Document ID: EPA-R10-OAR-2017-0582-0032
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2018-05-11T04:00Z

Administrative Conditions
1.   General Terms and Conditions - Effective 10/06/2015

The recipient agrees to comply with the current EPA general terms and conditions available at: http://www2.epa.gov/sites/production/files/2015-10/documents/general_tc_as_of_10-6-2015.pdf. These terms and conditions are in addition to the assurances and certifications made as part of the award and terms, conditions or restrictions cited below.

The EPA repository for the general terms and conditions by year can be found at: http://www2.epa.gov/grants/grant-terms-and-conditions.

2.   General Terms and Conditions - Consultant Cap - Additional Information

In addition to the General Terms and Conditions #6 "Consultant Cap", as of January 1, 2015, the limit is $608.34 per day $76.04 per hour.  

NOTE:  For future years' limits, the recipient may find the annual salary for Level IV of the Executive Schedule on the following Internet site:  http://www.opm.gov/oca.   Select "Salary and Wages", and select "Rates of Pay for the Executive Schedule".   The annual salary is divided by 2087 hours to determine the maximum hourly rate, which is then multiplied by 8 to determine the maximum daily rate.

3.   General Terms and Conditions  -  Cybersecurity

The recipient agrees to comply with the current EPA general terms and conditions "Cybersecurity".  The terms and conditions can be found on the EPA Grants Terms and Conditions Website.

For STATE: http://www2.epa.gov/sites/production/files/2015-07/documents/state_grant_cyber_security_condition.pdf.

For TRIBE: http://www2.epa.gov/sites/production/files/2015-07/documents/tribal_grant_cyber_security_condition.pdf.

For Other Recipients: http://www2.epa.gov/sites/production/files/2015-07/documents/cyber_security_grant_condition_for_other_recipients.pdf. 

4.   General Terms and Conditions - Indirect Costs for States and Tribal

The cost principles of 2 CFR 200 Subpart E are applicable, as appropriate, to this award.

In addition to the General Terms and Conditions #12 "Indirect Cost Rate Agreements", if the recipient does not have a previously established indirect cost rate, it agrees to prepare and submit its indirect cost rate proposal in accordance with 2 CFR 200 Appendix VII.

For State Agencies

The recipient must send its proposal to its cognizant federal agency within six (6) months after the close of the governmental unit's fiscal year.  If EPA is the cognizant federal agency, the state recipient must send its indirect cost rate proposal within six (6) months after the close of the governmental unit's fiscal year to:

      Regular Mail

      Financial Analysis and Rate Negotiation Service Center
      Office of Acquisition Management
      U.S. Environmental Protection Agency
      1200 Pennsylvania Avenue, NW, MC 3802R
      Washington, DC 20460

      Mail Courier (e.g. FedEx, UPS, etc.)

      Financial Analysis and Rate Negotiation Service Center
      Office of Acquisition Management 
      US Environmental Protection Agency 
      1300 Pennsylvania Avenue, NW, 6th floor
      Bid and Proposal Room Number 61107
      Washington, DC 20004
      
      
For Indian Tribe

If the recipient does not have a previously established indirect cost rate, the recipient must submit their indirect cost rate proposals to:

                              National Business Center
                               Indirect Cost Services
                           U.S. Department of the Interior
                           2180 Harvard Street, Suite 430
                              Sacramento, CA 95815-3317

The recipient agrees to comply with the audit requirements in accordance with 2 CFR 200 Subpart F.

5.   Expired Indirect Cost Rate Agreement

The indirect cost rate agreement on file with EPA expires/d 06/30/2016.  In order to charge for indirect costs beyond that date, we must have a copy of an approved agreement in our files.  If you have not yet received an approval of an indirect cost rate from your cognizant agency, please submit a copy within 30 days of approval to the EPA Region 10.  If you have an approved rate agreement, please provide a copy with the signed Assistance Agreement.

Please send the indirect cost rate documentation to EPA Region 10, Grants Administration Unit, 1200 Sixth Avenue, Suite 900, Mailcode: OMP-173, Seattle, WA  98101 or FAX to (206) 553-4957.

6.   UTILIZATION OF SMALL, MINORITY AND WOMEN'S BUSINESS ENTERPRISES (MBE/WBE)

GENERAL COMPLIANCE, 40 CFR, Part 33
The recipient agrees to comply with the requirements of EPA's Disadvantaged Business Enterprise (DBE) Program for procurement activities under assistance agreements, contained in 40 CFR, Part 33.

MBE/WBE REPORTING, 40 CFR, Part 33, Subpart E
MBE/WBE reporting is required in annual reports. Reporting is required for assistance agreements where there are funds budgeted for procuring construction, equipment, services and supplies, including funds budgeted for direct procurement by the recipient or procurement under subwards or loans in the "Other" category that exceed the threshold amount of $150,000., including amendments and/or modifications.

Based on EPA's review of the planned budget, this award meets the conditions above and is subject to the Disadvantaged Business Enterprise (DBE) Program reporting requirements. However, if recipient believes this award does not meet these conditions, the recipient must provide a justification and budget detail within 21 days of the award date clearly demonstrating that, based on the planned budget, this award is not subject to the DBE reporting requirements to the Region 10 DBE Coordinator.

The recipient agrees to complete and submit a "MBE/WBE Utilization Under Federal Grants, Cooperative Agreements and Interagency Agreements" report (EPA Form 5700-52A) on an annual basis. All procurement actions are reportable, not just that portion which exceeds $150,000.

When completing the annual report, recipients are instructed to check the box titled "annual" in section 1B of the form. For the final report, recipients are instructed to check the box indicated for the "last report" of the project in section 1B of the form. Annual reports are due by October 30[th] of each year. Final reports are due by October 30[th] or 90 days after the end of the project period, whichever comes first.

The reporting requirement is based on total procurements. Recipients with expended and/or budgeted funds for procurement are required to report annually whether the planned procurements take place during the reporting period or not. If no budgeted procurements take place during the reporting period, the recipient should check the box in section 5B when completing the form.

The current EPA Form 5700-52A can be found at the EPA Office of Small Business Program's Home Page at http://www.epa.gov/osbp/dbe_reporting.htm.

This provision represents an approved deviation from the MBE/WBE reporting requirements as described in 40 CFR, Part 33, Section 33.502; however, the other requirements outlined in 40 CFR Part 33 remain in effect, including the Good Faith Effort requirements as described in 40 CFR Part 33 Subpart C, and Fair Share Objectives negotiation as described in 40 CFR Part 33 Subpart D and explained below.

SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C
Pursuant to 40 CFR, Section 33.301, the recipient agrees to make the following good faith efforts whenever procuring construction, equipment, services and supplies under an EPA financial assistance agreement, and to require that sub-recipients, loan recipients, and prime contractors also comply. Records documenting compliance with the six good faith efforts shall be retained:  
   
      (a) Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities. For Indian Tribal, State and Local and Government recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are potential sources.
      
      (b) Make information on forthcoming opportunities available to DBEs and arrange time frames for contracts and establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation by DBEs in the competitive process. This includes, whenever possible, posting solicitations for bids or proposals for a minimum of 30 calendar days before the bid or proposal closing date.
      
      (c) Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs.  For Indian Tribal, State and local Government recipients, this will include dividing total requirements when economically feasible into smaller tasks or quantities to permit maximum participation by DBEs in the competitive process.
      
      (d) Encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually.
      
      (e) Use the services and assistance of the SBA and the Minority Business Development Agency of the Department of Commerce.
      
      (f) If the prime contractor awards subcontracts, require the prime contractor to take the steps in paragraphs (a) through (e) of this section.

CONTRACT ADMINISTRATION PROVISIONS, 40 CFR, Section 33.302
The recipient agrees to comply with the contract administration provisions of 40 CFR, Section 33.302.

BIDDERS LIST, 40 CFR, Section 33.501(b) and (c)
Recipients of a Continuing Environmental Program Grant or other annual reporting grant, agree to create and maintain a bidders list.  Recipients of an EPA financial assistance agreement to capitalize a revolving loan fund also agree to require entities receiving identified loans to create and maintain a bidders list if the recipient of the loan is subject to, or chooses to follow, competitive bidding requirements. Please see 40 CFR, Section 33.501 (b) and (c) for specific requirements and exemptions.

FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D

      1.  For Grant Awards $250,000 or Less

This assistance agreement is a Technical Assistance Grant (TAG); or the award amount is $250,000 or less; or the total dollar amount of all of the recipient's financial assistance agreements from EPA in the current Federal fiscal year is $250,000 or less. Therefore, the recipient of this assistance agreement is exempt from the fair share objective requirements of 40 CFR, Part 33, Subpart D, and is not required to negotiate fair share objectives/goals for the utilization of MBE/WBEs in its procurements. 

      2.  For Recipients Accepting Goals

A recipient must negotiate with the appropriate EPA award official, or his/her designee, fair share objectives for MBE and WBE participation in procurement under the financial assistance agreements.

In accordance with 40 CFR, Section 33.411 some recipients may be exempt from the fair share objectives requirements as described in 40 CFR, Part 33, Subpart D. Recipients should work with their DBE coordinator, if they think their organization may qualify for an exemption.

Accepting the Fair Share Objectives/Goals of Another Recipient
The dollar amount of this assistance agreement, or the total dollar amount of all of the recipient's financial assistance agreements in the current federal fiscal year from EPA is $250,000, or more. The recipient accepts the applicable MBE/WBE fair share objectives/goals negotiated with EPA.  The Region 10 fair share objectives/goals can be found: http://www.epa.gov/osbp/pdfs/r10_fair_share_goals.pdf. 

By signing this financial assistance agreement, the recipient is accepting the fair share objectives/goals and attests to the fact that it is purchasing the same or similar construction, supplies, services and equipment, in the same or similar relevant geographic buying market.

Negotiating Fair Share Objectives/Goals, 40 CFR, Section 33.404	
The recipient has the option to negotiate its own MBE/WBE fair share objectives/goals.  If the recipient wishes to negotiate its own MBE/WBE fair share objectives/goals, the recipient agrees to submit proposed MBE/WBE objectives/goals based on an availability analysis, or disparity study, of qualified MBEs and WBEs in their relevant geographic buying market for construction, services, supplies and equipment.
   
The submission of proposed fair share goals with the supporting analysis or disparity study means that the recipient is not accepting the fair share objectives/goals of another recipient. The recipient agrees to submit proposed fair share objectives/goals, together with the supporting availability analysis or disparity study, to the Regional MBE/WBE Coordinator within 120 days of its acceptance of the financial assistance award.  EPA will respond to the proposed fair share objective/goals within 30 days of receiving the submission. If proposed fair share objective/goals are not received within the 120 day time frame, the recipient may not expend its EPA funds for procurements until the proposed fair share objective/goals are submitted.   

      3.  For Recipients with Established Goals

The recipient must negotiate with the appropriate EPA award official, or his/her designee, fair share objectives for MBE and WBE participation in procurement under the financial assistance agreements.

In accordance with 40 CFR, Section 33.411 some recipients may be exempt from the fair share objectives requirements described in 40 CFR, Part 33, Subpart D. Recipients should work with their DBE coordinator, if they think their organization may qualify for an exemption.

Current Fair Share Objective/Goal
The dollar amount of this assistance agreement or the total dollar amount of all of the recipient's financial assistance agreements in the current federal fiscal year from EPA is $250,000, or more.  The Region 10 fair share objectives/goals can be found: http://www.epa.gov/osbp/pdfs/r10_fair_share_goals.pdf. 

Negotiating Fair Share Objectives/Goals
In accordance with 40 CFR, Part 33, Subpart D, established goals/objectives remain in effect for three fiscal years unless there are significant changes to the data supporting the fair share objectives. The recipient is required to follow requirements as outlined in 40 CFR Part 33, Subpart D when renegotiating the fair share objectives/goals.

      4.  For DWSRF, CWSRF and BROWNFIELDS RLF Recipients ONLY

Objective/Goals of Loan Recipients
As a recipient of an EPA financial assistance agreement to capitalize revolving loan funds, the recipient agrees to either apply its own fair share objectives negotiated with EPA to identified loans using a substantially similar relevant geographic market, or negotiate separate fair share objectives with its identified loan recipients. These separate objectives/goals must be based on demonstrable evidence of the availability of MBEs and WBEs in accordance with 40 CFR, Part 33, Subpart D.

The recipient agrees that if procurements will occur over more than one year, the recipient may choose to apply the fair share objective in place either for the year in which the identified loan is awarded or for the year in which the procurement action occurs. The recipient must specify this choice in the financial assistance agreement, or incorporate it by reference therein.

R10 DBE Coordinator and Where to Send Report

Greg Luchey at (206) 553-2967 or email: Luchey.Greg@epa.gov.  The coordinator can answer any MBE/WBE reporting questions you may have.  MBE/WBE reports should be sent to the EPA Region 10, Grants and Interagency Agreements Unit, 1200 Sixth Avenue, Suite 900, OMP-173, Seattle, WA 98101 or FAX to (206) 553-4957.

7.   Earmark Assistance Agreement  -  Full Funding

EPA is fully funding this assistance agreement based on the terms of a congressional earmark.  If future earmarks are not provided for this project and recipient, supplemental funding for this project is not guaranteed.

8.   Recipient Contribution

There is no statutory requirement for recipient contribution.  However, in accordance with the application dated 10/16/2015, the recipient agrees to contribute to the project.  Reduction to this amount must be negotiated with the EPA Project Officer.

											
                            Programmatic Conditions

1.   Competency of Organizations Generating and/or Using Environmental Measurement Data

In accordance with Agency Policy Directive Number FEM-2012-02, Policy to Assure the Competency of Organizations Generating Environmental Measurement Data under Agency-Funded Assistance Agreements, recipient shall maintain competency for the duration of the project period of this agreement and this will be documented during the annual reporting process.  A copy of the Policy is available online at http://www.epa.gov/fem/lab_comp.htm or a copy may also be requested by contacting the EPA Project Officer for this award.

Federal Assistance Agreement Funds Up To $200,000

Recipient agrees that if the total federal funding obligated on this award exceeds $200,000 (resulting from subsequent amendments to this agreement) and will involve the use or generation of environmental data it will (unless it has otherwise done so) demonstrate competency prior to carrying out any activities involving the generation or use of environmental data under this agreement.

Federal Assistance Agreement Funds Exceed or Expect to Exceed $200,000

Recipient agrees, by entering into this agreement, that it has demonstrated competency prior to award, or alternatively, where a pre-award demonstration of competency is not practicable.  Recipient agrees to submit documentation and demonstrate competency prior to carrying out any activities under the award involving the generation or use of environmental data.

R10 Quality Assurance Team Contact: Don Matheny at (206) 553-2599 or email: Matheny.Don@epa.gov.

2.   Quality Assurance Requirements (2 CFR 1500.11)

Acceptable Quality Assurance documentation must be submitted to the EPA Project Officer within 30 days of the acceptance of this agreement or another date as negotiated with the EPA Project Officer.  No work involving direct measurements or data generation, environmental modeling, compilation of data from literature or electronic media, and data supporting the design, construction, and operation of environmental technology shall be initiated under this project until the EPA Project Officer, in concert with the EPA Quality Assurance Manager, has approved the quality assurance document.  Additional information on these requirements can be found at the EPA Office of Grants and Debarment website:  http://www.epa.gov/ogd/grants/assurance.htm.

Instructions to Submit Quality Assurance Documents for Review

Grantees must submit the quality assurance project plan (QAPP) to his/her EPA Project Officer and the EPA Project Officer forwards the new/revised QAPP to "R10 QA Support" via internal email group.

Region 10 Quality Assurance Team Contact: Don Matheny at (206) 553-2599 or email: Matheny.Don@epa.gov.

3.   Work Plan

Work under this agreement should be completed in accordance with the approved work plans submitted with the applications dated 10/16/2015.

4.  2015 Targeted Air Shed grant requirements in the Request for Applications (RFA)

The Recipient must meet the 2015 Targeted Air Shed grant requirements in the Request for Applications (RFA)  http://www3.epa.gov/air/grants/rfa-epa-oar-oaqps-15-04.pdf.  

5. Changes

Recipient shall consult the EPA Project Officer regarding whether a budget or work plan revision constitutes a change in the scope or the objective of the project or program.            

6.   Quarterly Performance Reports

The recipient shall submit quarterly performance reports, which are due 30 calendar days after the end of each Federal fiscal quarter.  (Federal fiscal quarters end the last day of March, June, September, and December.)   Reports shall be submitted electronically to the Christina Miller, EPA Project Officer, at miller.christina@epa.gov and to the Justin Spenillo, EPA Technical Contact, at spenillo.justin@epa.gov  

(a) In accordance with 2 CFR 200.328, as appropriate, the recipient agrees to submit performance reports that include brief information on each of the following areas:

   (1)  a comparison of actual accomplishments to the outputs/outcomes established in the assistance agreement work plan for the period; 
   
   (2)  the reasons why established goals were not met;
   
   (3)  additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs.

(b) For Workplan Component 1, the total number of funded new cleaner appliances and old scrapped appliances, along with a running tally must be included in the quarterly report. 

(c) In accordance with RFA NUMBER: EPA-OAR-OAQPS-15-04, the recipient shall also include a summary of expenditures  and  planned programmatic activities for the next upcoming quarter.

In addition to the quarterly performance reports, the recipient shall immediately notify the EPA Project Officer of developments that have a significant impact on the award-supported activities.  As appropriate, the recipient agrees to inform the EPA Project Officer as soon as problems, delays or adverse conditions become known which will materially impair the ability to meet the outputs/outcomes specified in the assistance agreement work plan.  This notification shall include a statement of the action taken or contemplated, and any assistance needed to resolve the situation.

7.   Final Performance Report

In addition to the periodic performance reports, the recipient shall submit a final performance report, which is due 90 calendar days after the expiration or termination of the award.  If any report/deliverable due dates stated in the workplan are longer, this grant term and condition date takes precedent.  The report shall be submitted to the EPA Project Officer and may be provided electronically.  

The final project report will also include a narrative summary of the project(s) and activities, project results (outputs and outcomes) including final emissions benefit calculations, and the successes and lessons learned for the entire project.  The final report will include a detailed explanation of how these values are derived, as well as any assumptions or default values used, for the purposes of emissions benefit calculations. The final report will also detail the methodologies used for the emission benefit calculation.

The final report should also include, to the extent possible, qualitative health benefits achieved, which can be measured by of the type of illnesses prevented, health care costs, missed work/school days avoided or reduced mortality from air pollution. The final report should also include how the project or activities contributed towards compliance with State Implementation Plan (SIP) and/or National Ambient Air Quality Standards (NAAQS).  In addition, the final technical report shall discuss the problems, successes, and lessons learned from the project or activity that could help overcome structural, organizational or technical obstacles to implementing a similar project elsewhere. 
8.  Applicable Appliances

   The term appliance applies to-appliances that provide heat, which may include fireplaces, wood stoves, gas stoves, pellet stoves or other common appliances. Recipient agrees that funds under this award will be used to replace inefficient, higher-polluting appliances with cleaner burning, more energy-efficient heating appliances, such as by: (i) replacing older hydronic heaters with EPA-certified hydronic heaters, or with EPA-certified wood stoves, other cleaner-burning, more energy-efficient hearth appliances (e.g., wood pellet, gas, or propane appliances), or EPA Energy Star qualified heating appliances; (ii) replacing non-EPA-certified wood stoves with EPA-certified wood stoves or cleaner-burning more energy-efficient appliances; or (iii) replacing or retrofitting appliances that are the primary source of heat with EPA Phase II qualified retrofit devices or cleaner-burning appliances (collectively "Eligible Replacement Appliances"). A list of eligible new appliances can be found on EPA's BurnWise program website under "List of Cleaner Appliances" http://www2.epa.gov/burnwise/burn-wise-types-appliances.
   

9.  Use of Funds Restriction (condition currently being revised to read as follows)

 (a). Appliance Replacement: Recipient agrees that funds under this award cannot be used for the purchase of appliances without retiring an older, higher-polluting appliance.  The recipient agrees that the replacement appliance must be similarly sized to efficiently meet heating needs and will perform the same function and operation as the old equipment that is being replaced. Appliances must be replaced in the following manner:
(a). 1.  An old non-certified wood must be replaced with a new EPA-certified wood, or pellet appliance, or oil appliance, or a gas appliance, or an electric appliance (i.e. ductless heat pump).
(a). 2. An EPA-certified wood or any pellet appliance manufactured prior to 1998 may be replaced with a new EPA-certified wood, or pellet appliance, or oil appliance, or gas appliance or an electric appliance (i.e. ductless heat pump).  An old EPA-certified wood appliance manufactured during the year 1998 forward can only be replaced with an oil appliance or gas appliance or a new EPA-certified pellet stove. Each old EPA-certified stove should have a permanent label that includes the year the stove was manufactured. 
(a). 3. Pellet appliances manufactured after 1998 may not be replaced.
(a). 4.  An old open hearth fireplace may be retrofitted with an EPA-certified wood or pellet insert or a gas insert.
Gas stoves, gas inserts, gas fireplaces or devices with a gas log are not eligible for replacement through this program. Gas fireplaces and appliances that are used exclusively for esthetic or decorative use are NOT Eligible as a replacement appliance under this program. The recipient agrees that the replacement appliance must meet heating needs and will perform the same function and operation as the appliance that is being replaced. New certified wood or pellet devices must be identified on the current list of EPA Certified Wood Heaters to be eligible for replacement or verified by EPA to be EPA-certified.

  The Recipient must include a running tally of each type of appliance replaced/repaired/or retrofitted along with the specific replacement type for each appliance replaced in their quarterly progress reports. 

   (b). Installation: New appliance installation must be conducted by: (i) the contracted hearth retailer; (ii) a third-party contractor under the approval and supervision of the contracted hearth retailer; or (iii) a certified installer. Self-installation or installation by non-licensed contractor is not eligible for funding. 
   
   (c). Location: The funded projects must be located in the recipients respective air pollution nonattainment area(s) listed in the RFA. The Project will target appliances that are the primary or a significant source of heat during the heating season in primary residences or in frequently used non-residential buildings (e.g., churches, greenhouses, schools).
   
   
10.  Voluntary Cost Share
   
   The recipient is legally obligated to meet any proposed voluntary cost share that is included in the approved project budget. While actual total costs may differ from the estimates in the recipient's application, EPA's participation shall not exceed the total amount of federal funds awarded. If the recipient fails to provide the voluntary cost-share contribution during the period of award performance, and does not provide a satisfactory explanation, the Agency may consider this factor in evaluating future proposals from the recipient.  In addition, if the voluntary cost-share contribution does not materialize during the period of award performance then EPA may take action as authorized by 2 CFR Part 200.

11. Scrappage

The appliance being replaced must be rendered permanently disabled within ninety (90) days of the replacement. The hearth retailer or subcontractor must certify and document proof that the appliance has been disposed of and rendered inoperable prior to payment dispersal. The old appliance must be taken to a licensed recycling/dismantling facility in order to ensure that the emissions reduced are real and permanent. Documentation and proof will be required from the recycling/dismantling facility, certifying that the old appliance will be permanently destroyed. Such documentation may include a photograph of the appliance after it has been destroyed to render it inoperable. Other acceptable scrappage methods may be considered and will require prior written approval by the EPA Project Officer.

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