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U. S. ENVIRONMENTAL PROTECTION AGENCY
NOTICE OF AWARD
Ms. Dorcas Perez, Acting Director
City of Miami Office of Grants Administration
444 SW 2`1 Avenue, 5`h Floor
Miami, Florida 33130
❑x Assistance Agreement ❑ Assistance Amendment
increase 71 Decrease
Time Extension F7 Administrative
Enclosed are two copies of an Assistance Agreement from the U.S. Environmental Protection Agency.
BF95461010-0
To accept this Notice of Award, please carefully review any terms and conditions, sign', and return one original copy to the following -address
within 21 daysz of the mailing date on the Assistance Agreement:
U.S. ENVIRONMENTAL PROTECTION AGENCY
REGION 4
GRANTS MANAGEMENT OFFICE
61 FORSYTH STREET, SW
ATLANTA, GA 30303
ATTN: Margaret Crowe
The other original should be retained for your official records and copies distributed within your organization as needed. Please note, funds will
not be available for draw until we receive your countersigned affirmation of the award.
To assist you with your post award management responsibilities, please see "Reporting Forms and Guidance for Administration of Your
Assistance Agreement'." This document contains Important oost-award reporting requirements and Instructions on how to receive Payments.
To view this and other EPA grant -related Information, visit our Region 4 Grants Office website at:
www. epa.go vlregion41gran ts1
Please reference the EPA Assistance Number on all future correspondence regarding this Assistance Agreement. If you have any questions,
you may contact the Grants Specialist Identified above at
(404)562-8687 or crowe.margaret@epa.gov
Must be signed by authorized representative as shown on the Affirmation of Award signature block or formally authorized delegate.
' Failure to countersign and return within 21 days of the mailing date may result In withdrawal of this award.
' Please contact your Grant Specialist if you need a paper copy of this document.
U.S. Environmental Protection Agency
Region 4
Grants Management Office
BF - 95461010 - 0 Pace 1
ASSISTANCE ID NO.
U.S. ENVIRONMENTAL
DATE OF AWARD
DOC ID AMEND#
J001)st%
m r
PROTECTION AGENCY
BF - 95461010 - Q
08/19/2010
TYPE OF ACTION
MAILING DATE
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Now
08/26/2010
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Cooperative Agreement
PAYMENT METHOD:
ACH#
PAols
I
ACH
40237
RECIPIENT TYPE:
Send Payment Request to:'
Municipal
Las Vegas Finance Center
RECIPIENT:
PAYEE:
City of Miami
City of Miami
444 SW 2nd Avenue
444 SW 2nd Avenue
Miami, FL 33130
Miami, FL 33130
EIN: 59-6000375
PROJECT MANAGER
EPA PROJECT OFFICER
EPA GRANT SPECIALIST
Dorcas Perez
Barbara Caprita
Margaret Crowe
444 SW 2nd Avenue
61 Forsyth Street
Grants Management Office
Miami, FL 33130
Atlanta, GA 30303-8960
E -Mail: crowe.margaret@epa.gov
E -Mail: dperez@miamigoc.com
E -Mail: Caprita.Barbara@epa.gov
Phone: 404-562-8687
Phone: 305-416-1536
Phone: 404.562-9969
PROJECT TITLE AND DESCRIPTION
Brownfields Assessment and Cleanup Cooperative Agreements
This action approves an award in the amount of $200,000 for the City of Miami, Florida for clean up of petroleum contaminants at the Former Shamrock Gas
Station site. During the life of the project, the recipient will carry out community involvement activities to encourage redevelopemeni of the site such that the
future reuse of the property will create or retain jobs and does not pose a threat to human health and the environment.
BUDGET PERIOD
PROJECT PERIOD
TOTAL BUDGET PERIOD COST
I TOTAL PROJECT PERIOD COST
07/01/2010 - 06/30/2013
07/01/2010 - 06/30/2013
$240,000:00
$240,000.00
NOTICE OF AWARD
Based on your application dated 05/2812010, including all modifications and amendments, the United States acting by and through the US Environmental
Protection Agency (EPA), hereby awards $200,000. EPA agrees to cost -share 80_00% of all approved budget period costs incurred, up to and not exceeding
total federal funding of $200,000. Such award may be terminated by EPA without further cause if the recipient fails to provide timely affirmation of the award
by signing under the Affirmation of Award section and returning all pages of this agreement to the Grants Management Office listed below within 21 days after
receipt, or any extension of time,.as may be granted by EPA. This agreement is subject to applicable EPA statutory provisions. The applicable regulatory
provisions are 40 CFR Chapter 1, Subchapter B, and all terms and conditions of this agreement and any attachments.
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)
AWARD APPROVAL OFFICE
ORGANIZATION /ADDRESS
ORGANIZATION / ADDRESS
U.S. EPA, Region 4
61 Forsyth Street
Resource Conservation and Recovery Act Division
Atlanta, GA 30303-8960
61 Forsyth Street
Atlanta, GA 30303-8960
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
SIGNATURE OF AWARD OFFICIAL
TYPED NAME AND TITLE
DATE
Digital signature applied by EPA Award Official
Elaine Curies, Grants Management Officer
OB/19/2010
AFFIRMATION OF AWARD
BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
SIGNATURE
TYPED NAME AND TITLE
DATE
Dorcas Perez, Acting Director
EPA Funding Information BF -95461010-0 Page 2
FUNDS
FORMER AWARD
THIS ACTION I
AMENDED TOTAL
EPA Amount This Action
$
$ 200,000
$ 200,000
EPA In -Kind Amount
$
$
$ 0
Unexpended Prior Year Balance
$
$
$ 0
Other Federal Funds
$
$
$ 0
Recipient Contribution
$
$
$ 0
State Contribution
$
$
$ 0
Local Contribution
$
$ 40,000
$ 40,000
Other Contribution
$
$
$01
Allowable Project Cost
$ 0
$ 240,000
$ 240,000
Assistance Program (CFDA)
Statutory Authority
Regulatory Authority
66.818 - Brownfields Assessment and Cleanup
Cooperative Agreements
CERCLA: Sec. 101(39)
CERCLA: Sec. 104(k)(3)
40 CFR PART 31
Fiscal
Site Name
Req No
FY
Approp.
Code
Budget
Organization
PRC
Object
Class
Site/Project
Cost
Organization
Obligation J
Deobligation
SHAMROCK
1004VT0035
ic
E4
04V2AG
402D79EBP
4114
G4CLOT00
200,00
200,00
BF -95461010-0 Page 3
Rudnet Summary Pane
Table A • Object Class Category
(Non -construction)
Total Approved Allowable
Budget Period Cost
1. Personnel
$0
2. Fringe Benefits
$0
3. Travel
$5,000
4. Equipment
$0
5. Supplies
$4,835
6. Contractual
$230,165
7. Construction
$0
8. Other
$0
9. Total Direct Charges
$240,000
10. Indirect Costs: % Base
$0
11. Total (Share: Recipient 20.00 % Federal 80_00 %.)
$240,000
12. Total Approved Assistance Amount
$200,000,
13. Program Income
$0
14. Total EPA Amount Awarded This Action
$200,000
15. Total EPA Amount Awarded To Date
$200,000
Administrative Conditions
1. Consultant Cap 2010
BF - 95461010 - 0 Page 4
Payment to consultants. EPA participation in the salary rate (excluding overhead) paid to individual consultants retained by
recipients or by a recipient's contractors.or subcontractors shall be limited to the maximum daily rate for a Level IV of the
Executive Schedule (formerly GS -18), to be adjusted annually. This limit applies to consultation services of designated
individuals with specialized skills who are paid at a daily or hourly rate. As of January 1, 2010, the limit is $596.00 per day and
$74.50 per hour. This rate does not include transportation and subsistence costs for travel performed (the recipient will pay
these in accordance with their normal travel reimbursement practices).
Subagreements with firms for services which are awarded using the procurement requirements in 40 CFR 30 or 31, as
applicable, are not affected by this limitation unless the terms of the contract provide the recipient with responsibility for the
selection, direction, and control of the individuals who will be providing services under the contract at an hourly or daily rate of
compensation. See 40 CFR 31.36(j) or 30.27(b).
2. Debarment and Suspension
Recipient shall fully comply with Subpart C of 2 CFR Part 180 and 2 CFR Part 1532, entitled "Responsibilities of Participants
Regarding Transactions (Doing Business with Other Persons)." Recipient is responsible for ensuring that any lower tier
covered transaction as described in Subpart B of 2 CFR Part 180 and 2 CFR Part 1532, entitled "Covered Transactions,"
includes a term or condition requiring compliance with Subpart C. Recipient is responsible for further requiring the inclusion of
a similar term or condition in any subsequent lower tier covered transactions. Recipient acknowledges that failing to disclose
the information as required at 2 CFR 180.335 may result in the delay or negation of this assistance agreement, or pursuance
of legal remedies, including suspension and debarment.
Recipient may access the Excluded Parties List System at www.epls.gov. This term and condition supersedes EPA Form
5700-49, "Certification Regarding Debarment, Suspension, and Other Responsibility Matters."
3. Drua-Free Workplace Certification
The recipient organization of this EPA assistance agreement must make an ongoing, good faith effort to maintain a drug-free
workplace pursuant to the specific requirements set forth in Title 40 CFR 36.200 - 36.230. Additionally, in accordance with
these regulations, the recipient organization must identify all known workplaces under its federal awards, and keep this
information on file during the performance of the award. .
Those recipients who are individuals must comply with the drug-free provisions set forth in Title 40 CFR 36.300.
The consequences for violating this condition are detailed under Title 40 CFR 36.510. Recipients can access the Code of
Federal Regulations (CFR) Title 40 Part 36 at http://www.access.goo.gov/nara/cfr/waisidx 06/40cfr36 06.html
4. EPA Participation
This award and the resulting ratio of funding is based on estimated costs requested in the application. EPA participation in the
final total allowable program/project costs (outlays) shall not exceed the statutory limitation (80 %) of total allowable
program/project costs or the total funds awarded, whichever is lower.
5. Reimbursement Limitation
EPA's financial obligations to the recipient are limited by the amount of federal funding awarded to date as shown on line 15 in
its EPA approved budget. If the recipient incurs costs in anticipation of receiving additional funds from EPA, it does so at its
own risk.
6. Hotel -Motel Fire Safety
Pursuant to 40 CFR 30.16, if applicable, and 15 USC 2225a, the recipient agrees to ensure that all space for conferences,
meetings, conventions, or training seminars funded in whole or in part with federal funds complies with the protection and
control guidelines of the Hotel and Motel Fire Safety Act (PL 101-391, as amended). Recipients may search the Hotel -Motel
National Master List at http://www.usta.dhs.gov/applications/hotel/ to see if a property is in compliance (FEMA ID is currently
not required), or to find other information about the Act.
7. LOBBYING -ALL RECIPIENTS
The recipient agrees to comply with Title 40 CFR Part 34, New Restrictions on Lobbying . The recipient shall include the
language of this provision in award documents for all subawards exceeding $100,D00, and -require that subrecipients submit
certification and disclosure forms accordingly.
In accordance with the Byrd Anti -Lobbying Amendment, any recipient who makes a prohibited expenditure under Title 40 CFR
Part 34 or fails to file the required certification or lobbying forms shall be subject to a civil penalty of not less than $10,000 and
not more than $100,000 for each such expenditure.
8. LOBBYING AND LITIGATION - ALL RECIPIENTS - SUPPLEMENTS TO THE LOBBYING CONDITION
The chief executive officer of this recipient agency shall ensure that no grant funds awarded under this assistance agreement
are used to engage in lobbying of the Federal Government or in litigation against the United States unless authorized under
existing law. The recipient shall abide by its respective OMB Circular (A-21, A-87, or A-122), which prohibits the use of
federal grant funds for litigation against the United States or for lobbying or other political activities.
9. Management Fees
Management fees or similar charges in excess of the direct costs and approved indirect rates are not allowable. The term
"management fees or similar charges" refers to expenses added to the direct costs in order to accumulate and reserve funds
for ongoing business expenses, unforeseen liabilities, or for other similar costs which are not allowable under this assistance
agreement. Management fees or similar charges may not be used to improve or expand the project funded under this
agreement, except to the extent authorized as a direct cost of carrying out the scope of work.
10. UTILIZATION OF SMALL. MINORITY AND WOMEN'S BUSINESS ENTERPRISES
GENERAL COMPLIANCE, 40 CFR, Part 33
The recipient agrees to comply with the requirements of EPA's Program for Utilization of Small, Minority and Women's
Business Enterprises in procurement under assistance agreements, contained in 40 CFR, Part 33.
FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D
A recipient must negotiate with the appropriate EPA award official, or his/her designee, air share objectives for MBE and
WBE (MBE(WBE) participation in procurement under the financial assistance agreements.
Accepting the Fair Share Objectives/Goals of Another Recipient
The dollar amount of this assistance agreement is $250,000, or more; or the total dollar amount of all of the recipient's
non -TAG assistance agreements from EPA in the current fiscal year is $250,000, or more. The recipient accepts the
applicable MBE/WBE fair share objectives/goals negotiated with EPA by the FLORIDA DEPARTMENT OF
ENVIRONMENTAL PROTECTION as follows:
MBE: CONSTRUCTION 9%; SUPPLIES 9%; SERVICES 9%; EQUIPMENT 9%
WBE: CONSTRUCTION 3%; SUPPLIES 3%; SERVICES 3%; EQUIPMENT 3%
By signing this financial assistance agreement, the recipient is accepting the fair share objectives/goals stated above and
attests to the fact that it is purchasing the same or similar construction, supplies, services and equipment, in the same or
similar relevant geographic buying market as FLORIDA DEPARTMENT OF ENVIRONMENTAL PROTECTION.
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 MBENVBE
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 goats with the supporting analysis or disparity study means that the recipient is
not accepting the fair share objectivesigoals 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 MBEJWBE
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 tot procurements until the proposed fair share
objective/goals are submitted.
SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C
Pursuant to 40 CFR, Section 33.301, the recipient agrees to make the following good faith efforts whenever procuring
construction, equipment, services and supplies under an EPA financial assistance agreement, and to require that
sub -recipients, loan recipients, and prime contractors also comply. Records documenting compliance with the six good
faith efforts shall be retained:
(a) Require DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and
recruitment activities. For Indian Tribal, State and Local and Government recipients, this will include placing DBEs
on solicitation lists and soliciting them whenever they are potential sources.
(b) Make information on forthcoming opportunities available to DBEs and arrange time frames for contracts and
establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation
by DBEs in the competitive process. This includes, whenever possible, posting solicitations for bids or proposals for
a minimum of 30 calendar days before the bid or proposal closing date.
(c) Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs.
For Indian Tribal, State and local Government recipients, this will include dividing total requirements when
economically feasible into smaller tasks or quantities to permit maximum participation by DBEs in the competitive
process.
(d) Encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle
individually.
(e) Use the services and assistance of the SBA and the Minority Business Development Agency of the Department
of Commerce.
(f) If the prime contractor awards subcontracts, require the prime contractor to take the steps in paragraphs (a)
through (e) of this section.
MBE/WBE REPORTING, 40 CFR, Part 33, Sections 33.502 and 33.503
The recipient agrees to complete and submit EPA Form 5700-52A, "MBE/WBE Utilization Under Federal Grants,
Cooperative Agreements and Interagency Agreements" beginning with the Federal fiscal year reporting period the
recipient receives the award, and continuing until the project is completed. Only procurements with certified
MBE/WBEs are counted toward a recipient's MBE/WBE accomplishments. The reports must be submitted
semiannually for the periods ending March 31" and September 30" for:
Recipients of financial assistance agreements that capitalize revolving loan programs (CWSRF, DWSRF,
Brownfields); and
All other recipients not identified as annual reporters (40 CFR Part 30 and 40 CFR Part 35, Subpart A and
Subpart B recipients are annual reporters).
The reports are due within 30 days of the end of the semiannual reporting periods (April 30' and October 30
.). Reports should be sent to;
Grants Management Office
EPA, REGION 4
61 FORSYTH STREET, SW
ATLANTA, GEORGIA 30303-8960
Final MBE/WBE reports must be submitted within 90 days after the project period of the grant ends. Your
grant cannot be officially closed without all MBE/WBE reports.
EPA Form 5700-52A may be obtained from the EPA Office of Small Business Program's Home Page on the
Internet at www.epa.gov/osbp,
CONTRACT ADMINISTRATION PROVISIONS, 40 CFR, Section 33.302
The recipient agrees to comply with the contract administration provisions of 40 CFR, Section 33.302.
BIDDERS LIST, 40 CFR, Section 33.501(b) and (c)
Recipients and sub 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.
11. Pre -Award Costs Approved
Costs incurred prior to the date of award as specified in the approved application and workplan are hereby authorized. The
pre -award costs included in the application and workplan are necessary to complete the project and would otherwise have
been authorized.
12. Recycling
In accordance with Section 6002 of the Resource Conservation and Recovery Act (RCRA) (42 U.S.C. 6962) any State agency
or agency of a political subdivision of a State which is using appropriated Federal funds shall comply with the requirements set
forth. Regulations issued under RCRA Section 6002 apply to any acquisition of an item where the purchase price exceeds
$10,000 or where the quantity of such items acquired in the course of the preceding fiscal year was $10,000 or more. RCRA
Section 6002 requires that preference be given in procurement programs to the purchase.of specific products containing
recycled materials identified in guidelines developed by EPA. These guidelines are listed in 40 CFR 247. _
In accordance with the polices set forth in EPA Order 1000.25 and Executive Order 13423, Strengthening Federal
Environmental, Energy and Transportation Management (January 24, 2007), the recipient agrees to use recycled paper and
double sided printing for all reports which are prepared as a part of this agreement and delivered to EPA. This requirement
does not apply to reports prepared on forms supplied by EPA, or to Standard Forms, which are printed on recycled paper and
are available through the General Services Administration.
13. Sinale Audit Act
In accordance with OMB Circular A-133, which implements the single Audit Act, the recipient hereby agrees to obtain a single
audit from an independent auditor if it expends $500,000 or more in total Federal funds in any fiscal year. Within nine months
after the end of a recipient's fiscal year or 30 days after receiving the report from the auditor, the recipient shall submit a copy
of the SF -SAC and a Single Audit Report Package. For fiscal periods 2002 to 2007 recipients are to submit hardcopy to the
following address:
Federal Audit Clearinghouse
1201 East 10th Street
Jeffersonville, IN 47132
For fiscal periods 2008 and beyond the recipient MUST submit a copy of the SF -SAC and a Single Audit Report Package,
using the Federal Audit Clearinghouse's Internet Data Entry System. Complete information on how to accomplish the 2008
and beyond Single Audit Submissions you will need to visit the Federal Audit Clearinghouse Web site:
htto://harvester. census. eov/f ac/
14. Trafficking Victim Protection Act of 2000
To implement requirements of Section 106 of the Trafficking Victims Protection Act of 2000, as amended, the following
provisions apply to this award:
a. We, as the Federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is a
private entity: (1) is determined to have violated an applicable prohibition in the Prohibition Statement below; or (2) has an
employee who.is determined by the agency official authorized to terminate the award to have violated an applicable prohibition
in the Prohibition Statement below through conduct that is either: (a) associated with performance under this award; or (b)
imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization
that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement)," as implemented by our agency at 2 CFR part 1532. You must inform us immediately of any information
you receive from any source alleging a violation of a prohibition in the Prohibition Statement below.
b. Our right to terminate unilaterally that is described in paragraph a of this award term: (1) implements section 106(g) of the
Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and (2) is in addition to all other remedies
for noncompliance that are available to us under this award.
c. You must include the requirements of the Prohibition Statement below in any sub -award you make to a private entity.
Prohibition Statement - You as the recipient, your employees, subrecipients under this award, and subrecipients' employees
may not engage in severe forms of trafficking in persons during the period of time that the award is in effect; procure a
commercial sex act during the period of time that the award is in effect; or use forced labor in the performance of the award or
subawards under the award.
15. Unliquidated Obligations (Interim)
Pursuant to 40 CFR 31.41(b) and 31.50(b), EPA recipients shalt submit an annual Federal Financial Report (SF -425) to EPA
no later than 90 calendar days following the end of the reporting quarter.
The following reporting period end dates shall be used for interim reports: 3/31, 6/30, 9/30, or 12/31
At the end of the project, the recipient must submit a final Federal Financial Report to EPA no later than 90 calendar days after
the end of the project period. The form is available on the internet at htto://www.epa.ciov/ocfo/finservices/forms_htm . All
FFRs must be submitted to the Las Vegas Finance Center: US EPA, LVFC, PO Box 98515, Las Vegas, NV 89193, or by Fax
to: 702-798-2423.
The LVFC will make adjustments, as necessary, to obligated funds after reviewing and accepting a final Federal Financial
Report. Recipients will be notified and instructed by EPA if they must complete any additional forms for the closeout of the
assistance agreement.
EPA may take enforcement actions in accordance with 40 CFR 31.43 if the recipient does not comply with this term and
condition
16. Historic Properties
The recipient agrees to consult with the appropriate State Office in the identification and evaluation of any pre -1946 structures
which may be impacted by scheduled project activities, or properties located adjacent to the activities areas. The recipient
agrees to comply with efforts to identify, evaluate and appropriately design project activities to avoid or minimize adverse
project impacts to any historic properties listed, or which satisfy the criteria for eligibility for listing (36 CFR 60.4), in the
National Register of,Historic Places.
17. National Historic Preservation Act
Prior to conducting or engaging in any on-site activity with the potential to impact historic properties (such as invasive
sampling or cleanup), the grantee shall consult with EPA regarding potential applicability of the National Historic Preservation
Act and, if applicable, shall assist EPA in.complying with any requirements of the Act and implementing regulations.
18. Procurement
The cost of professional services contracts and/or small purchases procured in compliance with the minimum standards for
.procurement under grants (see 40 CFR 31.36) are allowable costs for reimbursement with grant funds. No grant funds may
used to reimburse the federal share of any procurement action(s) found to be in noncompliance with the grant procurement
regulations. (Note: all project expenditures are deemed to include both the federal and nonfederal shares).
The recipient agrees to conduct all procurement actions under this assistance agreement in compliance with 40 CFR
31.36(b) -(k). The recipient may follow their own procurement procedure which may reflect compliance with applicable State
and Local laws, regulations, ordinances, etc., provided that all procurement actions comply with the minimum standards for
procurement under assistance agreements per 40 CFR 31.36. The recipient agrees to submit to EPA for pre -award and/or
post award review procurement documents including, but not limited to: selection procedures, invitations for bids, independent
cost estimates, requests for qualifications and/or proposals, evaluation methodology and results, memorandum of review or
negotiation, cost and/or price analysis, proposed contract documents (prior to execution), disadvantaged business enterprise
documentation, etc.
Programmatic Conditions
2010 Brownfields Cleanup Terms and Conditions for Region 4
I. GENERAL FEDERAL REQUIREMENTS
Note: These terms and conditions contain references to EPA financial assistance
regulations at 40 CFR Parts 30 and 31. 40 CFR Part 30 is applicable to non -profit
and educational institution recipients and 40 CFR Part 31 is applicable to
governmental recipients .
A. Federal Policy and Guidance
1. a. Cooperative Agreement Recipients: By awarding this cooperative
agreement, EPA has approved the proposal the Cooperative Agreement
Recipient submitted in the Fiscal Year 2010 competition for Brownfields cleanup
cooperative agreements. However, the CAR may not expend ("draw down")
funds to carry out this agreement until EPA's award official approves the final
work plan.
b. In implementing this agreement, the CAR shall ensure that work done with
cooperative agreement funds complies with the requirements of the
Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA) 104(k). The CAR shall also ensure that cleanup activities supported
with cooperative agreement funding comply with all applicable Federal and State
laws and regulations. The CAR must ensure cleanups are protective of human
health and the environment.
c. The CAR must consider whether they are required to conduct cleanups under
a State or Tribal response. program. If the CAR chooses not to participate in a
State or Tribal response program, then the CAR is required to consult with the
Environmental Protection Agency (EPA) to ensure the proposed cleanup is
protective of human health and the environment.
d. If the CAR is not subject to a State or Tribal Response Program , then the CAR
is strongly urged to consider joining such program. Regardless, the CAR is
required to consult with the EPA and any applicable State /Tribal programs to
ensure the proposed cleanup is protective of human health and the environment .
e. A term and condition or other legally binding provision shall be included in all
agreements entered into with the funds, or when funds awarded under this
agreement are used in combination with non -Federal sources of funds, to ensure
that recipients comply with all applicable Federal and State laws and
requirements. In addition to CERCLA 104(k), Federal applicable laws and
requirements include:
f. The CAR agrees to comply with Executive Order 13202 (Feb. 22, 2001, 66
Fed. Reg. 11225 ) of February 17, 2001, entitled "Preservation of Open
Competition and Government Neutrality Towards Government Contractors'
Labor Relations on Federal and Federally Funded Construction Projects ," as
amended by Executive Order 13208 (April 11, 2001, 66 Fed. Reg. 18717) of April
6, 2D01, entitled "Amendment to Executive Order 13202, Preservation of Open
Competition and Government Neutrality Towards Government Contractors'
Labor Relations on Federal and Federally Funded Construction Projects ."
g. The recipient must comply with federal cross -cutting requirements including,
but not limited to, MBE/WBE requirements found at 40 CFR 33; OSHA Worker
Health & Safety Standard 29 CFR 1910.120; the Uniform Relocation Act;
National Historic Preservation Act; Endangered Species Act; and Permits
required by Section 404 of the Clean Water Act; Executive Order 11246, Equal
Employment Opportunity, and implementing regulations at 41 CFR 60-4;
Contract Work Hours and Safety Standards Act, as amended (40 USC 327-333)
the Anti Kickback Act (40 USC 276c) and Section 504 of the Rehabilitation Act of
1973 as implemented by Executive Orders 11914 and 11250.
h. The CAR must comply with Davis -Bacon Act prevailing wages for all
construction, alteration and repair contracts and subcontracts awarded with EPA
grant funds. For more detailed information on complying with Davis -Bacon
please see the Davis- Bacon Addendum to these Terms and Conditions.
B. Changes to Sites and Cleanup Methods
a. The CAR must use funds provided by this agreement to clean up the
brownfield site in the EPA approved work plan. Any changes to the
boundaries of the site must be approved by EPA in a revised work plan .
b. The CAR may not make substantial changes to the cleanup method
described in the work plan without prior EPA approval.
II. GENERAL COOPERATIVE AGREEMENT
ADMINISTRATIVE REQUIREMENTS
A. Term of the Agreement
1. The term of this agreement is three years from the date of award , unless otherwise
extended by EPA at the CAR's request.
2. If after 18 months from the date of award, EPA determines that the CAR has not
made sufficient progress in implementing its cooperative agreement, EPA may
terminate this agreement for material non -compliance with its terms. For purposes
of the Cleanup Grants, "sufficient progress in implementing a cooperative
agreement" means that an appropriate remediation plan is in place , institutional
control development, if necessary, has commenced, initial community involvement
activities have taken place, relevant state or tribal pre -cleanup requirements are
being addressed and a solicitation for remediation services has been issued .
B. Substantial Involvement
1. The U.S. EPA may be substantially involved in overseeing and monitoring this
cooperative agreement.
Substantial involvement by the U.S. EPA generally includes administrative
activities such as: monitoring; review of project phases; and approval of
substantive terms included in professional services contracts .
b. Substantial EPA involvement may include reviewing financial and program
performance reports; and monitoring all reporting, record-keeping, and
other program requirements.
EPA may waive any of the provisions in term and condition I I .B.1:, at its
own initiative or upon request by the CAR. EPA will provide waivers in
writing.
2. Effect of EPA's substantial involvement includes:
EPA's review of any project phase, document, or cost incurred under this
cooperative agreement, will not have any effect upon CERCLA § 128
Eligible Response Site determinations or for rights, authorities, and
actions under CERCLA or any Federal statute.
The CAR remains responsible for ensuring that all cleanups are protective
of human health and the environment and comply with all applicable
Federal and State laws.
C. The CAR remains responsible for ensuring costs are allowable under
applicable OMB Circulars.
3. The CAR will provide project updates to the State Brownfields or Voluntary Cleanup
Program (VCP) contact on a regular basis.
The CAR will make the State aware of all site-specific sampling
and/or clean up activities to be initiated (if applicable).
The CAR will provide the State an opportunity to review and
comment on all technical reports, including QAPPs, sampling
plans, ABCAs, cleanup plans, and other technical reports.
C. Cooperative Agreement Recipient Roles and Responsibilities
1. The CAR must acquire the services of a qualified environmental professional (s) to
coordinate, direct, and oversee the brownfieids assessment and cleanup activities
at a particular site, if they do not have such a professional on staff .
2. The CAR is responsible for ensuring that contractors and sub grant recipients
comply with the terms of their agreements with the CAR, and that agreements
between the CAR and sub grant recipients and contractors are consistent with the
terms and conditions of this agreement.
3. Sub grants are defined at. 40 CFR 31.3 and 40 CFR 30.2(f). The CAR may not sub
grant to for-profit organizations. The CAR must obtain commercial services and
products necessary to carry out this agreement under competitive procurement
procedures as described in 40 CFR 31.36 or the Procurement Standards of 40 CFR
Part 30, as applicable. In addition, EPA policy encourages awarding sub grants
competitively and the CAR must consider awarding sub grants through competition .
D. Quarterly Progress Reports
The CAR must report interim progress and any final accomplishments of its
project to EPA.
a. The CAR must submit property information via the on-line Assessment,
Cleanup and Redevelopment Exchange System (ACRES) at the:
(a) Award of the cooperative agreement, and
(b) Completion of the cleanup as defined in Section IV .F.2., or
(c) Close-out of the cooperative agreement, if cleanup completion is
not able to be achieved.
The CAR must submit the updated property specific information
within 30 days after the end of the Federal fiscal quarter in which the
event occurred.
The EPA Project Officer will provide the CAR with access to the
ACRES on-line reporting system to perform the reporting
requirements.
The CAR must obtain approval from the EPA Project Officer before
expending cooperative agreement funds to purchase adequate
computer supplies to complete on-line reporting activities.
b. The CAR must submit progress reports on a quarterly basis to the EPA
Project Officer. Quarterly progress reports must include:
(a) Documentation of progress at meeting performance
outcomes/outputs, project narrative, project time line and an
explanation for any slippage in meeting established
output/outcomes.
(b) An update on project milestones.
(c) A budget recap summary page with the following headings: (A)
Current Approved Budget; (B) Costs Incurred this Quarter; (C)
Costs Incurred to Date; and (D) Total Remaining Funds.
(d) If applicable, quarterly reports must provide separate accounting
of costs incurred at hazardous substances brownfields sites and
petroleum -only brownfields sites.
c. Recipient quarterly reports must clearly identify which activities performed
during the reporting period were undertaken with EPA funds , and must relate
EPA -funded activities to the objectives and milestones agreed upon in the
work plan including a list of sites where cleanup activities were completed .
2. The CAR must maintain records that will enable it to report to EPA on the
amount of funds expended on the specific properties under this cooperative
agreement.
If applicable, the CAR must maintain records that will enable it to report to EPA
on the amount of funds expended on petroleum properties addressed under this
cooperative agreement.
4. In accordance with 40 C.F.R. §31.40 (d), the recipient agrees to inform EPA as
soon as problems, delays or adverse conditions become known which will
materially impair the ability to meet the outputs /outcomes specified in the approved
assistance agreement work plan.
E. Final Report
1. The CAR must submit a final report at the end of the period of performance in order
to finalize the closeout of the grant. This final report must capture what work was
performed at the site. It should also provide information that documents the
outreach efforts done by the CAR and other activities that help explain where the
funding was utilized.
Ill. FINANCIAL ADMINISTRATION REQUIREMENTS
A. Cost Share Requirement
CERCLA 104(k)(9)(B)(iii) requires that the recipient of this cooperative agreement pay a
cost share (which may be in the form of a contribution of money, labor, material, or
services from a non-federal source) of at least 20 percent (i.e. 20 percent of the total
federal funds awarded). The cost share -contribution must be for costs that are eligible
and allowable under the cooperative_ agreement and must be supported by adequate
documentation.
B. Eligible Uses of the Funds for the Cooperative Agreement Recipient
1. To the extent allowable under the EPA -approved work plan, cooperative agreement
funds may be used for programmatic expenses necessary to clean up sites .
Eligible programmatic expenses include activities described in Section IV of these
terms and conditions. In addition, eligible programmatic expenses may include:
Ensuring cleanup activities at a particular site are authorized by CERCLA
104(k) and the EPA approved work plan;
Ensuring that a cleanup complies with applicable requirements under
Federal and State laws, as'required by CERCLA 104(k);
C. Using a portion of the grant to purchase environmental insurance for the
remediation of the site. Funds may not be used to purchase insurance
intended to provide coverage for any of the ineligible uses under Section
III. C;
Any other eligible programmatic costs including direct costs incurred by
the recipient in reporting to EPA; procuring and managing contracts;
awarding and managing sub grants to the extent allowable in III .C.2; and
carrying out community involvement pertaining to the cleanup activities .
2. Local Governments Only . No more than 10% of the funds awarded by this
agreement may be used by the CAR itself for monitoring of health and institutional
controls. The CAR must maintain records on funds that will be used to carry out
these tasks as identified in the EPA -approved work plan.
C. Ineligible Uses of the Funds for the Cooperative Agreement Recipient
1. Cooperative agreement funds shall not be used by the CAR for any of the
following activities:
a. Pre -cleanup environmental assessment activities such as site
assessment, identification, and characterization with the exception of site
monitoring activities that are reasonable and necessary during the
cleanup process, including determination of the effectiveness of a
cleanup;
b. Monitoring and data collection necessary to apply for, or comply with,
environmental permits under other federal and state laws , unless such a
permit is required as a component of the cleanup action ;
c. Construction, demolition, and development activities that are not cleanup
actions (e.g., marketing of property or construction of a new facility or
addressing public or private drinking water supplies that have deteriorated
through ordinary use);
d. Job training unrelated to performing a specific cleanup at a site covered
by the grant;
e. To pay for a penalty or fine;
f. To pay a federal cost share requirement (for example, a cost -share
required by another Federal grant) unless there is specific statutory
authority;
g. To pay for a response cost at a brownfields site for which the recipient of
the grant is potentially liable under C.ERCLA § 107;
h. To pay a cost of compliance with any federal law, excluding the cost of
compliance with laws applicable to the cleanup; and
i. Unallowable costs (e.g., lobbying and fund raising) under applicable OMB
Circulars.
Under CERCLA 104(k)(4)(B), administrative costs are prohibited. costs under this
agreement. Prohibited administrative costs include all indirect costs under
applicable OMB Circulars incurred by the CAR.
a. Ineligible administrative costs include costs incurred in the form of
salaries, benefits, contractual costs, supplies, and data processing .
charges, incurred to comply with most provisions of the Uniform
Administrative Requirements for Grants contained in 40 CFR Part 30 or
40 CFR Part 31. Direct costs for grant administration, with the exception
of costs specifically identified as eligible programmatic costs , are ineligible
even if the grant recipient is required to carry out the activity under the
grant agreement. Costs incurred to report quarterly performance to EPA
under the grant are eligible.
b. Ineligible grant administration costs include direct costs for:
(1) Preparation of applications for Brownfields grants;
(2) Record retention required under 40 CFR 30.53 and 40 CFR 31.42;
(3) Record-keeping associated with supplies and equipment purchases
required under 40 GFR 30.33, 30.34, and 30.35 and 40 CFR 31.32 and
31.33;
(4) Preparing revisions and changes in the budgets, scopes of work,
program plans and other activities required under 40 CFR 30.25 and 40
CFR 31.30;
(5) Maintaining and operating financial management systems required
under 40 CFR 30 and 40 CFR 31;
(6) Preparing payment requests and handling payments under 40 CFR
30.22 and 40 CFR 31.21;
(7) Non-federal audits required under 40 GFR 30.26, 40 CFR 31.26, and
OMB Circular A-133; and
(8) Close out under 40 CFR 30.71 and 40 CFR 31.50.
C. The CAR must not include management fees or similar charges in excess
of the direct costs or at the rate provided for by the terms of the agreement
negotiated with EPA. The term "management fees or similar charges"
refers to expenses added to the direct costs in order to accumulate and
reserve funds for ongoing business expenses, unforeseen liabilities, or for
other similar costs that are not allowable under EPA assistance
agreements. Management fess or similar charges may not be used to
improve or expand the project funded under this agreement, except to the
extent authorized as a direct cost of carrying out the scope of work .
D. Grant Recipient Eligibility
1. The CAR may only clean up sites it solely owns. The CAR must retain ownership of
the site throughout the period of performance of the grant . For the purposes of this
agreement, the term "owns" means fee simple title unless EPA approves a different
arrangement.
E. Obligations for Grant Recipients Asserting a Limitation on Liability from
CERCLA § 107
EPA awarded this cooperative agreement to the CAR based on information
indicating that the CAR would not use cooperative agreement funds to pay for a
response cost at the site for which the CAR was potentially liable under CERCLA
107. If the CAR is not potentially liable based on its status as either a Bona Fide
Prospective Purchaser (BFPP), Contiguous Property Owner (CPO), or Innocent
Land Owner (ILO), the CAR must meet certain continuing obligations in order to
maintain its status. If the CAR fails to meet these obligations, EPA may disallow
the costs incurred under this cooperative agreement for cleaning up the site
under CERLCA 104(k)(7)(C). These continuing obligations include:
(1) Complying with any land use restrictions established or relied on in
connection with the response action at the vessel or facility and not
impeding the effectiveness or integrity of institutional controls ;
(2) Taking reasonable steps with respect to hazardous substance
releases;
(3) Providing full cooperation, assistance, and access to persons that are
authorized to conduct response actions or natural resource restoration ;
and
(4) Complying with information requests and administrative subpoenas
and legally required notices (applies to the criteria for bona fide
prospective purchasers and contiguous property owners ).
Notwithstanding the CAR's continuing obligations under this agreement, the CAR
is subject to the applicable liability provisions of CERCLA governing its. status as
a BFPP, CPO, or ILO. CERCLA requires additional obligations to maintain the
liability limitations for BFPP, CPO, and ILO; the relevant provisions for these
obligations include §;101( 35), 101(40), 107(b), 107(q) and 107(r).
F. Interest -Bearing Accounts and Program Income
1. Interest earned on advances are subject to the provisions of 40 CFR §31.21(i) and
§30.22(1) relating to remitting interest on advances to EPA on a quarterly basis .
2. Any program 1ncome earned by the CAR will be added to the funds EPA has
committed to this agreement and used only for eligible and allowable costs under
the agreement as provided in 40 CFR 30.24(b)(1) or 40 CFR 31.25(8)(2), as
applicable.
IV. CLEANUP ENVIRONMENTAL REQUIREMENTS
A. Authorized Cleanup Activities
The CAR shall prepare an analysis of brownfields cleanup alternatives or
equivalent state brownfields program document which will include information about
the site and contamination issues (i.e., exposure pathways, identification of
contaminant sources, etc.); cleanup standards; applicable laws; alternatives
considered; and the proposed cleanup. The evaluation of alternatives must include
effectiveness, implementability, and the cost of the response proposed.. The
evaluation will include an analysis of reasonable alternatives including no action .
The cleanup method chosen must be based on this analysis.
2. For cleanup of petroleum sites identified in the EPA -approved work plan,. an
analysis of cleanup alternatives must include considering a range of proven
cleanup methods including identification of contaminant sources , exposure
pathways, and an evaluation of corrective measures. The cleanup method chosen
must be based on this analysis.
3. Prior to conducting or engaging in any on -site activity with the potential to impact
historic properties (such as invasive sampling or cleanup), the CAR shall consult
with EPA regarding potential applicability of the National Historic Preservation. Act
and, if applicable, shall assist EPA in complying with any requirements of the Act
and implementing regulations.
B. Quality Assurance (QA) Requirements
If environmental samples are to be collected as part of the brownfields cleanup
(e.g., cleanup verification sampling, post -cleanup confirmation sampling), the CAR
shall comply with 40 CFR Part 31.45 (or 40 CFR Part 30.54 requirements for
nonprofit organizations) requirements to develop and implement quality assurance
practices sufficient to produce data adequate to meet project objectives and to
minimize data loss. State law may impose additional QA requirements.
2. QAPP: The CAR, or its service agent/contractor(s), must have an EPA approved
Quality Assurance Project Plan (QAPP) in place before beginning each property
specific field activity, funded wholly or in part by this agreement, that includes
sampling and analysis of environmental media. The CAR should allow EPA
adequate time (generally 45 days) for review and approval. The QAPP should be
consistent with the EPA Region 4 "Interim Generic & Site Specific Quality
Assurance Project Plan Guidance for Brownfields Site Assessments and /or
Cleanups, "February 2010, and later revisions.
C. Community Relations and Public Involvement in Cleanup Activities
1. All cleanup activities requirea. site-specific community relations plan that includes
providing reasonable notice, opportunity for involvement, response to comments,
and administrative records that are available to the public .
D, Administrative Record
The CAR shall establish an administrative record that contains the documents that
form the basis for the selection of a cleanup plan. Documents in the administrative
record shall include an analysis of reasonable alternatives including no action ; site
investigation reports; the cleanup plan; cleanup standards used; responses to
public comments; and verification that shows that cleanup is complete. The CAR
shall keep the administrative record available at a location convenient to the public
and make it available for. inspection.
E. Implementation of Cleanup Activities
1. The CAR shall ensure the adequacy of each cleanup in protecting human health
and the environment as it is implemented. If changes to .the expected cleanup are
necessary based on public comment or other reasons, the CAR must consult with
EPA and may not make substantial changes to the cleanup method described in
the work plan without prior EPA approval.
2. If the CAR is unable or unwilling to complete the cleanup, the CAR shall ensure that
the site is secure. The CAR shall notify the appropriate state agency and the U S.
EPA to ensure an orderly transition should additional activities become necessary .
F. Completion of Cleanup Activities
1. The CAR shall ensure that the successful completion of a cleanup is property
documented. This must be done through a final report or Fetter from a qualified
environmental professional, or other documentation provided by a State or Tribe that
shows cleanup is complete. This documentation needs to be included as part of the
administrative record.
For the purposes of these terms and conditions, contaminants are considered
cleaned up when a "clean" or "no further action" letter (or its equivalent) has been
issued by the state or tribe under its voluntary response program (or its equivalent)
for cleanup activities at the property; or the [cooperative agreement] recipient or
property owner, upon the recommendation of an environmental professional , has
determined and documented that on -property work is finished and any needed
institutional or engineering controls are in place and functional . On-going operation
and maintenance activities or monitoring may continue after a "cleaned up"
designation has been made.
V. OTHER CLEANUP GRANT REQUIREMENTS
A. Inclusion of Special Terms and Conditions in Cleanup Documents
1. The CAR shall meet the cleanup and other program requirements of the cleanup
including:
In accordance with 40 CFR 31.42 or 40 CFR 30.53, the CAR shall
maintain records for a minimum of three years following completion of the
cleanup financed all or in part with cleanup grant funds . Cooperative
agreement recipients shall provide access to records relating to cleanups
supported with cleanup grant funds to authorized representatives of the
Federal government.
The CAR has an ongoing obligation to advise EPA if assessed any
penalties resulting from environmental non-compliance at the site subject
to this agreement.
B. Conflict of Interest
The CAR shall establish and enforce conflict of interest provisions that prevent the
award of sub grants that create real or apparent personal conflicts of interest or the
appearance of the CAR's lack of impartiality. Such situations include, but are not
limited to, situations in which an employee, official, consultant, contractor, or other
individual associated with the CAR .(affected party) approves or administers a sub
grant to a sub grant recipient in which the affected party has a financial or other
interest. Such a conflict of interest or appearance of lack of impartiality may arise
when:
(i) The affected party,
(ii) Any member of his immediate family,
(iii) His or her partner, or
(iv) An organization which employs, or is about to employ, any of the above,
has a financial or other interest in the sub grant recipient .
Affected employees will neither solicit nor accept gratuities , favors, or anything of
monetary value from sub grant recipients. Recipients may set minimum rules
where the financial interest is not substantial or the gift is an unsolicited item of
nominal intrinsic value. To the extent permitted by State or local law or
regulations, such standards of conduct will provide for penalties, sanctions, or
other disciplinary actions for violations of such standards by affected parties .
VI. PAYMENT AND CLOSEOUT
For the purposes of these terms and conditions, the followingdefinitions, apply:
"payment" is the U.S. EPA's transfer of funds to the CAR; "close out" refers to the
process that the U.S. EPA follows to ensure that all administrative actions and work
required under the cooperative agreement have been completed .
A. Payment Schedule
If the approved budget for the project includes a substantial amount of construction
costs, EPA will pay the CAR on a reimbursement basis. The CAR must submit
documentation of obligations and expenses incurred under the agreement to EPA's
-project officer for approval prior to obtaining payment from EPA under the
Electronic Funds Transfer (EFT) or Automated Standard Application for.Payments
(ASAP) system.
B. Schedule for Closeout
1. Closeout will be conducted in accordance with 40 CFR 31.50 or 40 CFR 30.71
following expiration of the term of the agreement or expenditure of the funds
awarded and, completion of the activities described by the EPA -approved work plan.
2. The CAR, within 90 days after the expiration or termination of the grant, must
submit all financial, performance, and other reports required as a condition of the grant .
a. The CAR must submit the following documentation:
1. The Final Report as described in II .E.
2. A Final Federal Financial Report (FFR-- SF425) to:
U.S. EPA Las Vegas Finance Center
P.O. Box 98515
Las Vegas, NV 89193-8515
Fax: (702) 798-2423
http://www.epa.gov/ocfo/finservices/payinfo.html
Link to form: http://www.epa.gov/ogd/forms/adobe/SF425.pdf
3. A Final MBE/WBE Report (EPA Form 5700-52A) to the regional office.
The form can be accessed at:
http://www.epa.gov/ogd/forms%adobe/5700 52a sec.pdf
b. The CAR must ensure that all appropriate data has been entered into ACRES .
c. The grantee must immediately refund to the Federal agency any balance of
unobligated (unencumbered) cash advanced that is not authorized to be
retained for use on other grants.
Davis Bacon Term and Condition
for
Petroleum Cleanup Grants to Governmental Entities
DAVIS BACON PREVAILING WAGE TERM AND CONDITION
The following terms and conditions specify how Recipients will assist EPA in meeting its
Davis Bacon (DB) responsibilities when DB applies to EPA awards of financial
assistance under the Recovery Actor any other statute which makes DB applicable to
EPA financial assistance. If a Recipient has questions regarding when DB applies,
obtaining the correct DB wage determinations, DB contract provisions, or DB
compliance monitoring, they should contact the Regional Brownfields Coordinator or
Project Officer for guidance.
1. Applicability of the Davis Bacon Prevailing Wage Requirements
After consultation with DOL, EPA has determined that for Brownfields grants for
cleanups of sites contaminated with petroleum, DB prevailing wage requirement apply
when the project includes:
(a) Installing piping to connect households or businesses to public water systems
or replacing public water system supply well (s) and associated piping due to
groundwater contamination,
(b) Soil excavation/replacement when undertaken in conjunction with the
installation of public water lines/wells described above, or
(c) Soil, excavation/replacement, tank removal, and restoring the area by paving
or pourig concrete when the soil excavation /replacement occurs in conjunction
with both tank removal and paving or concrete replacement.
In the above circumstances, all the laborers and mechanics employed by contractors
and subcontractors will be covered by the DB requirements for al! construction work
performed on the site. Other petroleum site cleanup activities such as in situ
remediation, and soil excavation/replacement and tank removal when not in conjunction
with paving or concrete replacement, will normally not trigger DB requirements.
However, if the Recipient encounters a unique situation at a site (e.g. unusually
extensive excavation, construction of permanent facilities to house in situ remediation
systems, reconstruction of roadways) that presents uncertainties regarding DB
applicability, the Recipient must discuss the situation with EPA before authorizing Work
on that site.
2. Obtaining Wage Determinations
(a) Unless otherwise instructed by EPA on a project specific basis , the Recipient
shall use the following DOL General Wage Classifications for the.locality in
which the construction activity subject to DB will take place . Recipients must
obtain wage determinations. for specific localities at www.wdol.gov.
(i) When soliciting competitive contracts, awarding new contracts or issuing task
orders, work assignments or,similar instruments to existing contractors (ordering
instruments) for installing piping to connect households or businesses to public
water systems or replacing public water system supply well (s) and associated
piping, including soil excavation/replacement, the Recipients shall use. the
"Heavy Construction" Classification.
(ii) When soliciting competitive contracts, awarding new contracts, or
issuing ordering instruments for soil excavation/replacement, tank
removal, and restoring the area by paving or pouring concrete when
the soil excavation/replacement occurs in conjunction with both tank
removal and paving or concrete replacement at current or former
service station sites, hospitals, fire stations, industrial or freight
terminal facilities, or other sites that are associated with a facility that is
not used solely for the underground storage of fuel or other
contaminant the Recipient shall use the "Building Construction"
classification.
(iii) When soliciting competitive contracts, awarding new contracts or
issuing ordering instruments for soil excavation/replacement, tank
removal, and restoring the area by paving or pouring concrete when
the soil excavation /replacement occurs in conjunction with both tank
removal and paving or concrete replacement at a facility that is used
solely for the underground storage of fuel or other contaminant the
Recipient shall use the "Heavy Construction" classification.
Note: Recipients must discuss unique situations that may not be covered by
the General Wage Classifications described above with EPA. If, based on
discussions with a Recipient, EPA determines that DB applies to a unique
situation (e.g. unusually extensive excavation) the Agency will advise the
.Recipient which General Wage Classification to use based on the nature of
the construction activity at the site.
(b) Recipients shall obtain the wage determination for the locality in which a
Brownfields cleanup activity subject to DB will take place ,priol-to issuing requests for
bids, proposals, quotes or other methods for soliciting contracts (solicitation) for
activities subject to DB. These wage determinations shall be incorporated into
solicitations and any subsequent contracts. Prime contracts must contain a provision
requiring that subcontractors follow the wage determination incorporated into the prime
contract.
(i) While the solicitation remains open, the Recipient shall monitor
www.wdol.gov. on a weekly basis to ensure that the wage determination
contained in the solicitation remains current. The Recipient shall amend the
solicitation if DOL issues a modification more than 10 days prior to the closing
date (i.e. bid opening) for the solicitation. If DOL modifies or supersedes the
applicable wage determination less than 10 days prior to the closing date, the
Recipient may request a finding from EPA that there is not a reasonable time
to notify interested contractors of the modification of the wage determination .
EPA will provide a report of the Agency's finding to the Recipient .
(ii) If the Recipient does not award the contract within 90 days of the closure of
the solicitation, any modifications or supersedes DOL makes to the wage
determination contained in the solicitation shall be effective unless EPA , at
the request of the Recipient, obtains an extension of the 90 day period from
DOL pursuant to 29 CFR 1.6(c)(3)(iv). The Recipient shall monitor
www.wdol.gov on a weekly basis if it does not award the contract within 90
days of closure of the solicitation to ensure that wage determinations
contained in the solicitation remain current.
(iii) If the Recipient carries out Brownfields _cleanup activity subject to DB.by issuing
a task order, work assignment or similar instrument to an existing contractor (ordering
instrument) rather than by publishing a solicitation, the Recipient shall insert the
appropriate DOL wage determination from www.wdol.aov into the ordering instrument.
(c) Recipients shall review all subcontracts subject to DB entered into by prime
contractors to verify that the prime contractor has required its subcontractors to include
the applicable wage determinations.
(d) As provided in 29 CFR 1.6(f), DOL may issue a revised wage determination
applicable to a Recipient's contract after the award of a contract or the issuance of an
ordering instrument if DOL determines that the Recipient has failed to incorporate a
wage determination or has used a wage determination that clearly does not apply to the
contract or ordering instrument. If this occurs, the Recipient shall either terminate the
contract or ordering instrument and issue a revised solicitation or ordering instrument or
incorporate DOL's wage determination retroactive to the beginning of the contract or
ordering instrument by change order. The Recipient's contractor must be. compensated
for any increases in wages resulting from the use of DOL's revised wage determination .
3. Contract and Subcontract Provisions
(a) The Recipient shall insert in full in any contract in excess of $2,000 which is entered
into for the actual construction, alteration and/or repair, including painting and
decorating, of a public building or public work, or building or work financed in whole or
in part from Federal funds or in accordance with guarantees of a Federal agency or
financed from funds obtained by pledge of any contract of a Federal agency to make a
loan, grant or annual contribution (except where a different meaning is expressly
indicated), and which is subject to DB, the following labor standards provisions. .
(1) Minimum wages.
(i) All laborers and mechanics employed or working upon the site of the work will be.
paid unconditionally and not less often than once a week ,.and without subsequent
deduction or rebate on any account (except such payroll deductions as are permitted by
regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3) ),
the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due
at time of payment computed at rates not less than those contained in the applicable
wage determination of the Secretary of Labor which the Recipient obtained under the
procedures specified in Item 2, above, and made a part hereof, regardless of any
contractual relationship which may be alleged to exist between the contractor and such
laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under
section.1(b)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are
considered wages paid to such laborers or mechanics, subject to the provisions of
paragraph (a)(1)(iv) of this section; also,, regular contributions made or costs incurred
for more than a weekly period (but not less often than quarterly) under plans, funds, or
programs which cover the particular weekly period, are deemed to be constructively
made or incurred during such weekly period, Such laborers and mechanics shall be
paid the appropriate wage rate and fringe benefits on the wage determination for the
classification of work actually performed, without regard to skill, except as provided in §
5.5(a)(4). Laborers or mechanics performing work in more than one classification may
be compensated at the rate specified for each classification for the time actually worked
therein: Provided that the employer's payroll records accurately set forth the time spent
in each classification in which work is performed. The wage determination (including
any additional classification and wage rates conformed under.paragraph (a)(1)(ii) of this
section) and the Davis -Bacon poster (WH -1321) shall be posted at all times by the
contractor and its subcontractors at the site of the work in a prominent and accessible
place where it can be easily seen by the workers. Recipients shall require that the
contractor and subcontractors include the name of the Recipient employee or official
responsible for monitoring compliance with DB on the poster.
(ii)(A) The Recipient, on behalf of EPA, shall require that contracts and subcontracts
entered into under this agreement provide that any class of laborers or mechanics ,
including helpers, which is not listed in the wage determination and which is to be
employed under the contract shall be_ classified in conformance with the wage
determination. The EPA Award Official shall approve an additional classification and
wage rate and fringe benefits therefore only when the following criteria have been met
(1) The work to be performed by the classification requested is not performed by a
classification in the wage determination; and
(2) The classification is utilized in the area by the construction industry ; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination .
(B) If the contractor and the laborers and mechanics to be employed in the classification
(if known), or their representatives, and the Recipient agree on the classification and
wage rate (including the amount designated for fringe benefits where appropriate ), a
report of the action taken shall be sent by the Recipient to the EPA Award Official . The
Award Official will transmit the report, to the Administrator of the Wage and Hour
Division, Employment Standards Administration, U.S. Department of Labor,
Washington, DC 20210. The Administrator, or an authorized representative, will
approve, modify, or disapprove every additional classification action within 30 days of
receipt and so advise the award official or will notify the award official within the 30 -day
period that additional time is necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the
classification or their representatives, and the Recipient do not agree on the proposed
classification and wage rate (including the amount designated for fringe benefits, where
appropriate), the award official shall refer the questions, including the views of all
interested parties and the recommendation of the award official , to the Administrator for
determination. The Administrator, or an authorized representative, will issue a
determination within 30 days of receipt and so advise the contracting officer or will notify
the Award Official within the 30 -day period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (a)(1)(ii)(B) or (C) of this section, shall be paid to all workers performing
work in the classification under this contract from the first day on which work is
performed in the classification.
(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers
or mechanics includes a fringe benefit which is not expressed as an hourly rate , the
contractor shall either pay the benefit as stated in the wage determination or shall pay
another bona fide fringe benefit or an hourly cash equivalent thereof .
(iv) If the contractor does not make payments to a trustee or other third person , the
contractor may consider as part of the wages of any laborer or mechanic the amount of
any costs reasonably anticipated in providing bona fide fringe benefits under a plan or
program, Provided, That the Secretary of Labor has found, upon the written request of .
the contractor, that the applicable standards of the Davis -Bacon Act have been met.
The Secretary of Labor may require the contractor to set aside in a separate account
assets for the meeting of obligations under the plan or program .
(1) Withholding. The Recipient, upon written request of the Award Official or an
authorized representative of the Department of Labor, shall withhold or cause to
withhold from the contractor under this contract or any other Federal contract with the
same prime contractor, or any other federally -assisted contract subject to Davis -Bacon
prevailing wage requirements, which is held by the same prime contractor, so much of
the accrued payments or advances as may be considered necessary to pay laborers
and mechanics, including apprentices, trainees, and helpers, employed by the
contractor or any subcontractor the full amount of wages required by the contract . In the
event of failure to pay any laborer or mechanic, including any apprentice, trainee., or
helper, employed or working on the site of the work all or part of the wages required by
the contract, EPA may, after written notice to the contractor, or Recipient take such
action as may be necessary to cause the suspension of any further payment , advance,
or guarantee of funds until such violations have ceased .
(2) Payrolls and basic records.
(i) Payrolls and basic records relating thereto shall be maintained by the contractor
during the course of the work and preserved for a period of three years thereafter for all
laborers and mechanics working at the site of the work . Such records shall contain the
name, address, and social security number of each such worker, his or her correct
classification, hourly rates of wages paid (including rates of contributions or costs
anticipated for bona fide fringe benefits or cash equivalents thereof of the types
described in section 1(b)(2)(B) of the Davis -Bacon Act), daily and weekly number of
hours worked, deductions made and actual wages paid. Whenever the Secretary of
Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic
include the amount of any costs reasonably.anticipated in providing benefits under a
plan or program described in section 1(b)(2)(B) of the Davis -Bacon Act, the contractor
shall maintain records which show that the commitment to provide such benefits is
enforceable, that the plan or program is financially responsible, and that the plan or
program has been communicated in writing to the laborers or mechanics affected , and
records which show the costs anticipated or the actual cost incurred in providing such
benefits. Contractors employing apprentices or trainees under approved programs shall
maintain written evidence of the registration of apprenticeship programs and
certification of trainee programs, the registration of the apprentices and trainees, and
the ratios and wage rates prescribed in the applicable programs .
(ii)(A) The contractor shall submit weekly for each week in which any contract work is
performed a copy of all payrolls to the Recipient who will maintain the records on behalf
of EPA. The payrolls submitted shall set out accurately and completely all of the
information required to be maintained under 29 CFR 5.5(a)(3)(1), except that full social
security numbers and home addresses shall not be included on weekly transmittals.
Instead the payrolls shall only need to include an individually identifying number for
each employee (e.g., the last four digits of the employee's social security number). The
required weekly payroll information may be submitted in any form desired . Optional
Form WH -347 is available for this purpose from the Wage and Hour Division Web site
at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime
contractor is responsible for the submission of copies of payrolls by all subcontractors .
Contractors and subcontractors shall maintain the full social security number and
current address of each covered worker, and shall provide them upon request to the
Recipient for transmission to the EPA, if requested by EPA, the contractor, or the Wage
and Hour Division of the Department of Labor for purposes of an investigation or audit
of compliance with prevailing wage requirements. It is not a violation of this section for a
prime contractor to require a subcontractor to provide addresses and social security
numbers to the prime contractor for its own records, without weekly submission to the
Recipient.
(B) Each payroll submitted to the Recipient shall be accompanied by a "Statement of
Compliance," signed by the contractor or subcontractor or his or her agent who pays or
supervises the payment of the persons employed under the contract and shall certify
the following:
(1) That the payroll for the payroll period contains the information required to be
provided under § 5.5 (a)(3)(ii) of Regulations, 29 CFR Part 5, the appropriate
information is being maintained under § 5.5 (a)(3)(i) of Regulations, 29 CFR Part 5, and
that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee)
employed on the contract during the payroll period has been paid the full weekly wages
earned, without rebate, either directly or indirectly, and that no deductions have been
made either directly or indirectly from the full wages earned, other than permissible .
deductions as set forth in Regulations, 29 CFR Part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage
rates and fringe benefits or cash equivalents for the classification of work performed , as
specified in the applicable wage determination incorporated into the contract .
(C) The weekly submission of a properly executed certification set forth on the reverse
side of Optional Form WH -347 shall satisfy the requirement for submission of the
"Statement of Compliance" required by paragraph (a)(3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the contractor or
subcontractor to civil or criminal prosecution under section 1001 of title 18 and section
231 of title 31 of the United States Code.
(iii) The contractor or subcontractor shall make the records required under paragraph
(a)(3)(i) of this section available for inspection, copying, or transcription by authorized.
representatives of the EPA or the Department of Labor, and shall permit such
representatives to interview employees during working hours on the job . If the
contractor or subcontractor fails to submit the required records or to make them
available, EPA may, after written notice to the contractor, Recipient, sponsor, applicant,
or owner, take such action as may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds. Furthermore, failure to submit the required
records upon request or to make such records available may be grounds for debarment
action pursuant to 29 CFR 5.12.
(4) Apprentices and Trainees
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined,
rate for the work they performed when they are employed pursuant to and individually
registered in a bona fide apprenticeship program registered with the U S. Department of
Labor, Employment and Training Administration, Office of Apprenticeship Training,
Employer and Labor Services, or with a State Apprenticeship Agency recognized by the
Office, or if a person is employed in his or her first 90 days of probationary employment
as an apprentice in such an apprenticeship program , who is not individually registered
in the program, but who has been certified by the Office of Apprenticeship Training ,
Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to
be eligible for probationary employment as an apprentice. The allowable ratio of
apprentices to journeymen on the job site in any craft classification shall not be greater
than the ratio permitted to the contractor as to the entire work force under the registered
program. Any worker listed on a payroll at an apprentice wage rate, who is not
registered or otherwise employed as stated above, shall be paid not less than the
applicable wage rate on the wage determination for the classification of work actually
performed. In addition, any apprentice performing work on the job site in excess of the
ratio permitted under the registered program shall be paid not less than the applicable
wage rate on the wage determination for the work actually performed . Where a
contractor is performing construction on a project in a locality other than that in which its
program is registered, the ratios and wage rates (expressed in percentages of the
journeyman's hourly rate) specified in the contractor's or subcontractor's registered
program shall be observed. Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of progress, expressed as
a percentage of the journeymen hourly rate specified in the applicable wage
determination. Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenticeship program . If the apprenticeship program does not
specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed
on the wage determination for the applicable classification . If the Administrator
determines that a.different practice prevails for the.appiicable apprentice classification ,
fringes shall be paid in accordance with that determination . In the event the Office of
Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship
Agency recognized by the Office, withdraws approval of an apprenticeship program, the
contractor will no longer be permitted to utilize apprentices at less than the applicable
predetermined rate for the work performed until an acceptable program is approved .
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work
at less than the predetermined rate for the work performed unless they are employed
pursuant to and individually registered in a program which has received prior approval ,
evidenced by formal certification by the U.S. Department of Labor, Employment and
Training Administration. The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the Employment and Training
Administration. Every trainee must be paid at not less than the rate specified in the
approved program for the trainee's level of progress, expressed as a percentage of the
journeyman hourly rate specified in the applicable wage determination . Trainees shall
be paid fringe benefits in accordance with the provisions of the trainee program . If the
trainee program does not mention fringe benefits, trainees shall be paid the full amount
of fringe benefits listed.on the wage determination unless the Administrator of the Wage
and Hour Division determines that there is an apprenticeship program associated with
the corresponding journeyman wage rate on the wage determination which provides for
less than full fringe benefits for apprentices. Any employee listed on the payroll at a
trainee rate who is not registered and participating in a training plan approved by the
Employment and Training Administration shall be paid not less than the applicable
wage rate on the wage determination for the classification of work actually performed .
In addition, any trainee performing work on the job site in excess of the ratio permitted
under the registered program shall be paid not less than the applicable wage rate on
the wage determination for the work actually performed . In the event the Employment
and Training Administration withdraws approval of a training program , the contractor will
no longer be permitted to utilize trainees at less than the applicable predetermined rate
for the work performed until an acceptable program is approved .
(iii) Equal employment opportunity. The utilization of apprentices, trainees and
journeymen under this part shall be in conformity with the equal employment
opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.
(5) Compliance with Copeland Act requirements. The contractor shall comply with the
requirements of 29 CFR Part 3, which are incorporated by reference in this contract.
(6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the
clauses contained in 29 CFR 5.5(a)(1) through (10) and such other.clauses as the EPA
may by appropriate instructions require., and also a clause requiring the subcontractors
to include these clauses in any lower tier subcontracts. The prime contractor shall be
responsible for the compliance by any subcontractor or lower tier subcontractor with all
the contract clauses in this term and condition.
(7) Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5
may be grounds for termination of the contract, and for debarment as a contractor and .a
subcontractor as provided in 29 CFR 5.12.
(8) Compliance with Davis -Bacon and Related Act requirements. All rulings and
interpretations of the Davis -Bacon and Related Acts contained in 29 CFR Parts 1, 3,
and 5 are herein incorporated by reference in this contract.
(9) Disputes concerning labor standards. Disputes arising out of the labor standards
provisions of this contract shall not be subject to the general disputes clause of this
contract. Such disputes shall be resolved in accordance with the procedures of the
Department of Labor.set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning
of this clause include disputes between the contractor (or any of its subcontractors), the
Recipient, borrower or subgrantee and EPA, the U.S. Department of Labor, or the
employees or their representatives.
(10) Certification of eligibility.
(i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor
any person or firm who has an interest in the contractor's firm is a person or firm,
ineligible to be awarded Government contracts by virtue of section 3(a) of the
Davis -Bacon Act or 29 CFR 5.12(a)(1).
(ii) No part of this contract shall be subcontracted to any person or firm ineligible for
award of a Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29
CFR 5.12(x)(1).
(iii) The penalty for making false statements is prescribed in the U S. Criminal Code, 18
U.S.C. 1001.
4. Contract Provisions for Contracts in Excess of $100,000
(a) Contract Work Hours and Safety Standards Act. The Recipient shall insert the following clauses set forth in
paragraphs (a)(1), (2), (3), and (4) of this section in full in any contract in an amount in excess of $100,000 and
subject to the overtime provisions of the Contract Work Hours and Safety Standards Act . These clauses shall be
inserted in addition to the clauses required by Item 3, above or 29 CFR 4.6. As used in this paragraph, the terms
laborers and mechanics include watchmen and guards.
(1) Overtime requirements. No contractor or subcontractor contracting for any part of
the contract work which may require or involve the employment of laborers or
mechanics shall require or permit any such laborer or mechanic in any workweek in
which he or she is employed on such work to work in excess of forty hours in such
workweek unless such laborer or mechanic receives compensation at a rate not less
than one and one-half times the basic rate of pay for all hours worked in excess of forty
hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation
of the clause set forth in paragraph (a)(1) of this section the contractor and any
subcontractor responsible therefor shall be liable for the unpaid wages . In addition,
such contractor and subcontractor shall be liable to the United States (in the case of
work done under contract for the District of Columbia or a territory, to such District or to
such territory), for liquidated damages. Such liquidated damages shall be computed
with respect to each individual laborer or mechanic, including watchmen and guards,
employed in violation of the clause set forth in paragraph (a)(1) of this section, in the
sum of $10 for each calendar day on which such individual was required or permitted .to
work in excess of the standard workweek of forty hours without payment of the overtime
wages required by the clause set forth in paragraph (a)(1) of this section.
(3) Withholding for.unpaid wages and liquidated damages. The Recipient, upon written
request of the Award Official or an authorized representative of the Department of
Labor, shall withhold or cause to withhold from any moneys payable on account of work
performed by the contractor or subcontractor under any such contract oranyother
Federal contract with the same prime contractor, or any other federally -assisted
contract subject to the Contract Work Hours and Safety Standards Act, which is held by
the same prime contractor, such sums as may be determined to be necessary to satisfy
any liabilities of such contractor or subcontractor for unpaid wages and liquidated
damages as provided in the clause set forth in paragraph (a)(2) of this section,
(4) Subcontracts, The contractor or subcontractor shall insert in any subcontracts the
clauses set forth in paragraph (a)(1) through (4) of this section and also a clause
requiring the subcontractors to include these clauses in any lower tier subcontracts . The
prime contractor shall be responsible for compliance by any subcontractor or lower tier
subcontractor with the clauses set forth in paragraphs (a)(1) through (4) of this section.
(b) In addition to the clauses contained in Item 3, above, in any contract subject only to the Contract Work Hours and
Safety Standards Act and not to any of the other statutes cited in 29 CFR 5. 1, the Recipient shall insert a clause
requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of
the work and shall preserve them for a period of three years from the completion of the contract for all laborers and
mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and
address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and
weekly number of hours worked, deductions made, and actual wages paid. Further, the Recipient shall insert in any
such contract a clause providing that the records to be maintained under this paragraph shall be made available by
the contractor or subcontractor for inspection , copying, or transcription by authorized representatives of the (write the
name of agency) and the Department of Labor, and the contractor or subcontractor will permit such representatives
to interview employees during working hours on the job.
5. Compliance Verification
(a) The Recipient shall periodically interview a sufficient number of employees entitled
to DB prevailing wages (covered employees) to verify that contractors or subcontractors
are paying the appropriate wage rates. As provided in 29 CFR 5.6(a)(6), all interviews
must be conducted in confidence. The Recipient must use Standard Form 1445 or
.equivalent documentation to memorialize the interviews. Copies of the SF 1445 are
available from EPA on request.
(b) The Recipient shall establish and follow an interview schedule based on its
assessment of the risks of noncompliance with DB posed by contractors or
subcontractors and the duration of the contract or subcontract. At a minimum, the
Recipient must conduct interviews with a representative group of covered employees
within two weeks of each contractor or subcontractor's submission of its initial weekly
payroll data and two weeks prior to the estimated completion date for the contract or
subcontract. Recipients must conduct more frequent interviews if the initial interviews
or other information indicates that there is a risk that the contractor'or subcontractor is
not complying with DB. Recipients shall immediately conduct necessary interviews in
response to an alleged violation of the prevailing wage requirements . All interviews
shall be conducted in confidence.
(c) The Recipient shall periodically conduct spot checks of a representative sample of
weekly payroll data to verify that contractors or subcontractors are paying the
appropriate wage rates. The Recipient shall establish and follow a spot check schedule
based on its assessment of the risks of noncompliance with DB posed by contractors or
subcontractors and the duration of the contract or subcontract. At a minimum, the
Recipient must spot check payroll data within two weeks of each contractor or
subcontractor's submission of its initial payroll data and two weeks prior to the
completion date the contract or subcontract . Recipients must conduct more frequent
spot checks if the initial spot check or other information indicates that there is a risk that
the contractor or subcontractor is not complying with DB . In addition, during the
examinations ,the Recipient shall verify evidence of fringe benefit plans and payments
thereunder by contractors and subcontractors who claim credit for fringe benefit
contributions.
(d) The Recipient shall periodically review contractors and subcontractors use of
apprentices and trainees to verify registration and certification with respect to
apprenticeship and training programs approved by either the U .S Department of Labor
or a state, as appropriate, and that contractors and subcontractors are not using
disproportionate numbers of, laborers, trainees and apprentices. These reviews shall
be conducted in accordance with the schedules for spot checks.and interviews
described in Item 5(b) and (c) above.
(e) Recipients must immediately report potential violations of the DB prevailing wage
requirements to the EPA DB contact listed above and to the appropriate DOL Wage and
Hour District Office listed at http://www,dol.gov/esa/contacts/whd/america2.htm.