1-Clean Ports Grant Programmatic Conditions (1).pdf

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Programmatic Conditions

CLEAN PORTS CLIMATE AND AIR QUALITY PLANNING (CAQP)

GRANTS PROGRAMMATIC TERMS AND CONDITIONS (Updated 11/27/24)

A. Final Approved Workplan and Modifications

1. Recipient agrees to carry out the project in accordance with the final approved workplan.

2. Recipients are required to report deviations from budget or project scope or objective, and must request prior written approval from EPA:

a. for any change in the scope or objective of the project or program (even if there is no associated budget revision requiring prior written approval);

b. any change in key personnel (including employees and contractors) that are identified by name or position in the Federal award specified in the application or workplan;

c. the disengagement from the project for more than three months, or a 25% reduction in time and effort devoted to the Federal award over the course of the period of performance, by the approved project director or project manager;

d. the inclusion of costs that require prior approval in accordance with 2 CFR Part 200 Subpart E—Cost Principles or 48 CFR part 31, “Contract Cost Principles and Procedures,” as applicable;

e. the transfer of funds budgeted for participant support costs to other budget categories as defined in 2 CFR Section 200.1 Definitions to other categories of expense;

f. unless described in the final approved workplan and budget, the subawarding, transferring or contracting out of any work under the award;

g. for changes in the total approved cost-sharing by the recipient; or

h. the need arises for additional Federal funds to complete the project.

Requests for modifications to the approved workplan or budget, including additions, deletions, or changes in the schedule, must be submitted in a timely manner to the EPA Project Officer for approval, to minimize project delays. Depending on the type or scope of changes, a formal amendment to the award may be necessary. Major project modifications which include changes to the approved types and number of partners and equipment, or to the approved project partners and location(s) may not be allowed.

B. Performance Reporting and Final Performance Report

B1. Performance Reports – Content

In accordance with 2 CFR 200.329, the recipient agrees to complete and submit electronic

5Y - 00I30200 - 0 Page 7 performance reports using reporting template(s), including the approved Clean Ports Project Reporting Template (EPA Form Number: 5900-690 or future revisions, as applicable), which will be provided by the project officer. The purpose of semi-annual performance reports is to provide updates on implementation of each project, including brief information on each of the following areas:

1. A comparison of accomplishments to the outputs/outcomes established in the assistance agreement work plan for the reporting period;

2. The reasons why any established outputs/outcomes were not met;

3. Additional information, analysis and explanation of cost overruns or higher-than-expected unit costs.

Additionally, the recipient agrees to notify the EPA when a significant development occurs that could impact the award. Significant developments include events that enable meeting milestones and objectives sooner or at less cost than anticipated or that produce different beneficial results than originally planned. Significant developments also include problems, delays, or adverse conditions which will impact the ability to meet the milestones or objectives of the award, including outputs/outcomes specified in the assistance agreement work plan. If the significant developments negatively impact the award, the recipient must include information on their plan for corrective action and any assistance needed to resolve the situation.

The final project report will include all categories of information required for semi-annual reporting, including a final description of all climate and air quality planning activities completed for each port, and how the documents were shared publicly. The final project report will also include a narrative summary of the project, the successes and lessons learned for the entire project.

B2. Performance Reports - Frequency

Throughout the 3-year performance period of the grant, the recipient agrees to submit semi-annual performance reports electronically to the EPA Project Officer by the due date following the conclusion of each semi-annual reporting period. The reporting periods are:

January 1 – June 30: Report due date July 30.

July 1 – December 31: Report due date January 30.

The recipient must submit the final performance report no later than 120 calendar days after the end date of the period of performance. Per the reporting form guidance, additional reporting may be required if the grant is extended or at the discretion of the EPA Project Officer.

B3. Subaward Performance Reporting

The recipient must report on its subaward monitoring activities under 2 CFR 200.332(e).

https://www.regulations.gov/document/EPA-HQ-OAR-2023-0492-0028

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Examples of items that must be reported are:

1. Summaries of results of reviews of financial and programmatic reports.

2. Summaries of findings from site visits and/or desk reviews to ensure effective subrecipient performance.

3. Environmental results the subrecipient achieved.

4. Summaries of audit findings and related pass-through entity management decisions.

5. Actions the pass-through entity has taken to correct deficiencies such as those specified at 2 CFR 200.332(f), 2 CFR 200.208 and the 2 CFR Part 200.339 Remedies for Noncompliance.

If the recipient is unable to obtain this information, the recipient must report to EPA why the information is not available.

C. Cybersecurity Condition

Cybersecurity Grant Condition for Other Recipients, Including Intertribal Consortia

1. The recipient agrees that when collecting and managing environmental data under this assistance agreement, it will protect the data by following all applicable State or Tribal law cybersecurity requirements.

2.a. The EPA must ensure that any connections between the recipient's network or information system and EPA networks used by the recipient to transfer data under this agreement, are secure. For purposes of this Section, a connection is defined as a dedicated persistent interface between an Agency IT system and an external IT system for the purpose of transferring information. Transitory, user-controlled connections such as website browsing are excluded from this definition.

If the recipient's connections as defined above do not go through the Environmental Information Exchange Network or the EPA's Central Data Exchange, the recipient agrees to contact the EPA Project Officer (PO) no later than 90 days after the date of this award and work with the designated Regional/Headquarters Information Security Officer to ensure that the connections meet the EPA security requirements, including entering into Interconnection Service Agreements as appropriate. This condition does not apply to manual entry of data by the recipient into systems operated and used by the EPA's regulatory programs for the submission of reporting and/or compliance data.

b. The recipient agrees that any subawards it makes under this agreement will require the subrecipient to comply with the requirements in 2.a if the subrecipient's network or information system is connected to EPA networks to transfer data to the Agency using systems other than the Environmental Information Exchange Network or the EPA's Central Data Exchange. The recipient will be in compliance with this condition: by including this requirement in subaward agreements; and during subrecipient monitoring deemed

5Y - 00I30200 - 0 Page 9 necessary by the recipient under 2 CFR 200.332(e), by inquiring whether the subrecipient has contacted the EPA Project Officer. Nothing in this condition requires the recipient to contact the EPA Project Officer on behalf of a subrecipient or to be involved in the negotiation of an Interconnection Service Agreement between the subrecipient and the EPA.

D. Procurement Procedures

As provided in 2 CFR 200.317, with limited exceptions, states and Indian Tribes must follow the same policies and procedures they follow for procurements financed with non-Federal funds. If such policies and procedures do not exist, States and Indian Tribes must follow the procurement standards in §§ 200.318 through 200.327. In addition to its own policies and procedures, a State or Indian Tribe must also comply with the following procurement standards: §§ 200.321, 200.322, 200.323, and 200.327. All other recipients and subrecipients, including subrecipients of a State or Indian Tribe, must follow the procurement standards in §§ 200.318 through 200.327.

The recipient must follow applicable procurement procedures. The EPA will not be a party to these transactions. If EPA funds will be used to purchase goods or services, recipient agrees to compete the contracts for those goods and services and conduct cost and price analyses to the extent required by the fair and open competition for procurement provisions of 2 CFR

200.318 through 2 CFR 200.327. Approval of a funding application does not relieve recipients of their obligations to compete service contracts and conduct cost and price analyses.

E. Project Transparency

The recipient agrees to engage with near-port communities about the project during the performance period and provide documentation that a detailed written summary of the results of the project (e.g., emissions inventory, emissions reduction targets or other planning activities) have been made available to the public, such as via a webpage, for all activities included in the final workplan. Examples of appropriate community engagement during the project period are outlined on pg. 34 of the Notice of Funding Opportunity.

Community engagement activities conducted as part of the final approved workplan should be reported in performance reporting described in Programmatic Term and Condition B (Performance Reporting and Final Performance Report).

F. Program Audit

In addition to audit requirements listed in the EPA General Terms and Conditions which relate to audits and access to records, the recipient agrees to comply with random EPA reviews of the recipient to protect against waste, fraud, and abuse. As part of this process, the EPA, or its authorized representatives, may request copies of grant documents from prior recipients who have received grants, or may request documentation from current recipients and subrecipients, to verify statements made on the application and reporting documents. Recipients may be selected for advanced monitoring, including a potential site visit to confirm project details. Recipients are expected to comply with site visit requests and recordkeeping requirements and must supply the EPA with any requested documents for as long as the records are retained, or risk cancellation of an active grant application or other enforcement action.

https://www.ecfr.gov/current/title-2/section-200.318 https://www.ecfr.gov/current/title-2/section-200.327 https://www.ecfr.gov/current/title-2/section-200.321 https://www.ecfr.gov/current/title-2/section-200.322 https://www.ecfr.gov/current/title-2/section-200.323 https://www.ecfr.gov/current/title-2/section-200.327 https://www.ecfr.gov/current/title-2/section-200.318 https://www.ecfr.gov/current/title-2/section-200.327 https://www.epa.gov/system/files/documents/2024-10/fy_2025_epa_general_terms_and_conditions_effective_october_1_2024_or_later.pdf

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G. Record Retention

As required by 2 CFR 200.334-338, the recipient must keep all financial records, supporting documents, accounting books and other evidence of Grant Program activities for three years from the date of submission of the final financial report. If any litigation, claim, or audit is started before the expiration of the three-year period, the recipient must maintain all appropriate records until these actions are completed and all issues resolved.

H. Public or Media Events

The recipient agrees to notify the EPA Project Officer listed in this award document of public or media events publicizing the accomplishment of significant events related to construction projects as a result of this agreement and provide the opportunity for attendance and participation by federal representatives with at least ten (10) working days' notice.

I. Emissions Inventories

Emissions inventories must follow the EPA's Port Emissions Inventory Guidance. This guidance may be found at: https://www.epa.gov/ports-initiative/port-and-goods-movement-emission-inventories.

J. Quality Assurance

1. A Quality Assurance Project Plan (QAPP) is a record of determinations made during planning by the organization of the data type, quality, and quantity necessary to meet project objectives and the quality assurance and quality control procedures, specifications, and documentation that the recipient will use to ensure the desired results. This quality assurance documentation requirement applies to all grants that involve environmental information operations (i.e., the collection, production, evaluation or use of environmental information by and for EPA and/or the design, construction, operation, or application of environmental technology by EPA).

2. To be approvable, the grant recipient must develop a QAPP or equivalent QA document that meets all requirements outlined in EPA QA Project Plan Requirements, QA/R-5. The term QAPP will be used hence forward in this grant QA Term and Condition (R8 QA T&C) to refer to the QAPP or equivalent QA document.

3. If the grant recipient issues a subaward, the grant recipient shall ensure that subawards involving EIO include appropriate quality requirements for the work. The grantee is responsible for developing and implementing project-level planning documents in accordance with these Terms and Conditions, and for ensuring that subaward recipients implement all applicable approved QA planning documents.

4. As applicable and in accordance with 2 CFR 1500.12, the recipient agrees to document in a QAPP, the quality assurance (QA), quality control (QC), and technical activities that must be implemented to ensure that the project objectives are met. Multiple QAPPs and/or a multi-year QAPPs may be prepared as directed in the Work Plan and by the EPA Project Officer.

https://www.epa.gov/ports-initiative/port-and-goods-movement-emission-inventories https://www.epa.gov/ports-initiative/port-and-goods-movement-emission-inventories

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5. Recipients implementing environmental information operations (defined in QA T&C #1) within the scope of the assistance agreement must submit a QAPP to the EPA Project Officer and EPA QA reviewer for review and approval no later than 90 days prior to performing work that includes environmental information operations. Earlier submissions are welcome.

6. The QAPP shall be prepared for each project in accordance with (IAW) EPA QA/R-5: EPA Requirements for Quality Assurance Project Plans. For each QAPP, complete the Region 8 QA Document Review Crosswalk (QAPP Review Crosswalk). In the QAPP Review Crosswalk the recipient shall identify the specific page number(s) and section(s) of the QAPP that addresses the corresponding required QAPP element in QA/R-5, including a detailed explanation for any elements considered not applicable to the grant. The recipient shall submit the completed crosswalk with the QAPP to the EPA Project Officer and EPA QA contact for review and approval. Each QAPP has a maximum period of performance of 5 years.

7. The recipient agrees to ensure that no environmental information operations (defined in QA T&C #1) occur without a QAPP that is approved by the EPA Regional Quality Assurance Manager or their delegate, except under circumstances requiring immediate action to protect human health and the environment or operations conducted under police powers. In the case of this exception, QAPPs must be approved within 30 days of the recipient's first date responding to the incident.

8. For multi-year QAPPs, the recipient must review the current QAPP annually to reconfirm its suitability and effectiveness and its alignment with the grant's work plan. The recipient shall document the review using the Region 8 QA Document Review Crosswalk (QAPP Review Crosswalk). In the QAPP Review Crosswalk the recipient shall identify the specific page number(s) and section(s) of changes to the approved version of the QAPP and include a description of what changed and why in the crosswalk element's comment box. For multi-year QAPPs, the documented annual QAPP review results (using the QAPP Review Crosswalk) must be submitted to EPA Project Officer and QA reviewer annually, no later than 60 days prior to the anniversary date of EPA's approval of the QAPP as a new document. Significant changes to the project require the recipient to modify the QAPP and submit the updated QAPP as a new document as described in QA T&C #6. The recipient must submit the updated QAPP and completed Region 8 QA Document Review Crosswalk to the EPA Project Officer and QA reviewer for review and approval. Only after the revision has been approved shall the change be implemented.

For Reference:

• Quality Management Plan (QMP) Standard and EPA's Quality Assurance Project Plan (QAPP) Standard; contain quality specifications for the EPA and non-EPA organizations and definitions applicable to these terms and conditions.

• EPA QA/G-5: Guidance for Quality Assurance Project Plans: https://www.epa.

gov/sites/default/files/2015-06/documents/g5-final.pdf

• The EPA's Quality Program website has a list of QA managers, and specifications for EPA and Non-EPA Organizations.

https://www.epa.gov/irmpoli8/environmental-information-policy-procedures-and-standards https://www.epa.gov/irmpoli8/environmental-information-policy-procedures-and-standards https://www.epa.gov/sites/default/files/2015-06/documents/g5-final.pdf https://www.epa.gov/sites/default/files/2015-06/documents/g5-final.pdf https://www.epa.gov/quality https://www.epa.gov/quality/epa-national-quality-system-contacts https://www.epa.gov/quality/specifications-epa-and-non-epa-organizations https://www.epa.gov/quality/specifications-epa-and-non-epa-organizations

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• The Office of Grants and Debarment Implementation of Quality Assurance Requirements for Organizations Receiving EPA Financial Assistance.

K. Use of Logos

If the EPA logo is appearing along with logos from other participating entities on websites, outreach materials, or reports, the EPA logo must not be prominently displayed in a way that may imply that any of the recipient or subrecipient's activities are being conducted by the EPA. Instead, the EPA logo should be accompanied with a statement indicating that the Utah Inland Port Authority received financial support from the EPA under an Assistance Agreement. More information is available at: https://www.epa.gov/stylebook/using-epa-seal-and-logo#policy

L. Automated Standard Application Payments (ASAP) and Proper Payment Draw Down

The recipient is subject to the Automated Standard Application Payments (ASAP) and Proper Payment Draw Down General Term and Condition. See the “Financial Information” section of the General Terms and Conditions.

The recipient is required to notify the EPA Project Officer of draws from ASAP in excess of 50% of the award within a 24-hour period. The recipient is required to provide such notification within 3 business days of the draw amount being surpassed.

The recipient is subject to the Management Fees General Term and Condition, which includes the following requirements that prohibit profit on the part of the grantee:

1. Management fees or similar charges in excess of the direct costs and approved indirect rates are not allowable.

2. 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. See the “Selected Items of Cost” section of the General Terms and Conditions.

M. Ineligible Project Costs

The recipient must not include the following activities or costs in the project:

1. Activities that are not focused on one or more ports. For purposes of this assistance program, a port is either a water port or a dry port, as defined below:

a. Water port: places on land alongside navigable water (e.g., oceans, rivers, or lakes) with one or more facilities in close proximity for the loading and unloading of passengers or cargo from ships, ferries, and other commercial vessels. This includes facilities that support non-commercial Tribal fishing operations.

b. Dry port: an intermodal truck-rail facility that is included in the 2024 Federal Highway Administration's (FHWA) Intermodal Connector Database based on meeting the criteria set https://www.epa.gov/grants/implementation-quality-assurance-requirements-organizations-receiving-epa-financial https://www.epa.gov/grants/implementation-quality-assurance-requirements-organizations-receiving-epa-financial https://www.epa.gov/stylebook/using-epa-seal-and-logo https://www.epa.gov/stylebook/using-epa-seal-and-logo https://www.epa.gov/system/files/documents/2024-10/fy_2025_epa_general_terms_and_conditions_effective_october_1_2024_or_later.pdf https://www.epa.gov/system/files/documents/2024-10/fy_2025_epa_general_terms_and_conditions_effective_october_1_2024_or_later.pdf https://www.epa.gov/system/files/documents/2024-10/fy_2025_epa_general_terms_and_conditions_effective_october_1_2024_or_later.pdf https://www.epa.gov/system/files/documents/2024-10/fy_2025_epa_general_terms_and_conditions_effective_october_1_2024_or_later.pdf

5Y - 00I30200 - 0 Page 13 in 23 CFR 470. These criteria include having more than 50,000 TEUs (20-foot equivalent units) per year or other units measured that would convert to more than 100 trucks per day, or comprising more than 20 percent of freight volumes handled by any mode within a State.

2. Planning exercises related to emissions or emissions reductions where vehicles, vessels, and other mobile source port equipment are not included.

3. Development of an EJ mapping tool (applicants should instead rely on existing tools) Revised April 10, 2024

4. Vulnerability assessments not related to impacts from extreme weather and other climate-related events and conditions

5. Resiliency measure implementation (construction, equipment, purchase, information systems, etc.)

6. Emissions reduction strategy implementation (e.g., the purchase of ZE mobile source equipment, which is eligible for funding under Funding Opportunity Number EPA-R-OAR-

CPP-24-04).

7. As proscribed in Section 825 of the National Defense Authorization Act, the EPA may not award funds to an entity that uses in part or in whole: the national transportation logistics public information platform (commonly referred to as ‘LOGINK'); any national transportation logistics information platform provided by or sponsored by the People's Republic of China, or a controlled commercial entity; or a similar system provided by Chinese state-affiliated entities.

N. Competency Policy

Competency of Organizations Generating Environmental Measurement Data: In accordance with Agency Policy Directive Number FEM-2012-02, Policy to Assure the Competency of Organizations Generating Environmental Measurement Data under Agency-Funded Assistance Agreements, 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, the recipient agrees to demonstrate competency prior to carrying out any activities under the award involving environmental information operations (i.e., the collection, production, evaluation or use of environmental information and/or the design, construction, operation, or application of environmental technology). The recipient shall maintain competency for the duration of the agreement's period of performance, and this will be documented during the annual reporting process. To access the Policy and other information about the Policy, visit http://www.epa.

gov/fem/lab_comp.htm. A copy of the Policy is available directly at https://www.epa.

gov/measurements- modeling/documents-about-measurement-competency-under-assistance-agreements, or a copy may be requested by contacting the EPA Project Officer for this award.

O. Geospatial Data Standards http://www.epa.gov/fem/lab_comp.htm http://www.epa.gov/fem/lab_comp.htm

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All geospatial data created must be consistent with Federal Geographic Data Committee (FGDC) endorsed standards. Information on these standards may be found at https://www.

fgdc.gov/.

P. Subawards to For-Profit Entities

1. In addition to the EPA General Term and Condition “Establishing and Managing Subawards”, the recipient (i.e. “pass-through entity”) agrees to require that for-profit subrecipients comply with Subparts A through F of the Uniform Grant Guidance (2 CFR Part

200) and the Federal cost principles applicable to for-profit entities located at 48 CFR Part 31, with the exception of the method of payment to for-profit subrecipients must be “reimbursement” rather than “advance”. Pass-through entities must obtain documentation that the for-profit subrecipient has incurred eligible and allowable costs prior to releasing EPA funds to the subrecipient.

2. The recipient is authorized to provide subawards to for-profit entities as included in the EPA-approved Workplan. The recipient agrees to require that for-profit entities that receive such subawards:

a. Can only recover their eligible and allowable direct and indirect costs from EPA-funded activities, including recovering the portion of their overhead costs attributable to the activities by applying either a Federally approved indirect cost rate, as authorized by 2 CFR 200.414(f), or the de-minimis rate if the subrecipient does not have a Federally approved rate;

b. Comply with the Management Fees General Term and Condition, which is incorporated by reference into the Establishing and Managing Subawards General Term and Condition;

c. Account for and use program income under the rules for program income pursuant to 2 C.

F.R. § 300.307 and 2 CFR § 1500.8(b) and the terms and conditions of the award agreement;

d. Be subject to the same requirements as non-profit subrecipients under 2 CFR Part 200 Subparts A through E; and

e. Select an independent auditor consistent with the criteria set forth in 2 CFR 200.509 and obtain an independent audit substantially similar in scope and quality to that of the Single Audit (see 2 CFR 200.500 et. seq.); the subrecipient must submit the audit to the recipient within 9 months of the end of the recipient's fiscal year or 30 days after receiving the report from an independent auditor, whichever is earlier; as provided in 2 CFR 200.337(a) the recipient must provide EPA, the EPA Office of Inspector General, and the Comptroller General with access to the subrecipient's independent auditor reports.

Q. Participant Support Costs/Rebates

Participant support costs include rebates, subsidies, stipends, or other payments to program beneficiaries. Program beneficiaries cannot be a contractor, subrecipient, or employee of recipient. Participant support costs are not subawards as defined by 2 CFR §200.1 and should not be treated as such. Participant support costs must be reasonable, https://www.fgdc.gov/ https://www.fgdc.gov/ https://www.epa.gov/grants/grant-terms-and-conditions#general

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- Recipient must abide by EPA Participant Support Cost regulation(s) and guidelines including but not limited to Interim EPA Guidance on Participant Support Costs: https:

//www.epa.gov/grants/rain-2018-g05-r1

- Recipient must maintain source documentation regarding program support funds to ensure proper accounting of EPA funds.

- Recipient must enter into a written agreement with the program beneficiary that receives participant support costs. Such agreement should not be structured as a subaward agreement, and the administrative grant regulations under 2 CFR Part 200 and 2 CFR Part 1500, as well as EPA's general terms and conditions do not flow down to program beneficiaries receiving participant support costs. Such written agreement is also required if a subrecipient or contractor intends to issue participant support costs to a program beneficiary. The written agreement must: Describe the activities that will be supported by rebates, stipends, subsidies or other payments; specify the amount of the rebate, subsidy, stipend, or other payment; identify which party will have title to equipment (if any) purchased with a rebate or subsidy or other payment;

and specify any reporting required by the program beneficiary and the length of time for such reporting.

- Recipient must obtain the prior written approval from EPA's Award Official if it wants to provide participant support costs that were not described in the approved workplan and budget. If the recipient's request would result in undermining the integrity of the competition this grant or cooperative agreement was awarded under, EPA will not approve the request.

- Recipient must obtain prior written approval from EPA's Award Official if recipient wants to modify the amount approved (upwards or downwards) for participant support costs. If the recipient's request would result in undermining the integrity of the competition this grant or cooperative agreement was awarded under, EPA will not approve the request.

https://www.epa.gov/grants/rain-2018-g05-r1 https://www.epa.gov/grants/rain-2018-g05-r1