the expenditure of Federal
funds when grants are improperly or inadequately
managed.
Applicants to the Technical Assistance Grant Pro-
gram managed by EPA must complete EPA Form
5700-33 "State and Local Nonconstruction
Programs" and EPA Form 5700-48 "Procurement
System Certification." These forms will be
included in the application kit. In addition, a
completed application package must include a
"Scope of Services," which specifies the
projected tasks, schedule, and budget for the
technical assistance project. See Chapter 4 for
more details on the special requirements for tech-
nical assistance grants.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of 40 CFR Part 30
Explanation of Key Provisions
[48 FR 45062. Sept 30. 1983: 49 FR 38944.
Oct. 2. 1984]
§30.303 What steps must I take when
filing a standard application?
(a) Before you file an application,
you must complete the forms accord-
ing to the instructions. At least one
copy of the completed application
must have an original signature of the
person authorized to obligate you or
your organization to the terms and
conditions of EPA's regulations and
assistance agreement.
(b) You must:
(1) Comply with your State's inter-
governmental review process, if it es-
tablished one under Executive Order
12372. See 40 CFR Part 29 (48 FR
29288, June 24, 1983).
(2) Comply with the areawide review
requirements of Section 204 of the
Demonstration Cities and Metropoli-
tan Development Act of 1966, as
amended (42 U.S.C. 3334) if your
project will be located in a metropoli-
tan area. EPA programs that are sub-
ject to areawide review are listed in 48
FR 29304, June 24, 1983, and marked
with an asterisk (°)
§30.304 Is the information I submit to
EPA confidential?
(a) Generally, the information is not
confidential. When EPA receives your
assistance application or unsolicited
proposal the information you submit
becomes part of the Agency's records.
As such, it is subject to EPA's disclo-
sure of information policy (40 CFR
Part 2) which is based on the provi-
sions of the Freedom of Information
Act (5 U.S.C. 552) and on the provision
for patents and rights in data and
copyrights under Subpart K of this
part.
(b) If you submit data, documents,
or parts of documents which you con-
sider to be confidential, you should
clearly identify them with the words
"trade secret," "proprietary." or "busi-
ness confidential." For further in-
structions on assertion of confidential-
ity claims, see 40 CFR Part 2, Subpart
B.
See IFR section 35.4045 and Chapter 4 of this
manual for detailed instructions on how to apply
for a technical assistance grant.
Before filing the grant application, a grant
applicant must find out what procedures need to
be followed to comply with their State's
intergovernmental review process. State contacts
are listed in Appendix C. EPA will not process an
application without evidence of compliance with
this requirement. See Chapter 4 of this manual,
and the grant application form for more details.
Technical assistance grant application information
is not considered confidential.
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The Citizens' Guidance Manual for the Technical Assistance Gr.-int Program
Text of 40 CFR Part 30
Explanation of Key Provisions
(6) Any other reports that the assist-
ance agreement may require.
(c) If approved by the award official,
you may carry over unexpended prior
year funds: (1) In lieu of new funds:
(2) to complete work started .in prior
years; or (3) to supplement the new
award. You must meet all program
and cost sharing requirements in each
budget penod to carry over funds.
(d) If EPA executes a continuation
agreement. EPA will reimburse you
for allowable costs you incur between
the end of a budget period and date of
award for the next budget period pro-
vided you submit a continuation appli-
cation before the expiration of the
prior budget penod.
[48 FR 45062, Sept 30. 1983, as amended at
49 FR 38944. Oct 2. 1984]
§ 30.307 How much must I contribute to
the funding of my project?
(a) The amount of cost sharing you
must contnbute depends upon the
statutory and regulatory cost sharing
provisions that apply to your specific
assistance project (see 40 CFR Parts
35 and 40). You must contribute at
least a 5 percent share of the total al-
lowable project costs for each budget
period unless;
(1) A lesser amount is specified in
the respective statute or regulation ap-
plicable to your project, or
(2) The assistance agreement Is for a
remedial planning action under the
Comprehensive Environmental Re-
sponse, Compensation, and Liability
Act of 1980.
(b) You may satisfy the requirement
for cost sharing with cash or, when
not prohibited by statute or regula-
tions, with in-kind contributions Your
contribution may not be paid with
Federal funds or with property or
services received under another assist-
ance agreement, unless authorized by
statute Additionally, your contribu-
tions must be.
(1) Negotiated before and specified
in your assistance agreement:
(2) Verifiable from your records:
(3) Used exclusively for a single
project, and
(4) Properly allocable to and allow-
able under the project
EPA may reimburse a group for allowable costs
incurred between the end of a budget period and
renewal of funding if the group submits a continu-
ation application (EPA Form 5700-33) before the
first budget period expires.
The technical assistance grant program requires a
35% contribution of matching funds m cash or in-
kind contributions. See Chapter 3 for a discussion
of this requirement.
An in-kind contribution represents the value of
non-cash contributions provided by the grant
recipient and non-Federal third paries including
States, local units of government and private
citizens. In-kind contributions may be charges for
the use of real property, non-expendable personal
property, or the value of goods and services.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of 40 CFR Part 30
Explanation of Key Provisions
Subpart 0—How does EPA Pay Me?
§ 30.400 How does EPA make payments?
(a) EPA will promptly pay you for
allowable costs you incur in'accord-
ance with EPA regulations and your
assistance agreement If at any time,
EPA determines you received payment
for unallowable cost or received an
over-payment, you are required to re-
imburse EPA. (See § 30.802.)
(b) Your assistance agreement will
specify one of the following ways for
EPA to pay you. You will receive the
appropriate forms and instructions
with your assistance agreement.
(1) By letter of credit. EPA will pay
you by the letter of credit method, it
you meet the Treasury Department's
criteria contained in Treasury Circular
No 1075. as revised. You must estab-
lish a separate bank account when
payments under a letter of credit are
made on a "check-paid" basis
(2) By advance If you do not qualify
for a letter of credit, EPA may pay
you by the advance payment method
You must negotiate the amount of
your initial advance with the award of-
ficial The negotiated amount should
not exceed the cash you will need for
the first three months of operation.
You must request the initial advance
on Standard Form 270 (SF 270, "Re-
quest for Advance or Reimburse-
ment") which will be included in your
award package EPA will issue a check
for the first three months or one
check each month (at EPA's option) to
pay the advance. After your initial ad-
vance, you must submit an SF 270 at
least quarterly, but not more often
than monthly, indicating the amount
of your expenditures to date and your
request for funds for the coming
period
(3) By reimbursement. If you do not
meet letter of credit requirements or
receive advance payments, EPA will
pay you by reimbursement Also, EPA
generally will pay you under the reim-
bursement method if you are receiving
assistance under EPA's wastewater
treatment construction grants pro-
gram (see 40 CFR Part 35, Subpart I).
When EPA pays by this method, you
will be reimbursed for costs which you
have incurred and are currently and
legally obligated to pay
Technical assistance grants will be paid by the
"reimbursement" method Recipients of EPA
grant awards may submit an EPA Form SF 270 —
"Request For Reimbursement" quarterly. See
instructions provided in Chapter 6.
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9 30.412 How are costs categorized?
(a) Costs are categorized as being
either a direct cost if they support a
specific project only or as an indirect
cost as described in the applicable cost
principles (see 5 30.410). To receive
payment for indirect costs, you must
have negotiated an indirect cost rate
with your cognizant Federal Agency
and your assistance agreement must
provide for the use of that rate.
(b) You may request a special indi-
rect cost rate, if (1) your project is
conducted at an off-site location: or (2)
your project is a large, one-time
project and its costs would distort the
normal direct cost base used in com-
puting the indirect cost rate.
Subport E—How do I Manage My
Award?
§ 30.500 What records must I maintain?
(a) You must maintain official
records for each assistance award you
receive and identify them with EPA
assistance identification numbers.
These records must contain the fol-
lowing information.
(1) Amount received and expended
for the project, including all Federal
and cost sharing funds:
(2) Program income,
(3) Total cost of the project (both
direct and indirect costs);
(4) Property purchased under the
award or used as part of your in-kind
contribution:
(5) Time records and other support-
ing data. Institutions of higher educa-
tion may account for the distribution
of salaries and wages of professorial or
professional staff by budgeted.
planned, or assigned work activity if
the system for wages and salaries
meets the requirements in OMB Circu-
lar A-21;
(6) Documentation of compliance
with applicable statutes and regula-
tions.
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§30.503 What type of quality assurance
practices am I required to have?
§ 30.505 What reports must I submit?
(a) Interim and final progress re-
ports. You must submit interim and
final progress reports if the assistance
agreement or EPA regulations require
them See 40 CFR Parts 35, 40, and 45
for specific requirements. EPA or its
authorized representatives may in-
spect your project at any reasonable
time to review its progress.
(b) Financial reports. (1) You must
submit a Financial Status Report (SF
269) within 90 days after each budget
period and within 90 days after the
end of your project completion or ter-
mination If either the Financial
Status Report (FSR) you submit after
the budget period or the FSR you
submit after your project is completed
or terminated includes unliquidated
obligations, you must submit a final
FSR immediately after those obliga-
tions are liquidated. If you do not
submit a final FSR within a reasona-
ble time after the 90 day period, the
award official may disallow the unliq-
uidated obligations
(2) Under the wastewater treatment
construction grants program, your
final "Outlay Report and Request for
Reimbursement for Construction Pro-
grams" (SF 271) will serve as the fi-
nancial report
(3) Recipients of fellowship assist-
ance agreements do not have to
submit FSR's.
(c) Invention reports. You must
report all inventions to the award offi-
cial (see Subpart K for details)
(d) Report on federally-owned prop-
erty. You must submit an annual in-
ventory of all Federally-owned proper-
ty used on your project. At the end of
the project period, or when you no
longer need the property, you must
submit a final inventory which states
the present condition of each item and
requests disposition instructions
[48 FR 45062. Sept 30. 1983, as amended at
49 FR 38945. Oct 2. 1984)
§30510 What type of financial manage-
ment system must I maintain?
You must maintain a financial man-
agement system that consistently ap-
plies accepted accounting principles
Section 30.503 does not apply to technical assis-
tance grants since the grant will not fund activities
to gather new primary data (text deleted).
Recipients are required to submit final Financial
Status Reports at the close of each budget period
Participants in the Technical Assistant Grant Pro-
gram are required to submit quarterly progress re-
ports.
See Chapter 6 for a discussion of how to comply
with EPA's financial recordkeeping requirements,
a sample general ledger for recording cash
transactions during a budget period, and a sample
quarterly progress report.
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§30.518 What are the procedures for pub- •
lishing scientific, informational, and
educational documents?
(a) EPA encourages publication of
the results of its assistance .agree-
ments.
(b) You must comply with EPA s
peer and administrative review process
if you intend to release to the public
informational materials, reports, and
other products produced under an
EPA assistance agreement.
(1) Except for articles published
under paragraph (d) of this section.
you must submit three copies of the
documents to your project officsr for
EPA review EPA will evaluate the
documents and will provide you with
written, suggested changes, if any
(2) You should make every effort to
accommodate suggestions arising from
the EPA review process while prepar-
ing a revised draft. You should alert
EPA reviewers to suggestions you
cannot accommodate and to changes
initiated by you in the revised draft.
(3) If an agreement is reached that
the material is appropriate for release
as an EPA publication, the following
statement must be included in the doc-
ument'
The information in this document has been
funded wholly or in part by the LniUd
States Environmental Protection Agency
under assistance agreement (number) i.o (r;-
clpient) It has been subjected to the Agen-
cy's peer and administrative review and has
been approved for publication as an EPA
document Mention of trade names or cor.i-
mercial products does not constitute en-
dorsement or recommendation for use
(c) If agreement cannot be reached
that the material is appropriate for re-
lease as an EPA publication, you may
independently publish and distribute
the document for your own use and .t
your own expense provided you n-
clude the following statement in tlie
document:
Although the information in this document
has been funded vi holly or in part by the
United States Environmental Prote:tion
Agency under assistance agreement
(number) to (recipient). It may not necessar-
ily reflect the views of the Agency and no
official endorsement should be inferred
(d) EPA also encourages indepeca-
ent publication of reports in referred
journals at any time You mu>t submit
If a grant recipient or one of the group's contrac-
tors wishes to publish a report under a technical
assistance grant, they must submit the document
for review to the EPA TAG Project Officer For the
purposes of this program, "publish" means to
have a document prepared for public distribution
by a professional printing house. Copied materi-
als need not be submitted for EPA review.
If a group does publish documents for its own use,
it must include this statement.
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Explanation of Key Provisions
§ 30.526 How do I treat interest earned on •
EPA funds?
If you earn Interest on an EPA ad-
vance, you must return it to EPA
unless you are.
(a) A State, or State agency as de-
fined under section 203 of the Inter-
governmental Cooperation Act of
1968. (42U.S.C. 4213), or
(b) A tribal organization as defined
under sections 102, 103, or 104 of the
Indian Self Determination Act (25
U.S C 450f. 450g. and 450h)
§ 30.530 May I purchase personal property
using EPA assistance funds?
(a) Nonprofit institutions of higher
education conducting basic or applied
research and nonprofit organizations
whose primary purpose is the conduct
of scientific research. You may pur-
chase personal property for the con-
duct of basic or applied research if au-
thorized to do so in your assistance
agreement. Before you purchase prop-
erty or equipment with a unit acquisi-
tion cost of $10.000 or more, you must
receive the award official's approval.
Title will be vested in you but may be
limited as provided in paragraph (aHI)
of this section.
(1) If EPA determines that it is in
the best interest of the Agency, EPA
may reserve the right to transfer the
title for personal property having a
unit acquisition cost of $1,000 or more
to the Federal Government or a third
party, within 120 days after project
completion EPA must identify such
property in the assistance agreement,
or otherwise notify you in writing that
EPA reserves the right to transfer the
title.
(2) If EPA does not'reserve the right
to transfer the title, you have no other
obligations or accountability to EPA.
(b) Other recipients You may pur-
chase personal property with EPA as-
sistance funds if authorized to do so in
your assistance agreement. Before you
purchase personal property with a
unit cost of $10,000 or more, you must
receive the award official's approval
Title will be vested in you. subject to
the following conditions
Any interest earned on grant funds must be
credited against remaining EPA funds obligated to
the group, i.e.. EPA will subtract the interest
earned from the total amount of the award under
the grant agreement.
A grant recipient may purchase property with EPA
grant funds only if authorized to do so in the grant
agreement.
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(6) The percentage of the Federal
share of the cost;
(7) Location, use, and condition of
property and the date the information
was recorded; and
(8) UUmate disposition data, includ-
ing sales price or the method used to
determine the price, or the method
used to determine current fair market
value where a recipient compensates
EPA for its share under 5 30.532 of
this part.
(b) Conduct a physical inventory of
property, and reconcile the results
with the property records, at least
once every two years. Your inventory
must verify the current use and con-
tinued need for the property.
(c) Maintain a control system to pre-
vent loss, damage, or theft. (You must
thoroughly investigate and document
any loss, damage, or theft of nonex-
pendable personal property )
(d) Maintain adequate maintenance
procedures that ensure the property is
in good condition and that instru-
ments used for precision measure-
ments are periodically calibrated.
(e) Maintain proper sales procedures
which provide for competition result-
ing in the highest possible return.
(f) Maintain identification of Feder-
ally-owned property.
[48 PR 45062. Sept 30, 1983. 49 PR 38945,
Oct 2. 1984]
§ 30.532 How do I dispose of personal
property?
Nonprofit institutions of higher edu-
cation conducting basic or applied re-
search and nonprofit organizations
whose primary purpose is the conduct
of scientific research are exempt from
the following requirements All other
recipients must comply with the fol-
lowing requirements. -When personal
property is no longer needed for the
original project, you may use it on
other EPA projects If you do not have
other EPA projects, you may use it on
other Federal projects If you wish to
use the property on other than Feder-
ally sponsored activities, you must
comply with the following require-
ments;
Groups may purchase non-expendable personal
property with technical assistance 'unds if author-
ized to do so m the grant agreement. Non-ex-
pendable personal property is equipment with a
useful life of at least two years and an acquisition
cost of $500 or more. Groups mi:st comply with
EPA property management requnements. See
Chapter 5, "Determining Allowable Costs."
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(1) You must get approval from EPA
to use the property for other Federal-
ly supported projects or progams: or
(2) You must contact EPA for in-
structions on how to dispose- of the
property EPA may
d) Permit you to re»am title to the
property provided you compensate
EPA for its share; or
(11) Direct you to sell the property
and to compensate EPA for its share.
less your expenses; or
(111) Direct you to transfer the title
of the property to the Federal Govern-
ment and then compensate you based
on your percentage of participation in
the original cost of the project, which
will be applied to the current fair
market value of the property
[48 FR 4S062. Sept 30. 1983. 49 FR 38945.
Oct 2. 1984]
manage federally-
§30.536 How do I
owned property?
You must negotiate the use of feder-
ally-owned property with the award
official and comply with your lease
agreement and § 30 505(d). You must
inform the project officer of the avail-
ability of the property when the prop-
erty is no longer needed for the assist-
ance project or when you have com-
pleted the project. EPA will give you
instructions on where to return the
property.
§ 30.537 Are contractors required to
comply with EPA property policies7
Generally, contractors are not re-
quired to comply with EPA property
policies. However, if your contractors
acquired personal property with EPA
funds, and the subagreement states
that ownership vests in you or EPA,
the contractor must comply with EPA
property policies
§ 30.538 May I use General Services Ad-
ministration (GSA) supplies and serv-
ices''
You may not use GSA sources of
supplies and services, or excess Gov-
ernment property Excess Government
property consists of property under
the control of any Federal agency that
is not required for its needs
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Subpart F—What Other Federal Re-
quirement* Must I Comply With?
§30.600 What Federal laws and policies
affect my award'
You must comply with all applicable
Federal laws
(a) National Environmental Policy
Act. You must comply with the Na-
tional Environmental Policy Act of
1969 (42 U.S C 4321 et seq.) as amend-
ed and other related environmental
laws and executive orders that require
you to assess the environmental
impact of your project See 40 CFR
Part 6 for specific requirements
(b) Flood Disaster Protection Act If
your project involves construction or
property acquisition in a special flood
hazard area, you must comply with
the Flood Disaster Protection Act of
1973 (Pub L. 93-234, December 13.
1973) If your project is located in a
community participating in the Na-
tional Flood Insurance Program (42
USC 4001-4128). the Act requires
you to purchase flood insurance as a
condition of receiving EPA assistance
If the community is not participating
in the National Flood Insurance Pro-
gram and the special flood hazard area
has been designated by the Federal In-
surance Administration of the Federal
Emergency Management Agency for
at least one year. EPA will not award
assistance for your project until the
community enters the program and
flood insurance is purchased See 44
CFR Parts 59 through 79 for specific
requirements.
(c) Clean Air Act Section 306 of the
Clean Air Act, (42 USC 7606), as
amended, and Executive Order 11738
prohibit EPA from awarding assist-
ance to you (with certain exceptions)
if you intend to use.any facility on
EPA's List of Violating Facilities to
complete work on your agreement
You must include a clause in all suba-
greements that requires the recipients
of those subagreements to comply
with the requirements of 40 CFR Part
15 (see 40 CFR 33.1020)
(d) Federal Water Pollution Control
Act. Section 508 of the Federal Water
Pollution Control Act, (33 USC
1368), as amended, and Executive
Order 11738 prohibit EPA from award-
ing assistance to you (with certain ex-
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(j) The Indian Self-De termination
and Education Assistance Act. You
must comply with the Indian Self-De-
termmation and Education Assistance
Act of 1975 (Pub. L 93-638). if your
project will benefit Indians, the Act
requires you to give Indians prefer-
ence in training and employment op-
portunities and In the award of suba-
greements
(k) The Hatch Act If you are a State
or local government recipient, you
must ensure compliance with the
Hatch Act, (5 USC 1501 et seq ). as
amended The Act requires State and
local government employees to comply
with the restrictions on political activi-
ties imposed by the Act if their princi-
pal employment activities are funded
wholly or in part by Federal assist-
ance. See 5 CFR Part 151 for specific
prohibitions and exemptions
(1) Safe Drinking Water Act Section
1424(e) of the Safe Drinking Water
Act (42 U.SC 300h-3(e)), prohibits
EPA from awarding assistance to you
if EPA determines that your project
may contaminate a sole source aquifer
which will result in a significant
hazard to public health See CFR Part
149.
[48 PR 45062. Sept 30. 1983. 49 PR 38945.
Oct 2. 19841
§ 30.601 Are there restrictions on the use
of assistance funds for advocacy pur-
poses'
(a) You may not use assistance funds
for
(1) Lobbying or influencing legisla-
tion before Congress.
(2) Partisan or political advocacy
purposes, or
(3) An activity whose objective could
affect or influence the. outcome of an
EPA regulatory or adjudicatory pro-
ceeding.
(b) For nonprofit recipient organiza-
tions other than educational institu-
tions. EPA will implement § 30 601(a)
(1) and (2) consistent with the require-
ments of OMB Circular A-122, as re-
vised (see |30410(c))
[49 FR 38945 Oct 2 1984]
§30603 What additional Federal laws
apply to EPA assisted construction
projects'
Under CERCLA, technical assistance grant funds
cannot be used for legal actions including the
preparation of testimony and the hiring of expert
witnesses. See Chapter 3 for more information
about legal restrictions and other conditions of
eligible activities.
Section 30.603 does not apply to technical assis-
tance grants since technical assistance grants
cannot be issued to fund construction activities
(text deleted).
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§ 30.613 What Is EPA's pulley on conflict
of interest?
EPA's policy is to prevent personal
or organizational conflict of Interest.
or the appearance of such conflict of
interest in the award and administra-
tion of EPA assistance, including suba-
greements. (For restrictions on EPA
employees, see 40 CFR Part 3.)
(a) An official or employee of a re-
cipient may not participate in any ac-
tivity relating to EPA assistance if any
of the following persons or organiza-
tions, to the official's or employee's
knowledge, has a financial interest in
the activity
(1) The official or employee himself;
(2) The official or employee's spouse
or minor child;
(3) A partner of the official or em-
ployee:
(4) An organization (other than a
public agency) in which the official or
employee serves as an officer, director,
trustee, partner, or employee, or
(5) Any person or organization with
whom the official or employee is nego-
tiating or has any arrangement con-
cerning prospective employment
(b) Officials and employees of recipi-
ents must avoid any action which
might result in, or create the appear-
ance of.
(1) Using official position for private
gain;
(2) Giving preferential treatment to
any person.
(3) Losing independence or impar-
tiality,
(4) Making an official decision out-
side official channels; or
(5) Undermining public confidence
in the integrity of EPA programs
§30.615 May I employ a former EPA em-
ployee and still receive assistance?
You may hire a former EPA employ-
ee and still receive assistance provided
the former employee complies with
the restrictions on post-employment
activities established by 18 U.S.C. 207.
These restrictions are explained in
regulations issued by the Office of
Personnel Management under 5 CFR
Part 737 and EPA regulations under
40 CFR Part 3.
Conflicts of interest must be avoided. Conflicts
occur if employees, officers, or agents of a group
or their families have a financial or other interest in
a contractor to be hired or are employed by the
prospective contractor. Additionally, contractors
are required to disclose to the recipients all finan-
cial and business relationships with a potentially
responsible party involved at the site for which the
grant has been awarded. See section 35.4130 of
the Interim Final Rule for futher details.
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L
(b) EPA will pay you the Federal
share of allowable costs incurred up to
the date of termination and allowable
costs related to commitments you
made prior to termination that you
cannot cancel.
Subpart H—How do I Close out my
Project?
§30.800 What records and reports must I
keep after I complete my project?
You and your contractors must keep
all books, records, documents, and
other evidence (including accounting
procedures and practices and suba-
greement documents) that track the
progress of your project in accordance
with the requirements under § 30.501
§ 30.802 Under what conditions will I owe
money to EPA?
(a) If the award official determines
that you owe funds, you must reim-
burse the Federal government that
amount. EPA will take appropriate
legal and administrative action to col-
lect the amount you owe the Agency if
reimbursement is not made in a timely
manner. EPA may offset the debt
against other funds payable to you
under an EPA or other Federal agency
assistance agreement if not explicitly
prohibited by another statute.
(b) EPA will charge you interest if
you fail to pay within 30 days from
the date of the Agency's decision that
a debt is owed The interest rate will
be the rate established by the Secre-
tary of the Treasury in accordance
with the Treasury Fiscal Require-
ments Manual 6-8020.20 The rates are
published quarterly in the FEDERAL
REGISTER.
(c) If you are not a State or local
government, EPA will charge you its
cost to process and handle the overdue
debt at the end of each 30 day period
the debt is overdue, and a penalty of
6% per annum if the debt is not paid
within 120 days after the date of the
Agency's decision that a debt is owed.
[48 FR 45062. Sept 30. 1983. as amended at
51 FR6353. Feb 21 1986]
All records must be kept for three years following
project completion or until any litigation, dispute,
claim, or audit relating to the grant is resolved If
after the three years, the recipient intends to dis-
pose of the records, EPA must be notified in writ-
ing and the records must be held until EPA notifies
the recipient as to their disposition See section
35.4105 of the Interim Final Rule for futher details
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§30.902 What are the consequences of
withholding payments?
(a) The award official may withhold
payments when you fail to comply
with the tasks, reporting require-
ments, or conditions of your assistance
agreement. The award official will pro-
vide you reasonable notice In writing
before withholding payment.
(b) The award official may withhold
only the amount necessary to assure
compliance with your assistance agree-
ment.
(c) The award official may withhold
payment to the extent you are indebt-
ed to the United States, unless the col-
lection of the indebtedness will impair
the accomplishment of the project and
the continuation of the project is in
the best interest of the United States.
§ 30.903 What are the consequences of ter-
mination for cause?
(a) The award official may unilater-
ally terminate your agreement in
whole or in part at any time before
the date of completion, whenever he
determines that you have failed to
comply with the conditions of your
agreement The award official will pro-
vide you an opportunity for consulta-
tion before issuing a notice of termina-
tion
(b) If EPA terminates your agree-
ment, the award official will notify
you in writing of his determination,
the reasons for the termination, and
the effective date. Upon receiving the
termination notice, you must stop
work immediately EPA will not reim-
burse you for any new commitments
you make after you receive the termi-
nation notice.
(c) EPA will pay you the Federal
share of allowable costs incurred up to
the date of termination and allowable
costs related to commitments you
made prior to termination that you
cannot cancel.
§ 30 904 What are the consequences of an-
nulment?
(a) The award official may unilater-
ally annul in whole or in part your as-
sistance agreement in any of the fol-
lowing cases
(1) You have made no substantial
progress on the project without good
cause:
Upon receipt of a termination notice, the recipient
must stop work immediately. EPA will not
reimburse a group for any financial commitments
or obligations made after a termination notice is
issued.
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(a) On a case-by-case basis. EPA will
consider requests for exceptions to
these regulations.
(b) EPA may issue a "deviation"
from any of its assistance related regu-
lations, except for those that imple-
ment statutory and executive order re-
quirements.
(c) The award official may "waive"
certain requirements of this subchap-
ter for foreign awards. All provisions
waived will be stated in the assistance
agreement.
[48 PR 45062. Sept 30. 1983. 49 PR 38945.
Oct 2, 1984]
§ 30.1002 Who may request a deviation'
You, your project officer, or an EPA
program office may request a devi-
ation from EPA regulations. If you are
the initiator, you must send your writ-
ten request to .your project officer if
the request is for a Headquarters pro-
gram or to the Regional Administrator
for a Regionally administered pro-
gram, who will then forward the re-
quest to the Director. Grants Adminis-
tration Division, with a recommenda-
tion for approval or disapproval.
§30.1003 What information must I in-
clude in a deviation request?
Your request must include the fol-
lowing information:
(a) Your name, the assistance identi-
fication number, date of award, and
the dollar value of the application or
award,
(b) The section of the regulation
from which you need a deviation,
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Subpart L—Hew are Disputes Be-
tween EPA Official* and me Re-
solved?
§ 30.1200 What happens if an EPA official
and I disagree about an assistance
agreement requirement?
(a) Disagreements should be re-
solved at the lowest level possible.
(b) If you can not reach an agree-
ment, the EPA disputes decision offi-
cial will provide you with a written
final decision. The EPA disputes deci-
sion official is the individual designat-
ed by the award official to resolve dis-
putes concerning your assistance
agreement
(c) The disputes decison official's de-
cision will constitute final agency
action unless you file a request for
review by registered mail, return re-
ceipt requested, within 30 calendar
days of the date of the decision.
C48 FR 45062. Sept 30. 1983. 49 PR 38946.
Oct 2. 1984]
§30.1205 If I Tile a request for review,
with whom must I file*
(a) For final decisions issued by an
EPA disputes decision official at Head-
quarters, you must file your request
with the Assistant Administrator re-
sponsible for the assistance program
(b) For final decisions issued by a
Regional disputes decision official, you
must file your request for review with
the Regional Administrator. If the Re-
gional Administrator issued the final
decision, you must request the Region-
al Administrator to reconsider that de-
cision.
§30.1210 What must I include in my re-
quest for review or reconsideration7
Your request must include
(a) A copy of the EPA disputes deci-
sion official's final decision;
(b) A statement of the amount in
dispute.
(c) A description of the issues in-
volved, and
(d) A concise statement of your ob-
jections to the final decision
§30 1215 What are my rights after I Hie a
request for review or reconsideration'
If a disagreement occurs between a group and an
EPA official regarding the terms of the grant, the
dispute should be resolved at the lowest level of
EPA authority possible. If agreement cannot be
reached, the Disputes Decision Official will issue a
written decision. This decision is final unless the
group requests a review by the Award Official
within 30 days of the date of the decision.
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review and may provide you an oppor-
tunity for an informal conference in
order to clarify factual or legal issues,
After reviewing the Regional Adminis-
trator's decision, the Assistant Admin-
istrator will issue a written decision
which will then become the final
Agency action.
§30.1230 Will I be charged interest if I
owe money to EPA?
(a) Interest will accrue on any
amounts of money due and payable to
EPA from the date of the disputes de-
cision official's final decision, even if
you request review of the decision
under this subpart Only full payment
of the debt within 30 days of the dis-
putes decision officials' final decision
will prevent EPA from charging inter-
est If you pay a debt but request
review under this subpart and the
amount of the debt is reduced as a
result of the review, EPA will refund
the interest and penalty charges that
you paid on the adjustment. However.
processing and handling charges
which you may have paid are refund-
able only if EPA determines that the
entire amount of the debt is not owed
(b) State and local government re-
cipients are not subject to the penalty
and handling charges in this section.
but are subject to the interest charges.
(48 FR 45062. Sept 30. 1983, as amended at
51 FR 6353. Feb 21. 1986)
§ 30.1235 Are there any EPA decisions
which may not be reviewed under this
subpart?
You may not request a review of;
(a) Disapprovals of deviations under
Subpart J,
(b) Bid protest decisions under Part
33,
(c) National Environmental Policy
Act decisions under Part 6.
(d) Advanced wastewater treatment
decisions of the Administrator, and
(e) Policy decisions of the EPA Audit
Resolution Board
[48 FR 45062. Sept 30, 1983. as amended at
49 FR 38946. Oct 2. 1984]
APPENDIX A—EPA PROGRAMS
The following chart identifies EPA s as
sistance programs and the types of awards
(grants or cooperative agreements) that
EPA will award under these programs
Other than the technical assistance grant (cata-
logue no. 66807), none of EPA's other assis-
tance programs apply (text deleted)
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PART 33—PROCUREMENT UNDER
ASSISTANCE AGREEMENTS
Sec
33 001 Applicability and scope of this part.
33005 Definitions.
Subparl A—Procurement System Evaluation
33 105 Applicability and scope of this sub-
part
33110 Applicant and recipient certifica-
tion.
33.115 Procurement system review
Subparl &—Procurement Requirements
33 205 Applicability and scope of this sub-
part
33 210 Recipient responsibility
33 211 Recipient reporting requirements
33 220 Limitation on subagreement award
33225 Violations
33 230 Competition
33 235 Profit.
33 240 Small, minority, women's, and labor
surplus area businesses
33 245 Privity of subagreement
33 250 Documentation
33 255 Specifications
33 260 Intergovernmental agreements
33 265 Bonding and insurance
33 270 Code of conduct
33 275 Federal cost principles
33 280 Payment to consultants
33 285 Prohibited types of subagreements
33 290 Cost and price considerations
33 295 Subagreements awarded by a con-
tractor
SMALL PURCHASES
33 305 Small purchase procurerren1.
33310 Small purchase procedures
33 315 Requirements for competition
FORMAL ADVERTISING
33 405 Formal advertising procurement
method
33410 Public notice and solicitation of
bids
33 415 Time for preparing bids
33 420 Adequate bidding document.'
33 425 Public opening of bids
33 430 Award to lowest, responsive respon-
sible bidder.
COMPETITIVE NEGOTIATION
33 505 Competitive negotiation procure-
ment method.
33510 Public notice
33 515 Evaluation of proposals
33 520 Negotiation and award of subagree-
ment
Sec.
33 525 Optional selection procedure for ne-
gotiation and award of subagreements
for architectural and engineering serv-
ices
NONCOMPETITIVE NEGOTIATION
33.605 Noncompetitlve negotiation pro-
curement method
Subpart C—Requirement* tor Recipients of As-
sistance Agreements for the Construction of
Treatment Works
33 705 Applicability and scope of this sub-
part
33 710 Buy American
33715 Use of the same architect or engi-
neer during construction
Subpart D—Requirements for Institutions of
Higher Education and Other Nonprofit Orga-
nizations
33 805 Applicability and scope of this sub-
pan
33 810 Nonapplicable subagreement
clauses
33 815 Nonapplicable procurement provi-
sions
33 820 Additional procurement require-
ments
Subpart E—Requirements for Recipients of Re-
medial Action Cooperative Agreements
Under the Cemprehentive Environmental Re-
sponse, Compensation, and Liability Act of
I960
33 905 Applicability and scope of this sub-
part
33 910 Preference for formal advertising
33.915 Award official approval
Subpart f—Subagreement Provisions
33 1005 Applicability and scope of this sub-
part
33 1010 Requirements for subagreement
clauses
33.1015 Subagreement provisions clause
33 1016 Labor standards provisions
33 1019 Patents, data and copyrights
clause
33 1020 Violating facilities clause
33 1021 Energy efficiency clause
33 1030 Model subagreement clauses
Subpart 6—Protects
33 1105 Applicability and scope of this sub
part
33 1110 Recipient protest procedures
33 1115 Protest appeal
33 1120 Limitations on protest appeals
33 1125 Filing requirements
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Explanation of Key Provisions
§33.001 Applicability and scope of this
part
(a) This pan applies to all assistance
agreements awarded on or after the
effective date of this part. Fpr assist-
ance agreements awarded before the
effective date, this part will apply only
to those procurement actions initiated
by the recipient on or after the date
the recipient complies with the self-
certification requirements in § 33.110
of this pan.
(b) This part:
(1) Describes EPA's procurement
system evaluation process
(2) Identifies the minimum require-
ments for the procurement of sup-
plies, services, and construction under
EPA assistance agreements.
(3) Identifies an additional specifica-
tion requirement for procurement
under assistance agreements for the
construction of treatment works
awarded under 40 CFR Part 35, Sub-
parts E and I.
(4) Identifies the procurement
standards that institutions of higher
education and other nonprofit organi-
zations must follow.
(5) Identifies the provisions that re-
cipients of EPA assistance agreements
must include in their subagreements.
(6) Describes the procedures that
EPA will use to handle protest appeals
concerning the award of a subagree-
ment by the recipient of an EPA as-
sistance agreement.
(c) This part does not apply to work
beyond the scope of the project for
which an assistance agreement is
awarded (i e . ineligible work)
(d) This part does not apply to ex-
penses for services for which the recip-
ient will receive an allowance or a po-
tential recipient will receive an ad-
vance of an allowance under 40 CFR
Part 35, Subpart I. .
(e) This part supplements the re-
quirements UT
(1) 40 CFR Part 30 "General Regula-
tion for Assistance Programs,' and
(2) 40 CFR Part 32. "Debarments
and Suspensions under EPA Assist-
ance Programs."
(f) The following types of recipients
must comply with the specified sub-
parts in this part
(1) Recipients of assistance agree-
ments for the construction of treat-
ment works awarded under 40 CFR
All technical assistance grants are considered to
be "assistance agreements" and are therefore
subject to all of the appropriate requirements in
this regulation.
Grant recipients also must comply with 40 CFR
Parts 30 and 32
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Explanation of Key Provisions
projects within the scope of the prac-
tice of architecture or professional en-
gineering as defined by the laws of the
State or territory in which the recipi-
ent is located.
Construction Erection, budding, al-
teration, remodeling, improvement, or
extension of buildings, structures or
other property. Construction also in-
cludes remedial actions in response to
a release, or a threat of a release, of a
hazardous substance into the environ-
ment as determined by the Compre-
hensive Environmental Response.
Compensation, and Liability Act of
1980.
Contractor. Any party to whom a re-
cipient awards a subagreement.
Coat analysis. The review and eval-
uation of each element of subagree-
ment cost to determine reasonable-
ness, alienability and allowabllity.
Intergovernmental Agreement. Any
written agreement between units of
government under which one public
agency performs duties for or in con-
cert with another public agency using
EPA assistance This includes substate
and Interagency agreements.
Minority business enterprise. A mi-
nority business enterprise Is a business
which is: (1) Certified as socially and
economically disadvantaged by the
Small Business Administration. (2)
certified as a minority business enter-
prise by a State or Federal agency, or
(3) an independent business concern
which is at least 51 percent owned and
controlled by minority group
member(s) A minority group member
is an individual who is a citizen of the
United States and one of the follow-
ing:
(i) Black American;
(ii) Hispanic American (with origins
from Puerto Rico, Mexico, Cuba,
South or Central America),
(ill) Native American (American
Indian, Eskimo, Aleut, native Hawai-
ian), or
(iv) Asian-Pacific American (with
origins from Japan. China, the Philip-
pines. Vietnam. Korea, Samoa. Guam,
the U.S. Trust Territories of the Pacif-
ic, Northern Marianas. Laos. Cambo-
dia, Taiwan or the Indian subconti-
nent)
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Explanation of Key Provisions
property state will not be disqualified
because her husband has a 50 percent
interest in her share. Similarly, a busi-
ness which Is 51 percent owned by a
married man and 49 percent owned by
an unmarried woman will not-become
a qualified WBE by virtue of his wife's
50 percent interest in his share of the
business.
Subpart A—Procurement System
Evaluation
§33.105 Applicability and scope of this
subpart.
(a) This subpart applies to all recipi-
ents of EPA assistance agreements.
(b) For procurements involving EPA
funds, recipients shall use their own
procurement policies and procedures if
those policies and procedures reflect
applicable Federal, State, and local
laws and regulations, and at least meet
the requirements set forth in this
part.
(c) This subpart describes when EPA
will review the recipient's procure-
ment practices.
§33.110 Applicant and recipient certifica-
tion.
(a) It is the applicant's and recipi-
ent's responsibility to evaluate its own
procurement system and to determine
whether its system meets the applica-
ble requirements in this part (see
§ 33 001).
(b) After evaluating its procurement
system, the applicant or recipient will
complete the "Procurement System
Certification" (EPA Form 5700-48).
The applicant or recipient will either
certify that:
(1) Its system will meet the intent of
all the requirements in this part
before any procurement action with
EPA assistance is undertaken, or
(2) Its current system does not meet
the Intent of the requirements of this
part and, therefore, the applicant will
follow the requirements of 40 CFR
Part 33 and allow EPA preaward
review of proposed procurement ac-
tions that will use EPA f'jnds. The ad-
ditional requirements for EPA review
and approval are contained in Appen-
dix A to this part
All applicants and recipients must complete EPA
Form 5700-48, "Procurement System
Certification" (see sample in Chapter 4).
Few. if any, technical assistance grant recipients
will have an existing procurement system
Therefore, recipients must follow section
33.110(b)(2) and Appendix A of Part 33.
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Explanation of Key Provisions
(b) Even If a recipient has a certified
procurement system. EPA reserves the
right to review a recipient's procure-
ment system or procurement action
under an assistance agreement:
(I) To determine if the recipient is
following the procurement require-
ments in this part; or
(2) When there is sufficient reason
to believe that the recipient's system
may be unacceptable based on
(i) Information concerning the
review or certification of the recipi-
ent's procurement system or actions
by other Federal agencies or Congress,
(n) Information from the recipient's
cognizant audit agency.
(in) Information from State agencies
and organizations independent of the
recipient's procurement activity,
(iv) Recipient responses to the pro-
curement system certification form.
(v) Previous EPA experience with
the recipient, or
(vi) Information from contractors or
prospective contractors
(c) If the award official determines
that the recipient is not following the
procurement requirements it certified
it would follow, the award official
shall revoke the recipient's certifica-
tion and.
(1) Require that the recipient follow
the procurement requirements in this
part, including Appendix A, for future
procurement actions and. if appropri-
ate.
(2) Apply the sanctions in 40 CFR
Part 30.
(d) The recipient may recertify its
procurement system if it shows the
award official that it has corrected the
procurement deficiencies noted by the
award official, and the award official
accepts the recertification
Subpart B—Procurement
Requirement*
§33.205 Applicability and scope of this
subpart.
This subpart contains'
(a) The recipient's and EPA's re-
sponsibilities, and
(b) The minimum procurement
standards for each recipient's procure-
ment system
Recipients must be aware of EPA's right to review
the recipient's procurement system as provided in
section 33.115(b).
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Explanation of Key Provisions
§ 33.211 Recipient reporting requirements.
§33.220 Limitation of subagrement
award.
(a) The recipient shall award suba-
greements only to responsible contrac-
tors that possess the potential ability
to perform successfully under the
terms and conditions of a proposed
procurement. A responsible contractor
is one that has.
(1) Financial resources, technical
qualifications, experience, organiza-
tion and facilities adequate to carry
out the project, or a demonstrated
ability to obtain these;
(2) Resources to meet the comple-
tion schedule contained In the suba-
greement;
(3) A satisfactory performance
record for completion of subagree-
ments;
(4) Accounting and auditing proce-
dures adequate to control property,
funds and assets, as required in this
part and 40 CFR Part 30: and
(5) Demonstrated compliance or will-
ingness to comply with the civil rights.
equal employment opportunity, labor
law and other statutory requirements
under 40 CFR Part 30.
(b) The recipient shall not make
awards to contractors who have been
suspended, debarred, or voluntarily ex-
cluded under 40 CFR Part 32 nor shall
it permit any portion of the work re-
quired by the subagreement to be per-
formed at any facility listed on the
EPA List of Violating Facilities (see 40
CFR Part 15)
§ 33.225 Violations.
The recipient shall refer violations
of law to the local, State or Federal
authority with jurisdiction over the
matter (see 40 CFR 30 610)
[48 FR 12926. Mar 28. 1983, 48 PR 30364.
July 1. 19831
Section 33.211 applies only to construction
subagreements. Technical assistance grant
recipients will not be entering into construction
subagreements (text deleted).
Recipients will be responsible for assuring that any
contractors hired using technical assistance grant
funds meet the qualifications listed m section
33.220(a) and IFR section 35.4065 and are not
barred from EPA-funded work by the regulations
in section 33.220 (b).
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Explanation of Key Provisions
(c) Where the recipient receives two
or more bids, profit included in a for-
mally advertised, competitively bid.
fixed price subagreement shall be con-
sidered reasonable
(d) Off-the-shelf or catalog supplies
are exempt from this section.
§33.240 Small, minority, women's, and
labor surplus area businesses.
(a) It is EPA policy to award a fair
share of subagreements to small, mi-
nority, and women's businesses The
recipient must take affirmative steps
to assure that small, minority, and
women's businesses are used when pos-
sible as sources of supplies, construc-
tion and services. Affirmative steps
shall include the following
(1) Including qualified small, minori-
ty, and women's businesses on solicita-
tion lists:
(2) Assuring that small, minority,
and women's businesses are solicited
whenever they are potential sources;
(3) Dividing total requirements.
when economically feasible, into small
tasks or quantities to permit maxi-
mum participation of small, minority,
and women's businesses,
(4) Establishing delivery schedules,
where the requirements of the work
permit, which will encourage partici-
pation by small, minorit/. and
women's businesses,
(5) Using the services and assistance
of the Small Business Administration
and the Office of Minority business
Enterprise of the U.S Department of
Commerce, as appropriate, and
(6) If the contractor awards suba-
greements, requiring the contractor to
take the affirmative steps m para-
graphs (a) (1) through (5) of his sec-
tion
(b) [Reserved]
(c) EPA encourages recipients to
procure supplies and servn es from
labor surplus area firms
§33.245 Privity of subagreemeit.
Neither EPA nor the United States
shall be a party to any subagreement
nor to any solicitation or request for
proposals.
Recipients of technical assistance grants are not
required to comply with section 33.240. Instead.
they must comply with the requirements of 40 CFR
33.815(f)(2).
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Explanation of Key Provisions
name or equal" description as a means
to define the performance or other sa-
lient requirements of a procurement.
The recipient need not establish the
existence of any source other than the
named brand. Recipients must clearly
state in the specification the salient
requirements of the named brand
which must be met by offerers. (An
additional specification requirement
for recipients of assistance for the con-
struction of treatment works under 40
CFR Part 35, Subparts E and I is con-
tained in 5 33.710.)
§ 33.260 Intergovernmental agreements.
§ 33.265 Bonding and insurance.
§ 33.270 Code of conduct.
(a) Recipients shall maintain a writ-
ten code or standards of conduct
which shall govern the performance of
its officers, employees, or agents en-
gaged in the award and administration
of subagreements supported by EPA
funds No employee, officer or agent
of the recipient shall participate in
the selection, award or administration
of a subagreement supported by EPA
funds if a conflict of interest, real or
apparent, would be Involved.
(b) Such a conflict would arise when:
(1) Any employee, officer or agent of
the recipient, any member of their im-
mediate families, or their partners
have a financial or other interest in
the firm selected for award, or
(2) An organization which may re-
ceive or has been awarded a subagree-
ment employs, or is about to employ,
any person under paragraph (b)(l) of
this section.
Section 33.260 addresses State and local
intergovernmental agreements and Goes not apply
to the technical assistance grant program (text
deleted).
Section 33.265 applies to construction
subagreements. Construction activities will not be
funded by technical assistance grants (text de-
leted) .
Technical assistance grant recipients need not
have a written code of conduct See 40 CFR
33.815(6). Instead, recipients must comply with
the conflict of interest provisions m 40 CFR 33.270
and other conflict of interest requirements m 40
CFR 30.613.
Section 33 270 specifies a potenfal conflict of
interest among the grant recipient or their families
and an employee, officer, or agent and forbids
their participation in the selection, award, or
administration of a subagreement.
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Text of 40 CFR Part 33
Explanation of Key Provisions
by recipients or by a recipient's con-
tractors or subcontractors to the maxi-
mum daily rate for a GS-18. (Recipi-
ents may, however, pay consultants
more than this amount.) This limita-
tion applies to consultation services of
designated individuals with specialized
skills who are paid at a daily or hourly
rate This rate does not include trans-
portation and subsistence costs for
travel performed: recipients will pay
these in accordance with their normal
travel reimbursement practices.
(b) Subagreements with firms for
services which are awarded using the
procurement requirements in this part
are not affected by this limitation
[48 FR 12926. Mar 28. 1983. 48 FR 30364.
July 1. 1983)
§ 33.285 Prohibited types of subagree-
merits.
The cost-plus-percentage-of-cost
(eg. a multiplier which includes
profit) and the percentage-of-construc-
tion-cost types of subagreements shall
not be used
§ 33.290 Cost and price considerations.
(a) The recipient shall conduct a
cost analysis of all negotiated change
orders and all negotiated subagree-
ments estimated to exceed $10,000.
(b) The recipient shall conduct a
price analysis of all formally adver-
tised procurements estimated to
exceed $10.000 if there are fewer than
three bidders
(c) For negotiated procurement, con-
tractors and subcontractors shall
submit cost or pricing data in support
of their proposals to the recipient.
9 33 295 Subafreements awarded by a con-
tractor
A contractor must.-comply with the
following provisions in its award of su-
bagreements (This section does not
apply to a supplier's procurement of
materials to produce equipment, mate-
rials and catalog, off-the-shelf, or
manufactured items )
(a) 40 CFR Part 32 (Debarment and
Suspension Under EPA Assistance
Programs).
(b) The limitations on subagreement
award in § 33.220(a) (1) through (5),
These are two types of subagreements which
cannot be used. EPA will not pay any costs
associated with either of these two
subagreements.
Cost analysis is discussed in greater detail in
Chapter 5 and Appendix A of this manual.
Recipients who cannot certify their procurement
systems must ensure that cost data is submitted
on EPA Form 5700-41 (see Appendix A of Part
33)
Section 33 295 applies to contractors who elect to
subcontract some of their work out to other firms
or individuals.
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FORMAL ADVERTISING
§ 33.405 Formal advertising procurement
method.
(a) The requirements In §{33405
through 33.430 apply to all formally
advertised subagreements in excess of
$10,000. Formal advertising means the
public solicitation of sealed bids and
the award of a subagreement based on
a fixed price (lump sum, unit price, or
a combination of the two) to the
lowest, responsive, responsible bidder
(b) Formal advertising requires at a
minimum.
(DA complete, adequate and realis-
tic specification or purchase descrip-
tion of what is required:
(2) Two or more responsible bidders
which are willing and able to compete
effectively for the recipient's business,
(3) A procurement that lends itself
to the award of a fixed-price subagree-
ment; and
(4) That the selection of the success-
ful bidder be made principally on the
basis of price.
§33.410 Public notice and solicitation of
bids.
The recipient shall give adequate
public notice of the solicitation, invit-
ing bids and stating when and how the
bidding documents may be obtained or
examined
§ 33 415 Time for preparing bids.
The recipient must allow adequate
time between the date the public
notice is first published and the date
by which bids must be submitted
§ 33.420 Adequate bidding documents
Recipient's bidding documents shall
include.
(a) A complete statement of work to
be performed including, where appro-
priate, design drawings and specifica-
tions and the required performance
schedule.
(b) The terms and conditions of the
subagreement to be awarded, includ-
ing payment, delivery schedules, point
of delivery and acceptance criteria,
(c) A clear explanation of the recipi-
ent's method of bidding and the
method of evaluating bid prices, and
its basis and method for awarding the
subagreement,
Formal advertising is used when the recipient
knows exactly what it needs and is able to convey
its needs to prospective bidders. Awards must be
based on price. Technical assistance grant recipi-
ents are not required to use this method (40 CFR
33.815 (b)).
Adequate public notice requires advertising in
professional journals, newspapers, or publications
of general circulation over a reasonable area for at
least 30 days (see Appendix A of Part 33)
At least 30 days is required between the date of
public notice and the date bids are due (see
Appendix A of Part 33).
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§ 33.510 Public notice.
(a) The recipient must give adequate
public notice for competitively negoti-
ated procurements.
(b) The notice of a request /or pro-
posals must state how to obtain associ-
ated documents, including a copy of
§ 33 295, Subparts F and G. the basis
for subagreement award, and, if appro-
priate, EPA Form 5720-4 "Labor
Standard Provisions for Federally As-
sisted Construction Contracts."
(c) Requests for proposals must be
written, contain enough information
to enable a orospective offerer to pre-
pare a proposal, contain all evaluation
criteria and the relative importance
attached to each, and clearly state the
deadline and place to submit propos-
als.
[48 FR 12926. Mar 28. 1983. 48 FR 30364.
July 1. 1983]
§ 33.515 Evaluation of proposals.
(a) Recipients must uniformly and
objectively evaluate all proposals sub-
mitted in response to the request for
proposals.
(b) Recipients must base their deter-
minations of qualified offerers and ac-
ceptable proposals solely on the eval-
uation criteria stated in the request
for proposals.
§ 33.520 Negotiation and award of sub-
agreement.
(a) Unless the request for proposals
states that award may be based on ini-
tial offers alone, the recipient must
conduct meaningful negotiations with
the best qualified offerers with accept-
able proposals within the competitive
range, and permit revisions to obtain
best and final offers The best quali-
fied offerers must have equal opportu-
nities to negotiate or revise their pro-
posals. During negotiations, the recipi-
ent must not disclose the mdentity of
competing offerers or any information
from competing proposals
(b) The recipient must award the
subagreement to the responsible of-
feror whose proposal is determined in
writing to be the most advantageous
to the recipient, taking into consider-
ation price and other evaluation crite-
ria set forth in the request for propos-
als
Grant recipients must provide documents which
identify the criteria for the subagreement award.
Grant recipients can use only the evaluation
criteria stated in the request for proposals to
determine the most qualified contractor.
The best qualified contractors must have equal
opportunities to negotiate or revise their
proposals. Grant recipients shall not disclose the
identity of applicants nor disclose any information
from competing proposals during negotiations.
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I
NONCOMPETITIVE NEGOTIATION
§33.605 Noncompetitive negotiation pro-
curement method.
Recipients may use noncompetitive
negotiation to award a subagfeement
if the other three procurement meth-
ods are inappropriate because
(a) The item is available only from a
single source:
(b) A public exigency or emergency
exists and the urgency for the require-
ment will not permit a delay incident
to competitive procurement,
(c) After solicitation from a number
of sources, competition is inadequate;
or
(d) The EPA award official author-
izes noncompetitive negotiation, sub-
ject to the limitation in | 33 715(a)(2)
Subpart C—Requirement! for Recipi-
ent! of Assistance Agreements for
the Construction of Treatment
Works
§33.705 Applicability and scope of this
subpart
§ 33.710 Buy American
§ 33.715 Use of the same architect or engi-
neer during construction.
Subpart 0—Requirements for institu-
tions of Higher Education and
Other Nonprofit Organizations
§ 33.805 Applicability and scope of this
subpart.
Recipients who are subject to the
provisions of OMB Circular A-110.
"Grants and Agreements with Institu-
tions of Higher Education, Hospitals,
and Other Nonprofit Organizations"
are not subject to all-of the require-
ments in this part.
§33810 Nonapphcable subagreement
clauses
The following clauses in Subpart F
of this part do not apply to institu-
tions of higher education and other
nonprofit organizations
(a) Energy efficiency (§ 33 1021),
ib) Changes (§33 1030,3).
(c) Differing site conditions
(§33 1030,4), and
The noncompetitive negotiation method is allowed
only in the limited circumstances outlined in sec-
tion 33.605(a,b,c,d). Noncompetitive negotiation
is unlikely to be an appropriate method for most
technical assistance grant recipients to apply m
hiring a contractor.
This subpart applies to EPA's Wastewater
Treatment Construction Grants Program and does
not apply to Superfund (text deleted).
Technical assistance grant recipients meet the
definition of "Other Non-Prof it Organizations" m
Subpart D and thus are not subject to all of the
requirements in Part 33 Subpart D
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Text of 40 CFR Part 33
Explanation of Key Provisions
Subpart E—Requirement* for Recipi-
ents of Remedial Action Coopera-
tive Agreements Under the Com-
prehen>ive Environmental Re-
sponse, Compensation, and Liabil-
ity Act of 1980
§33.905 Applicability and scope of this
subpart.
§ 33.910 Preference for formal advertising.
§ 33.915 Award official approval.
Subpart F—Subagreemont Provisions
§33.1005 Applicability and scope of this
sub part.
(a) This subpart applies to ail EPA
recipients and describes the minimum
content of each subagreement (con-
tract and subcontract).
(b) Nothing in this subpart prohibits
a recipient from requiring more assur-
ances, guarantees, or indemnity or
other contractual requirements from
any party to a subagreement.
§33.1010 Requirements for subagreement
clauses.
Recipients shall include clauses that
meet the requirements of §§33.1015
through 33.1021, and the appropriate
clauses in § 33 1030, in each procure-
ment subagreement.
§33.1015 Subagreement provisions clause.
Each subagreement must include
provisions defining a sound and com-
plete agreement, including the.
(a) Nature, scope, and extent of
work to be performed,
(b) Timeframe for perfcrmance,
(c) Total cost of the SJbagreement;
and
(d) Payment provisions
§331016 Labor standards provisions
§33.1019 Patents data and copyrights
clause
Except for construction, grant sub-
agreements, all subagreements shall
include notice of EPA requirements
and regulations pertaining to report-
ing and patent rights under any suba-
Subpart E applies to construction subagreements.
Construction subagreements will not be funded by
technical assistance grants (text deleted).
Subpart F describes clauses that must be
contained in all subagreements between technical
assistance grant recipients and their contractors.
Section 33.1016 does not apply to technical assis-
tance grants (text deleted).
Section 33 1019 applies to patents and copyrights
involving research, development, experimental, or
demonstration work. Technical assistance grants
will usually not be used to pay for the kind of work
that might result in patentable or copyrighted
information or products.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of 40 CFR Part 33
Explanation of Key Provisions
agreement. This subagreement Is subject to
regulations contained in 40 CFR Part 33 In
effect on the date of the assistance award
for this project
3 CHANGES
(6) The following clause applies only to
subagreements for services U) The recipient
may at any time, by written order, make
changes within the general scope of this
subagreement in the services or work to be
performed If such changes cause an in-
crease or decrease in the contractor's cost or
time required to perform any services under
this subagreement. whether or not changed
by any order, the recipient shall make an
equitable adjustment and modify this suba-
greement in writing The contractor must
assert any claim for adjustment under this
clause in writing within 30 days from the
date it receives the recipient's notification
of change, unless the recipient grants addi-
tional time before the date of final pay-
ment
(2) No services for which the contractor
will charge an additional compensation
shall be furnished without the written au-
thorization of the recipient
(c) The following clause applies only to
subagreements for supplies (1) The recipi-
ent may at any time, by written order and
without notice to the sureties, change the
general scope of this subagreement in any
one or more of the following
(i) Drawings, designs or specifications
where the supplies to be furnished are spe-
cifically manufactured for the recipient.
(11) Method of shipment or packing, and
(111) Place of delivery
(2) If any change causes an increase or de-
crease in the cost or the time required to
perform any part of the work under this
subagreement. whether or not changed by
any such order, the recipient shall make an
equitable adjustment In the subagreement
agreement price or delivery schedule, or
both, and modify the subagreement in writ-
Ing. The contractor must assert any claim
for adjustment under this clause within 30
days from the date the contractor receives
the recipient's notification of change If the
recipient decides that the facts justify such
action, the recipient may receive and act
upon any such claim asserted at any time
before final payment under this subagree-
ment Where the cost of property made ob-
solete or excess as a result of a change is in-
cluded in the contractor's claim for adjust-
ment, the recipient has the right to pre-
scribe the manner of disposition of such
Clause 3 (a) applies only to construction subagree-
ments and, therefore, does not apply to technical
assistance grants (text deleted).
While the recipient of a technical assistance grant
may, at any time, change the scope of services to
be performed by a contractor, the recipient must
equitably adjust the subagreement's provisions for
paying the contractor if these changes alter the
costs or time required by the contractor to do
work. The contractor may initiate a request for
such an adjustment, but must do so within 30 days
of notification of changes in the scope of work.
The contractor may not perform services that will
require compensation in excess of what is pro-
vided in the subagreement unless he or she has
written authorization,
The recipient of a technical assistance grant may
change certain aspects (i - lii) of the products ex-
pected from a contractor by written order at any
time. However, equitable compensation must be
provided if costs on time required of the contrac-
tor change. The contractor's requirements for re-
questing such an adjustment are also the same as
in 3(a).
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Text of 40 CFR Part 33
Explanation of Key Provisions
(d) Upon receipt of a termination action
under paragraphs (a) or (b) above, the con-
tractor shall (1) promptly discontinue all af-
fected work (unless the notice directs other-
wise), and (2) deliver or otherwise make
available to the recipient all data, drawings.
specifications, reports, estimates, summaries
and such other Information and materials
as may have been accumulated by the con-
tractor in performing this subagreement.
whether completed or in process.
(e) Upon termination under paragraphs
(a) or (b) above, the recipient may take over
the work and may award another party a
subagreement to complete the work under
this subagreement
(O If. after termination for failure of the
contractor to fulfill contractual obligations.
it Is determined that the contractor had not
failed to fulfill contractual obligations, the
termination shall be deemed to have been
for the convenience of the recipient. In such
event, adjustment of the subagreement
price shall be made as provided In para-
graph (c) of this clause.
7 REMEDIES
Unless otherwise provided in this sub-
agreement, all claims, counter-claims, dis-
putes and other matters in question be-
tween the recipient and the contractor aris-
ing out of. or relating to. this subagreement
or the breach of It will be decided by arbi-
tration If the parties mutually agree, or In a
court of competent jurisdiction within the
State In which the recipient Is located
8. PRICE REDUCTION FOR DETECTIVE COST OR
PRICING DATA
[Note' The following clause applies to (1)
any subagreement negotiated between the
recipient and its contractor in excess of
$100,000; (2) negotiated subagreement
amendments or change orders in excess of
$100,000 affecting the price of formally ad-
vertised, competitively awarded, fixed price
subagreement. or (3) any lower tier sub-
agreement or purchase order in excess of
$100,000 under a subagreement other than a
formally advertised, competitively awarded.
fixed price subagreement. This clause does
not apply to subagreemehts awarded on the
basis of effective price competition ]
(a) The contractor and subcontractor,
where appropriate, assure that the cost and
pricing data submitted for evaluation with
respect to negotiation of prices for negotiat-
ed subagreements, lower tier subagreements
and change orders Is based on current, accu-
rate and complete data supported by their
books and records If the recipient or EPA
determines that any price (including profit)
negotiated in connection with this subagree-
ment, lower tier subagreement or amend-
ment thereunder was increased by any sig-
nificant sums because the data provided was
Clause 8. price reduction for defective cost on
pricing data, does not apply to technical
assistance grants which do not exceed $100,000.
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Text of 40 CFR Part 33
Explanation of Key Provisions
(d) The contractor agrees to disclose all
information and reports resulting from
access to records under paragraphs (a) and
(b) of this clause to any of the agencies re-
ferred to in paragraph (a)
(e) Records under paragraphs (a) and (b)
above shall be maintained by the contractor
during performance on EPA assisted work
under this subagreement and for the time
periods specified in 40 CFR Part 30 In addi-
tion, those records which relate to any con-
troversy arising under an EPA assistance
agreement, litigation, the settlement of
claims arising out of such performance or to
costs or items to which an audit exception
has been taken shall be maintained by the
contractor for the time periods specified in
40 CFR Part 30
(f) Access to records Is not limited to the
required retention periods The authorized
representatives designated in paragraph (a)
of this clause shall have access to records at
any reasonable time for as long as the
records are maintained
(g) This right of access clause applies to fi-
nancial records pertaining to all subagree-
ments (except formally advertised, competi-
tively awarded, fixed price subagreemenLs)
and all subagreement change orders regard-
less of the type of subagreement. and all
subagreement amendments regardless of
the type of subagreement In addition this
right of access applies to all records pertain-
ing to all subagreements, subagreement
change orders and subagreement amend-
ments
(1) To the extent the records pertain di-
rectly to subagreement performance.
(2) If there Is any Indication that fraud.
gross abuse or corrupt practices may be In-
volved, or
(3) If the subagreement is terminated for
default or for convenience
10 COVENANT AGAINST CONTINGENT FEES
The contractor assures that no person or
selling agency has been employed or re-
tained to solicit or secure this subagreement
upon an agreement or understanding for a
commission, percentage, brokerage or con-
tingent fee excepting bona fide employees
or bona fide established commercial or sell-
ing agencies maintained by the contractor
for the purpose of securing business For
breach or violation of this assurance, the re-
cipient shall have the right, to annul this
agreement unhout liability or, al us dibcre-
uon to deduct from the subagreement price
or consideration, or otherwise recover the
full amount of such commission, percent-
age, brokerage or contingent fee
The grant recipient must assure that no one has
been employed to secure this subagreement for
contingent fees. If this assurance is violated, re-
cipients shall have the right to annul the
agreement without liability, or recover the
contingent fee.
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Text of 40 CFR Part 33
Explanation of Key Provisions
owner's nor EPA's review, approval, accept-
ance or payment for any of the services
shall be construed as a waiver of any rights
under this agreement or of any cause for
action arising out of the performance of this
subagreement
(4) The contractor shall be. and shall
remain, liable in accordance with applicable
law for all damages to the owner or EPA
caused by the contractor's negligent per-
formance of any of the services furnished
under this subagreement. except for errors.
omissions or other deficiencies to the extent
attributable to the owner, owner-furnished
data or any third party The contractor
shall not be responsible for any time delays
in the project caused by circumstances
beyond the contractor's control
(5) The contractor's obligations under this
clause are in addition to the contractors
other express or implied assurances under
this subagreement or State law and In no
way diminish any other rights that the
owner may have against the contractor for
faulty materials, equipment or work
(b) The following clause applies only to
subagreements for construction
14 FINAL PAYMENT
Upon satisfactory completion of the work
performed under this subagreement. as a
condition before final payment under this
subagreement or as a termination settle-
ment under this subagreement the contrac-
tor shall execute and deliver to the owner a
release of all claims against the owner aris-
ing under, or by virtue of. this subagree-
ment, except claims which are specifically
exempted by the contractor to be set forth
therein Unless otherwise provided in this
subagreement. by State law or otherwise ex-
pressly agreed to by the parties to this sub-
agreement, final payment under this sub-
agreement or settlement upon termination
of this subagreement shall not constitute a
waiver of the owner's claims against the
contractor or his sureties under this sub-
agreement or applicable performance and
payment bonds
[48 FR 12926. Mar 28. 1983. 48 FR 30365.
July 1. 19831
Subport G—Protests
§33.1105 Applicability and scope of this
subpart.
This subpart sets forth EPA's ad-
ministrative process for the rapid reso-
lution of protest appeals filed with the
award official
Clause I3(b) does not apply to technical assis-
tance grants since construction activities will not
be undertaken (text deleted).
The contractor shall provide to the grant recipient
a release of all claims against the recipient as a
condition of final payment.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of 40 CFR Part 33
Explanation of Key Provisions
§33.1125 Filing requirements.
(a) Protest appeals must be filed
with the Assistant General Counsel
for Grants for headquarters-awarded
assistance agreements and with the
Office of Regional Counsel for region-
ally awarded assistance agreements.
(b) A protest appeal must:
(1) Be written;
(2) Include a copy of the recipient's
determination of the protest.
(3) State the basis for the appeal;
and
(4) Request a determination under
this subpart.
(c) Upon filing a protest appeal with
the Regional Counsel or Assistant
General Counsel for Grants, as appro-
priate, the party filing the protest
appeal must concurrently transmit a
copy of all protest documents and any
attachments to all other parties with a
direct financial interest which may be
adversely affected by the determina-
tion of the protest appeal
(d) The award official will only con-
sider written protest appeals received
by the appropriate Counsel's office
within seven calendar days after the
adversely affected party receives the
recipient's determination of protest.
However, the adversely affected party
can meet the seven-day notice require-
ment by telegraphing the Counsel
within the seven-calendar-day period
of its intent to file a protest appeal,
provided the adversely affected party
submits a complete protest appeal
within seven calendar days of the date
it sends the telegram. If the seventh
day falls on a Saturday, Sunday or
holiday, the next working day shall be
the last day to submit a protest
appeal.
(e) Any party which submits a docu-
ment to the award official during the
course of a protest appeal must simul-
taneously furnish all other affected
parties with a copy of the document
(48 FR 12926, Mar 28. 1983. 48 FR 30365,
July 1. 1983]
§ 33.1130 Review of protest appeal
(a) If the recipient does not receive
the initial protest before bid opening
or the closing date for receipt of pro-
posals, the award official may dismiss
Section 33.1125 describes the administrative
process involved in filing a protest appeal.
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Text of 40 CFR Part 33
Explanation of Key Provisions
favorable to the protester, the award
official believes that the protest lacks
merit.
(d) The award official will give both
the recipient and the protester, as well
as any other party with a financial in-
terest which may be adversely affected
by the determination of protest, an op-
portunity to present arguments in sup-
port of their views in writing or at a
conference.
(e) After the announced date for re-
ceipt of written arguments, the record
shall be closed.
(f) The award official shall review
the record considered by the recipient
and any other documents or argu-
ments presented by the parties to de-
termine whether the recipient has
complied with the procurement re-
quirements of this part and has a ra-
tional basis for its determination of
protest.
(g) The award official's determina-
tion shall constitute final EPA action
from which there shall be no further
administrative appeal. No party may
appeal an award official's determina-
tion of appeal to the EPA Board of As-
sistance Appeals.
(h) Nothing in this subpart pre-
cludes the award official from review-
ing the recipient's procurement action.
(Sees 33.115.)
(i) Noncompliaiice with the award
official's determination of protest
shall be cause for an action against
the recipient under 40 CFR Part 30 or
32.
(j) If an appeal involves legal issues
not explicitly addressed by this part.
the award official shall resolve the
Issue by referring to other protest de-
terminations under this section and
decisions of the Comptroller General
of the United States or of the Federal
courts addressing -Federal require-
ments comparable to procurement re-
quirements of this part
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
OFFICE OF MANAGEMENT AND BUDGET - Circular A-122
Selected Excerpts - Cost Principles
Text of OMB Circular A-122
Of FICE Of MANAGEMENT AND
BUDGET
Circular A-122. "Coat Principle* for
Nonprofit Organization*"
(Not*- This repnnl incorporates correction!
published al 46 FR 17185. Tuesday. March 17,
1981 |
AQENCV: Office of Management and
Budget.
L Background of Circular A-122
Circular A-122, "Cost Principles for
Nonprofit Organization*," establishes
uniform rules for determining the cosu
of grants, contracts, and other
agreements.
In general, the Circular provides that, to
b« recovered rrom the Federal
government, costs incurred by grantees
ana contractor] must be necessary.
reasonaoie. and related to the federally-
sponsored activity. In addition, cosu
Bust be legal proper, and consistent
with the policies that govern the
organisation's other expenditures.
Tha disallowance of lobbying costs la
this revision la comparable to the
disallowance by Circular A-122 of other
costs which an not reimbursed on
grounds of public policy, such as
advertising, fandraisuig expenses and
entertainment In each of these
Instances, a determination has been
mada that it would not be appropriate or
cost-efficient to permit Federal tax
dollars to be used for these purposes. In
any event it should be noted that
lobbying cosu are currently
unallowable; as indicated throughout
this revision is intended to clanfy and
m«ic« mora uniform the meaning and
application of that bar
II General Principles
A Basic Considerations
\ Composition of total costs The total cost
of an award is the sum of the allowable
direct and allocable indirect costs less any
applicable credits
Explanation of Key Provisions
This text includes excerpts from Circular A-122.
Sections relevant to cost principles for nonprofit
organizations have been included.
This text is taken from the preamble of the revision
to Circular A-122.
This text is taken from Attachment A of Circular
A-122
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of OMB Circular A-122
Explanation of Key Provisions
(1) b incurred tpeciflcally for the award
(2) Benefit* both the award and other work
and can b« distributed in reasonable
proportion to the benefit* received, or
(3) Is necetsary to the overall operation of
the organization, although a direct •
relationship to any particular cost obiective
cannot be shown.
b. Any cost allocable to a particular award
or other cost obiective under these principles
may not be shifted to other Federal awards to
overcome funding deficiencies, or to avoid
restrictions imposed by law or by the term*
of the award.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Text of OMB Circular A-122
Explanation of Key Provisions
1. Insert o new paragraph In
attachment B. ao folio wo: "B21
Lobbying"
Q. Notwithstanding other proviolono of
thio Circular, coots eooocialed with the
following QCtlvitleo are unallowable:
a.(l) Attempto to influence the
outcomeo of any Federal State, or local
election, referendum. Initiative, or
oimilar procedure, through in kind or
caoh contributiono. endorsements,
publicity, or oimilar activity;
a.(2) Establishing. admlnJotering,
contributing to, or paying the expensed
of a political party, campaign, political
action committee, or other organization
eatabliohed for the purpose of
influencing the outcomeo of electlono;
o.(3) Any attempt to Influence: (I)
introduction of Federal or otato
legiolalion: or (11) the enactment or
modification of any pending Federal or
otate legislation through communication
with any member o? employee of the
Congreoo or otate legislature (Including
efforts to Influence State or local
official to engage in oimilar lobbying
activity), or with any government
official or employee in connection with
a decision to sign or veto enrolled
legislation:
a.(4) Any attempt to influence: (I) The
Introduction of Federal or otate
legislation: or (U) the enactment or
modification of any pending Federal or
otate legiolation by preparing.
distributing or using publicity or
propaganda, or by urging membero of
the general public or any oegment
thereof to contribute to or participate in
any maoo demonstration, march, rally.
fundraislng dnve. lobbying campaign or
letter writing or telephone campaign: or
a.(5) Legislative liaison acuviueo.
including attendance at legislative
seosiono or committee hearings.
gathering Information regarding
legislation, and analyzing (ha effect of
legislation, when such ecllvliiec an
carried on in oupport of or In knowing
preparation for an effort to engage in
unallowable lobbying.
b. The following acuvitiea ore
excepted from the coverage of
oubparagraph a:
The actual revisions to Circular A-122 relevant to
lobbying are included below.
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
APPENDIX E
CHECKLISTS FOR TECHNICAL ASSISTANCE GRANT
APPLICANTS AND RECIPIENTS
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
Checklist for Technical Assistance Grant Applicants and Recipients
APPLYING FOR A GRANT:
(1) File a letter of intent with EPA.
(2) Complete the grant application package:
* EPA Form 5700-33. "State and Local Nonconstruction Programs," the grant applica-
tion form;
* Part IV of EPA Form 5700-33 form;
- Qualifications of the Applicant;
- Scope of Services; and
* EPA Form 5700-48, "Procurement System Certification."
(3) Contact the appropriate State office (see Appendix C) to comply with the
intergovernmental review process, if appropriate.
(4) Send a completed and signed grant application to EPA.
(5) If the grant is awarded, sign and return the grant agreement to EPA within three calendar
weeks.
(6) If necessary, file the necessary documents for incorporation with the appropriate State
agency upon receipt of notification of award and prior to signing the grant agreement.
HIRING A TECHNICAL ADVISOR:
(1) Select a procurement method1
* Small purchase;
* Competitive negotiation;
* Formal advertising; or
^ Noncompetitive negotiation.
Prepare for the files a memorandum outlining the reasons for selecting the chosen
procurement method.
(2) Prepare a Request for Proposals (RFP) if using competitive negotiation.
(3) Publish public notice advertising for technical advisor or distribute information to
interested parties.
(4) Send out RFP
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
INDEX
Page
Allowable Costs 90. 110, m
Amendments 1, 41. 78. 79, 98
Applicant Qualifications 3, 5, 27, 46
Application Process 3. 5. 8, 43. 46. 47, 76, 78. 85
Assistance Agreement • • • • 111,116
Audit Procedures 103, 128
Award .... 2. 4. 8. 27, 32. 34, 36. 43. 44, 47. 48. 76-81, 87-93. 96. 99. 103. 110-113. 119, 128
Award Official 76, 77, 79-81. 93. 110, 111
Award Process 8- 43. 76
B
Bids 89. 93
Budget 3, 5, 8, 35. 37. 46-48. 55. 76. 79-81. 95. 98. 99, 103. 111. 113. 116. 123
Budget Period 37.47,48,79-81.98,99.113.123
c
Certification 3, 19. 20, 46. 55. 73-75. 88
Change Order 90. 98
Changes 17. 78. 79. 90, 98
Closeout -20
Comment Period 16-18. 20. 21
Community Halations 9. 14, 17
Competitive Negotiation Procurement Method 4. 92, 93. 95. 96
Comprehensive Environmental Response. Compensation, and Liability Act of 1980 (CERCLA) .... 1,
.. 9-11,15,16,21,27,35,41
Conflict of Interest 85-88. 99, 100
Consolidation 3, 76
Continuation Application . 43, 47, 79-81, 99
Contractor 18.19,38,88.95.99
Contracts 5,19.42.43.46.83,98,99,103
Cost Analysis 21, 89, 90, 92
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
INDEX (continued)
Page
Grant Agreement 30. 41. 76-81. 103. 110-112. 116
Ground Water 12. 84
H
L
Hazard Ranking System (HRS) 12
Hazardous Substances 10. 12, 14. 21. 28
Health Assessment 9,15
In-Kind Contribution 37. 38. 110, 111
Incorporation 30, 34, 39. 40
Indirect Costs 79
Ineligible Activities 34, 35, 38
Ineligible Groups 28
Information Repository 119
Interest 3. 29. 32. 44. 79, 85-88. 90. 99. 100. 112. 113
Intergovernmental Review 3. 75. 76. 80
Lead Agency 10.16-18
Letter of Intent 3. 44-46
M
N
Master List 87. 91
Matching Funds Requirement 5. 34. 37, 40-42. 76, 79. 81, 104
Minority Business Development 91
Minority Business Enterprise (MBE) 119
National Contingency Plan (NCP) 11. 17. 20, 28
National Priorities List (NPL) 1, 10-13. 15. 16. 20. 21. 27. 28. 40. 41. 84. 85, 88
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The Citizens' Guidance Manual for the Technical Assistance Grant Program
INDEX (continued)
Page
Q
Questioned Costs 90
R
Reasonable Costs 34, 86, 90. 95. 113
Record of Decision (ROD) 17. 18. 41
Recordkeepmg 5. 8, 29, 97, 103. 128
Regional Administrator 76-78, 80
Reimbursement 30. 37, 77, 104. 129
Remedial Action (RA) 9.11. 16-20. 40, 41. 84
Remedial Design (RD) 9. 11. 18, 19.41
Remedial Investigation/Feasibility Study.(RI/FS) 11, 13-18. 20. 43. 44, 48
Remedial Response 1.9. 10. 12, 48, 84
Removal Action 11. 12, 21. 44
Reporting Requirements 29, 77, 103, 116
Request for Proposals (RFP) 4. 40. 88. 92. 93, 95-97. 110
Request for Reimbursement 30
Response Action 10-14, 19. 28. 32, 43, 44, 47
Responsibility Requirements 27, 29, 30. 36
Responsible Party 18-20. 35
Responsiveness Summary ... 17, 20
Risk Assessment 14- 15. 84
S
Scope of Services 8, 22. 48. 55. 79. 81. 119
Site Inspection (SI) n~13
Small Purchase Procurement Method 4. 83, 91 -93
Subagreement 4. 5, 8. 39. 40. 43, 83, 86. 88-93, 95-101. 110. 119
Submission of Grant Application • -75
Superfund 1.5. 8-14. 21, 22. 29. 32. 34. 36. 40. 41. 43, 44. 48, 83. 84. 99. 119
Superfund Amendments and Reauthorization Act of 1986 iSARA) 1
Superfund Program 1. 5. 9. 12, 41. 43. 99. 119
1-5
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SMARTER 1 OVERVIEW
CHAPTER 2 USING TECHNICAL ASSISTANCE IN THE SUPERFUND REMEDIAL PROCESS
CHAPTER 3 REQUIREMENTS OF THE TECHNICAL ASSISTANCE GRANT PROGRAM
CHAPTER 4 GRANT APPLICATION AND AWARD PROCESS
CHAPTER 5 HOW TO HIRE TECHNICAL ADVISORS
CHAPTER 8 MANAGING TECHNICAL ASSISTANCE GRANTS
APPENDIX A SAMPLE MATERIALS TO BE PREPARED BY GRANT APPLICANTS AND RECIPIENTS
APPENDIX B BLANK FORMS
APPENDIX C KEY CONTACTS FOR THE TECHNICAL ASSISTANCE GRANT PROGRAM
APPENDIX D SELECTED REGULATORY TEXT
APPEN'DIX E CHECKLIST FOR TECHNICAL ASSISTANCE GRANT APPLICANTS AND RECIPIENTS
INDEX
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DIRECTIVE NUMBER:
IlIlE? .Citizens' Guidance Manual for the
APPROVAL DATE:
EFFECTIVE DATE;
ORIGINATING OFFICE:
O FINAL '• -^ '-"fi-'p
QDRAFT
STATUS-
TATUS.
REFERENCE (ottwdocum^tt)
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."Mec 5.aies ci"r~nmen'}i 3-;;ec,:cn Agency
Washington DC 2D460
OSWER Directive Initiation Request
2 Originator Information
Name of Contact Person
Daphne Genmill
Mail Code lOffice
' WH 548-E ! OERR/HSCn/SLCB
iTelepnors Coce
382-2460
3 '.tie
Citizens' Guidance Manual for the Technical Assistance
firant Program
4~ Summary ol Directi.e !>nc.uce Cnef statement of ourpose)
CERCLA, as amended, authorizes technical assistance grant of $50,ODO per site fo
the duration of site response activities. The grant and regulations found in 40
CFR Parts, 30 and 33 pe~tain to all EPA g-ant programs. The time to complete the
technical assistance g~ant awa-d process will diffe* f rpm_ onp_site to anothe".
5 Keyworcs Super f urd , CERCLA, SARA
Comrnunity Relations, firants, Technical Assistance
6a ^oes This Directive Supersece revious uirec'.ive(s)'
b Does It Supplement Previous Directivels)1
N°
Yes Whai directive (number, title)
Yes What directive (number Mle)
7 Draft Level
A - Signed by AA/OAA
8 - Signed by Office Director i(X C - For Review & Comment
0 - In Development
8. Document to be distributed to States by Headquarters? )
X
Yes
No
This Request Meals O
Directives System^ormat Standards
9 Signature of L- / -tftfif •.r-^^«,:«ir^,'s-.*'-.i_:».»v.
. » <•>/.o:fiaJ.-.*-.*.--. •..-„•. •
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