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EPA RLF WEBINAR

ACING AN AUDIT: MANAGING YOUR RLF GRANT FILE

Audio866-299-3188

Code: 202 566 2773

OCTOBER 31, 2013

PURPOSE OF PRESENTATION

(Section A)- Acing an Audit: Grants File Management-R4 RLF PO Perspective

(Section B)- Acing an Audit: Grants File Management-EPA R4 RLF Grantee’s Perspective

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RLF GRANTS MANAGEMENT

R4-POSo, I’ve been assigned to a RLF Grant. What Do I Do

First ?

SECTION (A)

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GET ORGANIZED

RLF PO

Overseeing and monitoring the RLF Grant CA, and

Ensuring all financial and environmental cleanups requirements are met

Best “First” Approach Setting up Six Part Folder

REGION 4 RLF PO’S

We wear Three hats:

PO Lead

Grants Lead

Technical Lead

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SIX PART FOLDER

Pre-Award Documents - PART 1 Post-Award Documents - PART 2 Progress Reports/Deliverables -PART 3 Post-Award Monitoring Doc’s - PART 4 Correspondences (Internal/External) -

PART 5 Brownfields Proposal Information-PART

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PART 1- (PRE-AWARD) CHECKLIST

Grant Application/Workplan

Workplan Comments/Approval

CN/FR/Cost Analysis

Competition Documents, etc.

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PART 2- (POST-AWARD) CHECKLIST

Signed Award Agreement with T&C’s

Change Requests to CA/Amendments

Closeout Documents/Memos

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PART 3- (PROGRESS REPORTS/DELIVERABLES) CHECKLIST

1 Quarterly Reports –See Separate Folder• Cost Share (20%) Tracking• Outcomes/Outputs Tracking• Payments Request/Invoices• ACRES/PPFs

2 Marketing Plans/LIP-See Separate Folder

2Loans/Subgrants Checklist & Docs See Separate Folder

3Site Eligibility Determination (Site/Borrower/Subgrantee)

3 Site Community Involvement/Engagement Plans

3 ABCA Docs-See Separate Folder

2RFQ’s/RFP’s or other contract Selection Documents

3Site Specific QAPP-Confirmation Sampling See Separate Folder

3Site Clup Workplans & Schedules

2ESA/NHAP Documentation (If needed)

3Decision Documents/Clup Completion Letters or Memos

LEGEND:1/ Measuring Success/Tracking Documents2/ Program Related Documents3/ Cleanup Planning Documents

PART 4- (POST AWARD MONITORING DOC’S) CHECKLIST

Baseline Monitoring ReportsAdvance Monitoring Reports

(Including Davis Bacon Compliance)

Semi annual Docs (MBE/WBE Rpts)

Annual Rpts (FFR)10

PART 5- (CORRESPONDENCES) CHECKLIST

Emails/Letters

Faxes

Hand Written Notes, Memos, Etc.

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PART 6- (BROWNFIELDS PROPOSAL INFO) CHECKLIST

Original Proposal

Congratulatory Letter

Fact Sheet

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RLF GRANTS MANAGEMENT

R4-RLF Grantee’sSo, I have a RLF Grant.

What Do I Do First ?

SECTION (B)

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RLF GRANTS MANAGEMENTWebinar October 31, 2013

RLF LOAN PROGRAM CHECKLIST (TCRPC)

Grantee Files

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RLF CHECKLIST

Five part file system: Proposal Award Program Administrative Record / Project Audit

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PROPOSAL FILE

Contains: Original EPA Grant Proposal List of Brownfield Sites Project Partners

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AWARD FILE

Contains: EPA Grant Application EPA-Approved Workplan Signed Cooperative Agreement Detailed project budget by expense

categories Project Timeline

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PROGRAM FILEContains:

RLF Loan Program Materials: Loan Policies and Procedures Plan Marketing Plan with Collateral Materials RLF Loan/Subgrant Application Forms Loan/Subgrant Agreements Site Access Agreement Partner MOUs EPA Property Profile Form

Program Manager Materials:

Sample Quarterly Report Template Financial Report Template MBE/WBE Reports RFQ Process Documentation List of approved consultants Team contact list Consultant contact list DOL Wage Determination, including interviews and certified payrolls

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ADMINISTRATIVE RECORD/PROJECT FILE

Contains: Brownfield Site Information (Legal, designation, Brownfield Site

Rehabilitation Agreement (BSRA), etc) ABCA Assessment Reports QAPP Public Involvement Plan RLF Match (Grantee and/or Loan or Subgrantee) Qualified Environmental Professional Cleanup Budget Cleanup Contract Cleanup Contractor Insurance Loan/Grant Commitment Letter Loan/Grant Agreement Site Photos (Before and After)

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AUDIT FILE

Contains: Written Policies and Procedures for:

Procurements with respect to purchases, goods and services, consultant contracts and sub-awards.

PROPOSAL FILE NOTES Original EPA Grant Proposal List of Brownfield Sites Project Partners

This file contains proposal package, letters of support, team list etc.

AWARD FILE EPA Grant Application EPA-Approved Workplan Signed Cooperative Agreement Detailed project budget by expense categories Project Timeline

This file is populated after the EPA award announcement. All grant

documentation is contained here inclusive of detailed budget and grant

timeline with milestones.

PROGRAM FILE

RLF Loan Program Materials: Loan Policies and Procedures Plan Marketing Plan with Collateral Materials RLF Loan/Subgrant Application Forms Loan/Subgrant Agreements Site Access Agreement Partner MOUs EPA Property Profile Form Sample Quarterly Report Template Financial Report Template MBE/WBE Reports RFQ Process Documentation List of approved consultants Team contact list Consultant contact list DOL Wage Determination, including interviews and certified payrolls

The program file contains all the relevant loan policies and procedures,

inclusive of collateral materials and application forms.

RLF/Subgrant application forms should also be accessible on grantee’s

website.

All quarterly report templates are here as well.

This file is populated after the award file is established.

Program manager’s project accounting should reconcile to EPA budget

categories.

ADMINISTRATIVE RECORD / PROJECT FILE Brownfield Site Information (Legal, designation, Brownfield Site Rehabilitation Agreement (BSRA), etc) ABCA Assessment Reports QAPP Public Involvement Plan RLF Match (Grantee and/or Loan or Subgrantee) Qualified Environmental Professional Cleanup Budget Cleanup Contract Cleanup Contractor Insurance Loan/Grant Commitment Letter Loan/Grant Agreement Site Photos (Before and After)

This file is populated after the program file is established and is designed to

contain all project specific materials relating to: Cleanup Community Relations Plan Project Budget Cleanup Contractor Loan/Grant Applications and related Agreements Generic and Site Specific QAPP

AUDIT FILE Written Policies and Procedures for:

Procurements with respect to purchases, goods and services, consultant contracts and sub-awards

EPA may conduct a limited scope review of grantee’s administrative and

financial management systems for managing EPA grant funds.

This file should reflect grantee’s most recent financial statements and audits

and written policies and procedures for contracting, procurement, etc. What

internal controls does grantee have in place to ensure that costs charged to

EPA grants are reasonable, allocable and allowable.

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PROGRAM CONSIDERATIONS

Cost Share: Cost share can be met by cooperative

agreement recipient and/or loan recipient If borne by loan recipient, the loan

application should reflect local match

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PROGRAM CONSIDERATIONS

Administrative Costs: Only eligible programmatic costs can be

reimbursed by EPA Administrative costs are not allowed Other funds to consider to offset

programmatic expenses include: Other federal grants such as: EDA District Planning Grants / Public Works

Grants HUD Community Planning Challenge Grants

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PROGRAM CONSIDERATIONS

ACRES/Financial Reports: Update ACRES on a regular basis but especially after site

milestones: Completion of Phase I ESA/Phase II ESA Completion of Site Assessment Report Receipt of site closure order/letter from your state department of

environmental protection/regulation Consultants hired to complete assessments and/or site

cleanup should be required to update ACRES for your agency Agency program manager should review ACRES update after

input by Consultant and request corrections, if needed

Financial Reports: File once a year, program manager completes with finance manager

CONTACT INFORMATION

Greg Vaday Economic Development Coordinator Treasure Coast Regional Planning Council (772) 221-4060 Email: gvaday@tcrpc.org Website: www.tcrpc.org

RLF GRANTS MANAGEMENTWebinar October 31, 2013

SITE SPECIFIC RLF FILE

Recommend 6 part file folder

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CHECKLIST

Application EPA Property Profile Form

(WAM) Legal Property Description Assessment Reports Brownfields Agreement (if

applicable) Final Remedial Action Plan ABCA 30-day Public Review Notice QAPP Public Information Plan ESA Consultation SHPO Consultation

Match Davis Bacon Wage Rates Qualified Environmental

Professional (QEP) Cleanup Budget Cleanup Contract Contractor Insurance Loan/Grant Commitment

Letter Loan/Grant Agreement Promissory Note Photos

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ADMINISTRATIVE RECORD CONTENTS

News Releases ABCA Remedial Action Plan Community Involvement Plan (CIP) Photos Name & contact information of

spokesperson for the project Brownfields Agreement (if applicable) Personal financial information- Not

required*

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SAMPLE FORMS- 30 DAY PUBLIC REVIEW

Please run the below ad one time on (date) in the NON-LEGAL SECTION of the Classifieds. Place a border around the ad and bold the lead lines. The ad should be created in the most economical size. Please bill to Sunshine Ventures, LLC, reference should be EPA Brownfields.

Analysis of Brownfields Cleanup Alternatives (ABCA) and other documents for the Sunshine Ventures, LLC Project can be viewed at: Downtown Library Annex

123 Main Street Anytown, USA Questions and comments concerning the plan should be directed to Sam Jones, Sunshine Ventures, LLC987 First StreetAnytown, USAPhone: (101) 987-6543

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SAMPLE FORMS- COMMUNITY INVOLVEMENT PLAN- CIP

Sunshine Ventures, LLC – Community Involvement

Plan for Sunshine Ventures Brownfields Cleanup Project

Overview of Project Spokesperson & Administrative Record Site Description & History Community Involvement Key Community Contacts Local and elected officials Media contacts and meeting places Use the EPA template!

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ESA CONSULTATION SAMPLE LETTER

Mr. Joe JonesUS Fish & Wildlife

Our agency (name) plans to use grant funds from the Environmental Protection Agency (EPA) to lend for Brownfields remediation activities at property located at _________ , North Carolina. The intended reuse of the property is _________________________________________. The scope of work consists of ____________________________. Please comment on this project as soon as possible concerning its possible impact on endangered species in the area. If you have questions or require additional information, please contact me at 101- 234-5678 or _(email)_________________________.

A location and site map is included for your reference. Thank you for your time and cooperation.

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SHPO CONSULTATION LETTER SAMPLE

To: State Historic Preservation Office (or equivalent)

Our agency intends to use grant funds from the Environmental Protection Agency to lend for Brownfields cleanup activities at (site address).

Under the terms of our Brownfields grant, we are required to investigate through the appropriate state office what, if any, adverse impact our project activities may have on historic properties. We have researched the available history of this property and the adjacent properties, and we are of the opinion that our project activities would have no adverse impact on historic properties whatsoever.  We are formally requesting that your office investigate this matter and provide us with written communication relative to your position. Concurrence that assessment activities at this time will not have any effect on historic preservation in the area is appreciated. Please feel free to contact me if there is any additional information that we can provide to aid in your determination. (continued)

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SHPO CONSULTATION LETTER SAMPLE (2)

Brief description of the site, including a description of the physical site characteristics such as vegetation, slope, the presence of any structures, and a brief history of the development of the site, if known. This could include such things as if the site was built on imported fill, or filled and graded.

Information in your files or reports as to whether the site or any part of it is listed on, or eligible for listing on, the National Register of Historic Places, and/or an Indian Reservation. Please include any correspondence with your State Historic Preservation Officer (SHPO).

Activity Information: provide EPA details of the kinds of activities that will occur, where they will occur, and what care will be taken to minimize any potential impacts.

If historic tax credits are part of the funding, the borrower will have necessary documentation.

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SAMPLE COMMITMENT LETTER

Based upon the information supplied in your loan request for additional funding, the Loan Review Board has approved your request for a loan of $xxxxx. According to our internal policies, this loan will be made from a grant from the Environmental Protection Agency (EPA) Revolving Loan Fund Program.

The loan term shall be based on a thirty-year term with a 5-year full maturity rate. The interest rate shall be xxx percent (x%) fixed. Principal and interest are accrued and deferred until no later than July 1, 2013. Beginning July 1, 2013, monthly payments shall be in the amount of $xxx with the balance of the loan payable in full on July 1, 2018. Further, this loan offer is subject to the following additional terms and conditions:The RBI RLF funds shall be used to pay for cleanup planning activities and for asbestos remediation activities at 505 Summer Hill Road, Anytown, USA.

Mr. Sam Jones will provide his unconditional personal guarantee and will provide a title policy for the property. Current business casualty/hazard insurance shall be maintained on Sunshine Ventures, LLC, in an amount sufficient to cover the total outstanding debt, with (Grantor- your name) named as loss payee.

All closing costs and recoding fees are the responsibility of the borrowers and shall be paid at the time of closing.

We are pleased to be able to support this exciting project.

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MATCH REPORT SAMPLE

Task 5 date $9,023.85

Cleanup planning per technical assistance contract with the Town of Whooville

Task 3 date $150.00 Town of Whooville subgrant application fee

Task 8 date $18,000.00

Town of Whooville in-kind staff salary match; letter on file for documentation

Task 3 date $250.00 City of Summerset subgrant application fee

Task 1: Community InvolvementTask 2 Establish RLF and Grant ProgramTask 3 Operate RLF and Grant ProgramTask 4: Market RLF and Grant ProgramsTask 5: Cleanup & Redevelopment PlanningTask 6 Applicant ScreeningTask 7 Other: Approximately 1.2% of total funds is allocated and needed for task overages and/or unforeseen and unplanned budgetary needs. Task 8 Loans and Grants

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FINDING MATCH

Match= money, labor, material or services from a non-federal source.

Require the borrower to provide match.

Traditional financing to support the cleanup.

Non-profits can document time spent on the project (payroll, letter from finance office).

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FILE FOLDERS- JUST A SUGGESTION!

SECTION I

Application Financials Legal Description of

Property Executive Summary

(project)

SECTION II

Assessment reports Remedial Action Plan ABCA 30 day review QAPP ESA Consultation SHPO Consultation Community Involvement

Plan Brownfields Agreement *

Inside Cover Checklist

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FILE FOLDERS- JUST A SUGGESTION!

SECTION I

Application Financials Legal Description of

Property Executive Summary

(project)

SECTION II

Assessment reports Remedial Action Plan ABCA 30 day review QAPP ESA Consultation SHPO Consultation Community Involvement

Plan Brownfields Agreement *

Inside Cover Checklist

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FILE CONTENTSSECTION III

All funding commitments Sources & Uses of Funds Deed of Trust Promissory Note Personal Guarantees* UCC Forms*

SECTION IV

Davis Bacon Wage Rates Employee Interview Forms Payroll Reports

QEP Procurement Files

Cleanup Budget Cleanup Contract Contractor

Insurance

Section V

Section VI Invoices Requests for

Reimbursement Backup Documents

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RECORDS RETENTION

Maintain records for at least 3-10 years after submission of the final

expenditure report. Keep all records of claims until resolved. Obtain written approval from EPA prior to destroying any

records.

If you operate the fund following closeout- KEEP the Records! Negotiate the requirements with EPA.; they have access to

these.

RLF grant records maintained by recipients are not subject to the

Federal Freedom of Information Act, 5 U.S.C. § 552. Unless other federal, state, or local law applies, recipients are

not required to permit public access to their records. 42

MISCELLANEOUS “STUFF”

ACRES- new information should be entered when you make a new loan or subgrant.

Update when you pay an invoice, or Update prior to preparing your quarterly reports. Financial reports- done through our finance office;

send match report to them. LOSRC is a Regional Planning and Development

Commission, organized pursuant to the NC General Statutes 158-8, et seq. and 153A-391, enabling LOSRC to operate a RLF Program.

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ContactKate O’Hara

Senior Planner / BF Program ManagerLand-of-Sky Regional Council

339 New Leicester Hwy, Suite 140, Asheville, NC 28806

(828) 251-7454kate@landofsky.org