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A - 00905221 - 0 Page 1 GRANT NUMBER (FAIN): 00905221 MODIFICATION NUMBER: 0 DATE OF AWARD U.S. ENVIRONMENTAL PROGRAM CODE: A 06/23/2021 PROTECTION AGENCY TYPE OF ACTION MAILING DATE New 06/30/2021 Grant Agreement PAYMENT METHOD: ACH# ASAP 90179 RECIPIENT TYPE: Send Payment Request to: County Contact EPA RTPFC at: rtpfc-grants@epa.gov RECIPIENT: PAYEE: Maricopa County Air Quality Department Maricopa County Air Quality Department 3800 N. Central Avenue, Suite 1400 3800 N. Central Avenue, Suite 1400 Phoenix, AZ 85012 Phoenix, AZ 85012 EIN: 86-6000472 PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST Ben Davis Sharon Bowen Angela Mendiola 2145 S 11th Avenue, Suite 170 75 Hawthorne Street, AIR-1-1 Grants Branch, MSD-6 Phoenix, AZ 85007 San Francisco, CA 94105 E-Mail: Mendiola.Angela@epa.gov E-Mail: ben.davis@maricopa.gov E-Mail: Bowen.Sharon@epa.gov Phone: 415-972-3284 Phone: 602-506-3396 Phone: 415-972-3284 PROJECT TITLE AND DESCRIPTION FY 2021 Air Pollution Control This agreement will provide assistance to the Maricopa County Air Quality Department in its efforts to implement air pollution control programs throughout the County of Maricopa, including continuing development and implementation of stationary source regulations; continuing promulgation and update of enhanced mobile source regulations; improvement of emission inventories for modeling simulations; operating an air monitoring network; and other air planning activities. These activities are to improve and maintain the public's air quality. This grant agreement will provide continuing support for activities which include strategic planning and evaluation, developing state implementation plans, monitoring air and emissions, rule making, operating permits and all other program related activities to reduce risks to human health and the environment. This award provides full federal funding in the amount of $1,121,978. Refer to Terms and Conditions. BUDGET PERIOD PROJECT PERIOD TOTAL BUDGET PERIOD COST TOTAL PROJECT PERIOD COST 10/01/2020 - 09/30/2021 10/01/2020 - 09/30/2021 $9,804,679.00 $9,804,679.00 NOTICE OF AWARD Based on your Application dated 07/31/2020 including all modifications and amendments, the United States acting by and through the US Environmental Protection Agency (EPA) hereby awards $1,121,978.00. EPA agrees to cost-share 11.44% of all approved budget period costs incurred, up to and not exceeding total federal funding of $1,121,978.00. Recipient's signature is not required on this agreement. The recipient demonstrates its commitment to carry out this award by either: 1) drawing down funds within 21 days after the EPA award or amendment mailing date; or 2) not filing a notice of disagreement with the award terms and conditions within 21 days after the EPA award or amendment mailing date. If the recipient disagrees with the terms and conditions specified in this award, the authorized representative of the recipient must furnish a notice of disagreement to the EPA Award Official within 21 days after the EPA award or amendment mailing date. In case of disagreement, and until the disagreement is resolved, the recipient should not draw down on the funds provided by this award/amendment, and any costs incurred by the recipient are at its own risk. This agreement is subject to applicable EPA regulatory and statutory provisions, 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 9 Grants Branch, MSD-6 EPA R9, Air and Radiation Division, AIR-1 75 Hawthorne Street R9 - Region 9 San Francisco, CA 94105 75 Hawthorne Street San Francisco, CA 94105 THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY Digital signature applied by EPA Award Official Carolyn Truong - Grants Management Officer DATE 06/23/2021 A - 00905221 - 0 Page 2 EPA Funding Information FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL EPA Amount This Action $0 $1,121,978 $1,121,978 EPA In-Kind Amount $0 $0 $0 Unexpended Prior Year Balance $0 $0 $0 Other Federal Funds $0 $0 $0 Recipient Contribution $0 $8,682,701 $8,682,701 State Contribution $0 $0 $0 Local Contribution $0 $0 $0 Other Contribution $0 $0 $0 Allowable Project Cost $0 $9,804,679 $9,804,679 Assistance Program (CFDA) Statutory Authority Regulatory Authority 66.001 - Air Pollution Control Program Support Clean Air Act: Sec. 105 2 CFR 200, 2 CFR 1500, 40 CFR 33 and 40 CFR 35 Subpart A Fiscal Site Name Req No FY Approp. Budget PRC Object Site/Project Cost Obligation / Code Oganization Class Organization Deobligation - 2109M9S024 21 E1 09M1 000A04 4112 - - $1,121,978 $1,121,978 A - 00905221 - 0 Page 3 Budget Summary Page Table A - Object Class Category Total Approved Allowable (Non-Construction) Budget Period Cost 1. Personnel $5,144,843 2. Fringe Benefits $2,057,938 3. Travel $3,800 4. Equipment $0 5. Supplies $153,398 6. Contractual $650,886 7. Construction $0 8. Other $84,816 9. Total Direct Charges $8,095,681 10. Indirect Costs: 0.00 % Base : refer to General T/C $1,708,998 11. Total (Share: Recipient ______ 88.56 % Federal ______ 11.44 %) $9,804,679 12. Total Approved Assistance Amount $1,121,978 13. Program Income $0 14. Total EPA Amount Awarded This Action $1,121,978 15. Total EPA Amount Awarded To Date $1,121,978 A - 00905221 - 0 Page 4 Administrative Conditions General Terms and Conditions The recipient agrees to comply with the current EPA general terms and conditions available at: https://www.epa.gov/grants/epa-general-terms-and-conditions-effective-november-12-2020-or-later. These terms and conditions are in addition to the assurances and certifications made as a part of the award and the terms, conditions, or restrictions cited throughout the award. The EPA repository for the general terms and conditions by year can be found at: https://www.epa.gov/grants/grant-terms- and-conditions#general. A. Federal Financial Reporting (FFR) For awards with cumulative project and budget periods greater than 12 months, the recipient will submit an annual FFR (SF 425) covering the period from "project/budget period start date" to September 30 of each calendar year to the EPA Finance Center in Research Triangle Park, NC. The annual FFR will be submitted electronically to rtpfc-grants@epa.gov no later than December 30 of the same calendar year. (NOTE: The grantee must submit the Final FFR to rtpfc-grants@epa.gov within 120 days after the end of the project period.) The recipient shall identify non-federal, non-recurrent expenditures in Block 12 (Remarks) of the FFR or include the information as an attachment to the FFR on a separate page. The recipient also agrees to include a statement certifying that supplanting did not occur. B. Procurement The recipient will ensure all procurement transactions will be conducted in a manner providing full and open competition consistent with 2 CFR Part 200.319. In accordance 2 CFR Part 200.324 the grantee and subgrantee(s) must perform a cost or price analysis in connection with applicable procurement actions, including contract modifications. State recipients must follow procurement procedures as outlined in 2 CFR Part 200.317. C. MBE/WBE Reporting, 40 CFR, Part 33, Subpart E (EPA Form 5700-52A) The recipient agrees to submit a “MBE/WBE Utilization Under Federal Grants and Cooperative Agreements” report (EPA Form 5700-52A) annually for the duration of the project period. The current EPA Form 5700-52A with instructions can be found at https://www.epa.gov/grants/epa-form-5700-52a-united-states-environmental-protection-agency-minority-business This provision represents an approved exception from the MBE/WBE reporting requirements as described in 40 CFR Section 33.502. Reporting is required for assistance agreements where funds are budgeted for procuring construction, equipment, services and supplies (including funds budgeted for direct procurement by the recipient or procurement under subawards or loans in the “Other” category) with a cumulative total that exceed the Simplified Acquisition Threshold (SAT) currently, set at $250,000 (the dollar threshold will be automatically revised whenever the SAT is adjusted; See 2 CFR Section 200.1), including amendments and/or modifications. When reporting is required, all procurement actions are reportable, not just the portion which exceeds the SAT. Recipients with expended and/or budgeted funds for procurement are required to report annually whether the planned A - 00905221 - 0 Page 5 procurements take place during the reporting period or not. If no budgeted procurements take place during the reporting period, the recipient should check the box in section 5B when completing the form. When completing the annual report, recipients are instructed to check the box titled “annual” in section 1B of the form. For the final report, recipients are instructed to check the box indicated for the “last report” of the project in section 1B of the form. For section 2B, the Region 9 EPA DBA Coordinator is Fareed Ali, email: GrantsRegion9@epa.gov, phone: 415-972- 3665. The annual reports are due by October 30th of each calendar year and the final report is due within 120 days after the end of the project period, whichever comes first. The recipient will submit the MBE/WBE report(s) and/or questions to GrantsRegion9@epa.gov and the EPA Grants Specialist identified on page 1 of the award document. D. Cost-Share Requirement and Maintenance of Effort The required minimum recipient cost share for this assistance agreement is 40% of total project costs, or Maintenance of Effort (MOE) level of $8,682,701 (final MOE for FY-20), whichever is greater. The assistance agreement may reflect a percentage shown under the "Notice of Award" section which is based on estimated costs requested in the recipient's application. A - 00905221 - 0 Page 6 Programmatic Conditions a]. PERFORMANCE REPORTING AND FINAL PERFORMANCE REPORT Performance Reports - Content In accordance with 2 CFR 200.328, the recipient agrees to submit performance reports that include brief information on each of the following areas: 1) A comparison of actual accomplishments to the outputs/outcomes established in the assistance agreement work plan for the period; 2) The reasons why established outputs/outcomes were not met; and 3) Additional pertinent information, including, when appropriate, analysis and explanation of cost overruns or high-unit costs. In accordance with 2 CFR 200.328(2)(d)(1), the recipient agrees that it will notify EPA of problems, delays, or adverse conditions which materially impair the ability to meet the outputs/outcomes specified in the assistance agreement work plan. In addition, performance reports must prominently display the three Essential Elements required for state/local workplans and reports. They are: - Essential Element 1 - Strategic Plan Goal - Essential Element 2 - Strategic Plan Objective - Essential Element 3 - Workplan Commitments plus time frame The Final report will include any agreed-upon work-product(s) resulting from the project and the following: 1) an abstract or overview of the project including completed workplan activities; 2) a comparison of actual accomplishments with the anticipated outputs/outcomes specified in the assistance agreement work plan; 3) reasons why anticipated outputs/outcomes were not met; 4) other pertinent information, including, when appropriate, analysis and explanation of cost overruns or high unit costs; 5) the methods to be used to effectively disseminate project information and/or continue the benefits of this project (although the project itself may not be continuing); and 6) materials generated in connection with the project activities (e.g., workshop announcements, newspaper/newsletter announcements, articles or releases, press packets, pamphlets, etc.). Performance Reports - Frequency Mid-year report: The recipient shall submit the mid-year performance report no later than 30 calendar days after the end of the 2nd Federal fiscal quarter (April 30) and the 4th Federal fiscal quarter (October 31). Final Performance Report: The recipient agrees to submit two copies of the Final Performance Report to the EPA Project Officer within 120 days after the end of the budget/project period. b]. CYBERSECURITY (a) The recipient agrees that when collecting and managing environmental data under this A - 00905221 - 0 Page 7 assistance agreement, it will protect the data by following all applicable State law cybersecurity requirements. (b) (1) 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 EPA’s Central Data Exchange, the recipient agrees to contact the EPA Project Officer (PO) and work with the designated Regional/Headquarters Information Security Officer to ensure that the connections meet 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 EPA’s regulatory programs for the submission of reporting and/or compliance data. (2) The recipient agrees that any subawards it makes under this agreement will require the subrecipient to comply with the requirements in (b)(1) 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 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 necessary by the recipient under 2 CFR 200.331(d), 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 EPA. c]. QUALITY ASSURANCE This grant includes the performance of environmental measurements; therefore a Quality Management Plan (QMP) and Quality Assurance Project Plans (QAPPs) are required. QA plans are current for five years, after which time they should be reviewed, revised and submitted to EPA for approval. The Maricopa County Air Quality Division's (MCAQD) Quality Management Plan (QMP) was approved by MCAQD and EPA on April 15, 2020. The QAPP for Criteria Pollutants was approved by MCAQD and EPA on December 12, 2019. The QMP and QAPP are current and include the activities identified in this grant. EPA's Quality Assurance Office can be contacted at 415-972-3431. d]. 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, Recipient agrees to demonstrate A - 00905221 - 0 Page 8 competency prior to carrying out any activities under the award involving the generation or use of environmental data. Recipient shall maintain competency for the duration of the project period of this agreement and this will be documented during the annual reporting process. A copy of the Policy is available online at https://www.epa.gov/sites/production/files/2015-03/documents/competency-policy-aaia- new.pdf or a copy may also be requested by contacting the EPA Project Officer for this award. In accordance with the Competency Policy, as Project Officer, I have determined that the recipient meets the requirements for demonstration of competence through ongoing successful "past performance to similar statement of work for this continuing environmental program. e]. POST AWARD CHANGES To determine if a post-award change in work plan commitments is significant and requires prior written approval for the purposes of 40 CFR §35.114(a) or 40 CFR §35.514(a), the recipient agrees to consult the EPA Project Officer (PO) before making the change. The term work plan commitments is defined at 40 CFR §35.102. If the PO determines the change is significant, the recipient cannot make the change without prior written approval by the EPA Award Official. In addition, the recipient must provide written notice to EPA’s PO and Grant Specialist (GS) of proposed transfers of funds of among direct budget categories, programs, functions and activities or transfers that change amounts budgeted for indirect costs, pursuant to the “Transfer of Funds” General Term and Condition. If the PO determines that a proposed transfer of funds significantly changes work plan commitments, or involves an item of cost subject to a prior approval requirement under 2 CFR §200.407, the recipient must consult with the PO and obtain written approval by the EPA Award Official prior to making the transfer of funds. All transfers must be reported in required performance reports. ### END OF DOCUMENT ###