State and Tribal Response Program Grants (66.817)
Program
66.817 State and Tribal Response Program Grants
Federal Agency
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE, ENVIRONMENTAL PROTECTION AGENCY
Authorization
Comprehensive Environmental Response, Compensation, and Liability Act, (CERLA) Section 128(a), as amended; Public Law 107-118; Small Business Liability Relief and Brownfields Revitalization Act.
Program Number
66.817
Last Known Status
Active
Objectives
EPA's CERCLA Section 128(a) grant program funds activities that establish or enhance the capacity for State and tribal response programs, to capitalize revolving loan funds (RLFs) and support insurance mechanisms. The goals of this funding are to provide financial support for elements of an effective State or tribal response program as specified in CERCLA Section 128 and to ensure that States and tribes maintain a public record of sites included in their programs. Prior to the enactment of CERCLA 128, EPA provided Superfund Core funding under Section 104(d) of CERCLA for State and tribal voluntary cleanup programs and pre-remedial site assessment funding for State and tribal conducted Targeted Brownfields Assessments. Funding Priority: In FY 2003, funding will be prioritized as follows: (1) Funding for program development activities to establish the four elements of a State or tribal response program and to enable States and Indian tribes to comply with the public record requirement, including activities related to institutional controls. States with MOAs will not be prejudiced in funding distributions if their work plan does not include establishing the four elements; (2) funding for program development activities to enhance the cleanup capacity of a State or tribal response program; (3) funding for site-specific activities that enhance the cleanup capacity of a State or tribal response program, including targeted site assessments; (4) funding for environmental insurance mechanisms; and (5) funding to capitalize brownfields cleanup RLFs.
Types of Assistance
Project Grants (Cooperative Agreements).
Uses and Use Restrictions
States and tribes can use Section 128 funding to (1) establish or enhance four statutory elements (described below) of a response program; (2) capitalize a Revolving Loan Fund program for brownfields remediation; (3) purchase insurance or develop a risk sharing pool, an indemnity pool, or insurance mechanism to provide financing for response actions under their programs; and (4) maintain and update, at least annually, a public record of sites that includes the name and location of sites at which response actions have been completed during the previous year and the name and location of sites at which response actions are planned to be addressed in the next year; (1) Under CERCLA Section 128(a), "establish" includes activities necessary to build the foundation for the four elements of a State or tribal response program. For more developed State or tribal programs, "establish" may also include activities that keep their program at a level that meets the four elements. Under CERCLA Section 128(a), "enhance" is related to activities that add to or improve a State or tribal response program or increase the number of sites at which response actions are conducted under a State or tribal response program. States and Indian tribes may use Section 128(a) funds for activities that establish and enhance their response programs, even if their response programs address petroleum-contamination. The four statutory elements are: (a) Timely survey and inventory of brownfield sites in the State or in the tribal land. This element requires that States and tribes have a system to identify the universe of brownfield sites in their State or tribal land. EPA's goal in funding activities under this element is to enable the State or tribe to establish or enhance a system that will estimate the number, common locations, and the general characteristics of brownfields in their jurisdictions; (b) oversight and enforcement authorities or other mechanisms and resources. This element requires that State or tribal response programs have oversight and enforcement authorities or other mechanisms and resources that are adequate to ensure that a response action will protect human health and the environment and be conducted in accordance with applicable Federal and State law. In addition, this element requires State or tribal response programs have oversight and enforcement authorities or other mechanisms, and resources that are adequate to ensure the necessary response activities are completed if the person conducting the response activities, including operation and maintenance or long-term monitoring activities, fails to complete the activity; (c) mechanisms and resources to provide meaningful opportunities for public participation. This element requires that State and tribal response programs include mechanisms and resources for public participation, including public access to materials related to cleanup: prior notice and opportunity for public comment on cleanup plans and site activity; and a mechanism by which a person who is, or may be, affected by a release or threatened release of a hazardous substance, pollutant, or contaminant at a brownfields site located in the community in which the person works or resides may request that a site assessment be conducted; (d) mechanisms for approval of a cleanup plan and verification and certification that cleanup is complete. States and Indian tribes must include, or be taking reasonable steps to include, mechanisms to approve cleanup plans in their response programs. In addition, States and Indian tribes must include, or be taking reasonable steps to include, in their response programs a requirement for verification by and certification or similar documentation from the State, the Indian tribe, or a licensed site professional to the person conducting a response action indicating that the response action is complete; (2) States and Indian tribes may use grant funding to capitalize an RLF for brownfields cleanup under CERCLA Section 104(k)(3). RLF funds may be used for loans or subgrants. Funding for RLFs under Section 128(a)(B)(I) is subject to the same statutory requirements and grant terms and conditions applicable to RLFs awarded under Section 104(k)(3). For example, States and tribes cannot use grant funds for administrative costs relating to the RLF, and a prohibition on using RLF loans or subgrants for response costs at a site for which the recipient may be potentially liable under Section 107 of CERCLA. Other prohibitions contained in CERCLA Section 104(k)(4), also apply. However, Section 128(a) funds used to capitalize a Brownfields RLF may be used at brownfields sites contaminated by petroleum to the extent allowed under CERCLA Section 104(k)(3); (3) States and tribes may purchase environmental insurance or develop a risk-sharing pool, indemnity pool, or insurance mechanism to provide financing for response actions under a state or tribal response program; (4) section 128(a) funding can be used to establish and maintain the required public record. States and tribes can use Section 128(a) funding to make information on sites in their response programs available to the public on the Internet or other means that ensures that the information is readily accessible to the public. For example, the Agency will fund state and tribal efforts to include detailed location information in the public record such as the street address and latitude and longitude information for each site. EPA encourages States and Indian tribes to maintain public record information including data on institutional controls on a long-term basis for sites at which a response action has been completed. Section 128(a) funds may be used for this purpose; (5) States and tribes may use Section 128(a) funding to develop legislation, regulations, procedures, guidance, etc., that would establish or enhance the administrative and legal structure of their response programs. State and tribal costs for complying with reporting requirements are also an eligible expense under the Section 128(a) grant; (6) States and tribes may use Section 128(a) funds for other activities that improve State or tribal capacity to increase the number of sites at which response actions are conducted under the State or tribal response program. This may include site-specific related activities such as conducting assessments at selected brownfields sites. The costs of conducting site assessments at petroleum contaminated brownfield sites, as defined at CERCLA Section 101(39)(D)(ii)(II), are eligible and allowable if the activity is included in the work plan negotiated between the EPA regional office and the State or Indian tribe. Section 128(a) funds cannot be used for assessments at sites that do not meet the definition of a brownfields site at CERCLA 101(39). However, costs incurred for oversight of cleanups at other than brownfields sites may be eligible and allowable costs if such activities are included in the State's or indian tribe's work plan; and (7) Funding for auditing completed site cleanups can be used in states that use licensed site professionals to verify that sites have been properly cleaned up under Section 128(a).
Eligibility Requirements
Applicant Eligibility
States (as defined in CERCLA Section 101(27) and Indian tribes (as defined in CERCLA Section 101(36) are eligible for funding under Section 128(a). To be eligible to receive funding under CERCLA Section 128(a), a State or Indian tribe must demonstrate that its response program includes, or is taking reasonable steps to include, the four elements of a response program. States or Indian tribes that are parties to voluntary response program memoranda of agreement (MOAs) are automatically eligible for Section 128(a) funding. Additionally, States and Indian tribes, including those with MOAs, must maintain and make available to the public a record of sites at which response actions have been completed in the previous year and are planned to be addressed in the upcoming year in order to qualify for Section 128(a) funding.
Beneficiary Eligibility
Beneficiaries include residents of States and tribal areas, local governments, industry, and community groups.
Credentials/Documentation
States and tribes must provide documentation that they have met or are making reasonable progress towards meeting the four statutory elements, or have a Memorandum of Understanding with EPA, and have established and are maintaining the public record. States and tribes must define their "Section 128(a) response program", and may designate a component of the state or tribe that will be EPA's primary point of contact for negotiations on their proposed work plan.
Application and Award Process
Preapplication Coordination
Annually, states and Indian tribes will work with the EPA regional offices to develop their work plans and funding requests for the upcoming year. Each cooperative agreement must have an annual budget period tied to an annual work plan. States are subject to requirements under E.O. 12372, "Intergovernmental Review of Federal Programs." As implemented in 40 CFR Part 29. Tribes are exempt.
Application Procedure
States and Tribes apply to EPA regional offices for funding on an annual basis by submitting a proposed work plan.
Award Procedure
EPA regional offices will negotiate and enter into a single cooperative agreement with interested states or Indian tribes. States and Indian tribes may distribute these funds among the appropriate state and tribal agencies to meet their specific needs within their state or tribal agency structures. At least annually, the regional offices must verify that a public record as described above exists for each of the state or tribal response programs that are receiving funding.
Deadlines
Contact the headquarters or regional office, as appropriate, for application deadlines.
Range of Approval/Disapproval Time
Appeals
As described in 40 CFR Part 31, Part F.
Renewals
Each state and tribal cooperative agreement will be evaluated on an annual basis to ensure that the requirements to receive funding are being met. If funding is not used, it may be carried over into the next budget period.
Assistance Considerations
Formula and Matching Requirements
States and Indian tribes are not required to provide matching funds for grants awarded under Section 128(a) unless the State or Indian tribe uses Section 128(a) funds to capitalize a Brownfields RLF under CERCLA 104(k)(3), a 20% cost share is required on the amount of Section 128(a) funds used to capitalize an RLF.
Length and Time Phasing of Assistance
EPA regions will evaluate cooperative agreements annually to ensure that requirements to receive funding are being met. EPA regional offices will determine the project period for each cooperative agreement. These may be for multiple years depending on the regional office's grants policies. Each cooperative agreement must have an annual budget period tied to an annual work plan.
Post Assistance Requirements
Reports
States and Indian tribes will provide progress reports under 40 CFR 31.40, in accordance with terms and conditions of the cooperative agreement negotiated with EPA regional offices. As a minimum, state or tribal progress reports must include both a narrative discussion and performance data relating to the State's or Indian tribe's accomplishments with Section 128(a) funding. Depending upon the activities included in the State's or Indian tribe's scope of work, an EPA regional office may request that a progress report include other elements as described in the Grant Funding Guidance for State and Tribal Response Programs. The regional offices may also request other information be added to the progress reports, as appropriate, to properly document activities described by the cooperative agreement work plan.
Audits
In accordance with the provisions of OMB circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Non-Profit Organizations"or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.
Records
In addition to the statutory public record requirement, States and tribes must comply with record keeping requirements of 40 CFR Part 31 and any applicable requirements under State and tribal laws.
Program Accomplishments
Since 1997, the EPA Brownfields program has been funding State and tribal response programs including Superfund Core funding for State and tribal voluntary cleanup programs and pre- remedial site assessment funding for state and tribal-conducted Targeted Brownfields Assessments. The funds have been used to enhance state and tribal response programs that oversee cleanup at the majority of brownfield sites across the country.
Financial Information
Account Identification
20-8145-0-7-304.
Obligations
(Grants) FY 02 not available; FY 03 est not available; and FY 04 est $50,000,000.
Range and Average of Financial Assistance
For FY 03, funding requests are limited to a maximum of $1.5 million per state or Indian tribe. Funding for tribal response programs will be at least $1 million per tribe. These limits may be changed as noted in future years based on appropriation amounts and demand for funding. Changes in funding levels will be included in updates to the national Grant Funding Guidance for State and Tribal Response Programs.
Regulations, Guidelines and Literature
40 CFR Part 31; OMB Circular A-87 applies to the program. EPA anticipates that it will annually publish national Grant Funding Guidance for State and Tribal Response Programs.
Related Programs
None.
Information Contacts
Regional or Local Office
EPA Regional Brownfield Coordinators.
Headquarters Office
Linda Garczynski, Director, Office of Brownfields Cleanup and Redevelopment, OSWER, EPA, Washington, DC 20460. Telephone: (202) 566-2777.
Web Site Address
http://www.epa.gov/brownfields
Examples of Funded Projects
Program development activities to establish the four elements of a State or tribal response program, including conducting an inventory of brownfields sites; developing or enhancing oversight and enforcement mechanisms; establishing mechanisms to approve cleanup plans; and providing opportunities and resources for public involvement. Establishing and maintaining a public record of sites, including making information available on the Internet and maintaining and monitoring institutional controls; capitalizing an RLF for brownfields cleanup; purchasing environmental insurance; developing legislation, regulations, procedures, and guidance that would establish or enhance the administrative and legal structure of their response programs; and undertaking-site specific related activities, such as conducting assessments at selected brownfields sites and auditing completed site cleanups in states that administer a licensed site professional program.
Criteria for Selecting Proposals
EPA will not fund this program through competitive grant solicitations. Section 128(a) funds will be allocated to eligible States and tribes in accordance with the national Grant Funding Guidance for State and Tribal Response Programs.
