Superfund Technical Assistance Grants for Citizen Groups at Priority Sites (66.806)
Program
66.806 Superfund Technical Assistance Grants for Citizen Groups at Priority Sites
Federal Agency
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE, ENVIRONMENTAL PROTECTIONAGENCY
Authorization
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) of 1980, as amended, Section 117(e), Public Law 96-510; Superfund Amendments and Reauthorization Act of 1986, as amended, Public Law 99-499, 42 U.S.C. 9601 et seq.
Program Number
66.806
Last Known Status
Active
Objectives
To provide resources under CERCLA, Section 117(e) for community groups to obtain technical assistance in interpreting information with regard to a Superfund site. Funding Priority: All or most of the Federal funds must be used to procure a technical advisor(s) to help in understanding the nature of the environmental and public health hazards at the site, the various stages of health and environmental investigations and activities, cleanup, and "operation and maintenance of a site, including exposure investigation, health study, surveillance program, health promotion activities (for example, medical monitoring and pediatric health units), remedial investigation, and feasibility study, record of decision, remedial design, selection and construction of remedial action, operation and maintenance, an removal.
Types of Assistance
Project Grants.
Uses and Use Restrictions
(1) Activities for which Federal funds may be used: All or most of the Federal funds must be used, at sites listed on the National Priorities List (NPL) or proposed for listing under the National Contingency Plan (NCP) where a response action has begun under CERCLA, to procure a technical advisor(s) to help in understanding the nature of the environmental and public health hazards at the site, the various stages of health and environmental investigations and activities, cleanup, and "operation and maintenance of a site, including exposure investigation, health study, surveillance program, health promotion activities (for example, medical monitoring and pediatric health units), remedial investigation, and feasibility study, record of decision, remedial design, selection and construction of remedial action, operation and maintenance, an removal. 2) Limitations on the use of Federal Funds: (a) Federal funds cannot be used to develop new primary data, such as conducting independent testing and monitoring activities at a site. (b) Under CERCLA, as amended, grant funds cannot be used for lawsuits or other legal actions, or attorney fees for services connected to any legal action or that could result in a relationship to which attorney/client privileges applies. (c) Grant funds cannot be applied towards a technical advisor's time spent assisting an attorney in preparing a legal action or preparing and serving as an expert witness at any legal proceedings. (d) Grant funds cannot be used for any activities or expenditures for recipient group members' travel. (e) Grant funds cannot be used for political activity and lobbying. (f) Grant funds cannot be used for generation of new health data through biomedicial testing (for example, blood or urine testing), clinical evaluations, health studies, surveillance, registries, and/or public health interventions. (g) Grant funds cannot be used for activities that are unallowable under the cost principles stated in Office of Management and Budget (OMB) Circular No. A-122. (h) Grant funds cannot be used for tuition or other training expenses for recipient group's members. (i) Grant funds cannot be used to reopen orchallenge final EPA decisions.
Eligibility Requirements
Applicant Eligibility
EPA is authorized to make technical assistance grants (TAG) available to any qualified group of individuals which may be affected by a release or threatened release at any facility listed on the NPL or proposed for listing under the NCP where a "response action" under CERCLA has begun, and meets minimum administrative and management capability requirements found in 40 CFR 30.12 by demonstrating they have or will have reliable procedures record keeping and financial accountability related to TAG management. "Affected" individuals are those who can demonstrate direct effects from the site, such as actual or potential health or economic injury. The recipient group must incorporate to receive funds. A group is ineligible if: (a) The group is a "potentially responsible party" (PRP), receives money or services form a PRP, or represent a PRP; (b) The group is"affiliated" with a national organization; (c) The group is an academic institution; (d) The group is a political subdivision; (e) The group was established or is presently sustained by any of the ineligible entities listed above (the group is specific administrative and management requirements; or (f) The group is not incorporated as a nonprofit organization for the specific purpose of representing affected people excepted as provided in 40 CFR35.4045.
Beneficiary Eligibility
Anyone/General Public. This program will benefit groups of individuals affected by Superfund hazardous waste sites. This may include homeowners, land/property owners, as well as any other individuals in the general public who live near a site or are otherwise affected byit.
Credentials/Documentation
At the time of the award, a recipient must either be incorporated or demonstrate that they have taken all necessary and appropriate actions to do so. Recipients must show proof of incorporation no later than the time of the group's first request for reimbursement for costs incurred. This program is excluded from coverage under OMB Circular No. A-87. This program is subject to the provisions of OMB Circular No.A-122.
Application and Award Process
Preapplication Coordination
1) Groups wishing to apply for a TAG must first submit to EPA a letter of intent (LOI). 2) If site work is already underway or scheduled to begin, EPA will publish a notice in the local newspaper to formally notify other interested parties that they may contact the first group that sent the LOI to form a coalition or they may submit a separate LOI. 3) Competing groups are encouraged to consolidate and submit a single application. 4) Prior to submitting their application to EPA (or concurrently), the applicant must submit the application package for their State's intergovernmental review process. This intergovernmental review may take up to 60 days. An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. This program is excluded from coverage under OMB Circular No. A-102. This program is subject to the provisions of OMB Circular No. A- 110. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program forreview.
Application Procedure
Applicants for TAGs must submit the following materials in accordance with 40 CFR 35.4125 of the Final Rule: 1) An original EPA Form 424, Application for Federal Assistance. The application must have the original signature of the project manager. 2) A budget showing the proposed expenditure of funds, how the funds and other resources, including the required 20 percent match, will be used to complete the project , and how the budget figures were derived. 3) A scope of work which states how the group will organize, use procured personnel, and share and disseminate information to the larger affected community. In addition, the scope of work must explain project milestones and how the group's board of directors, technical advisors(s) and "project manager" will interact with each other. 4) Assurances, certifications and other preaward paperwork as 40 CFR part 30 requires.
Award Procedure
1) A TAG review team in the EPA Regional Office to which the application is submitted reviews the application and sends a letter containing written comments telling the applicant what, if any, changes need to be made to the application to make it complete. 2) An applicant group has 90 days from the date of the EPA letter to make the changes to their application and resubmit it to EPA. If the changes are not submitted within the 90-day period, the application will be returned unprocessed. 3) EPA determines the applicant's eligibility under 40 CFR 35.4020 and considers whether and how successfully the group meets three equally weighted criteria in 40 CFR 35.4155 (see 180, "criteria for selecting proposals," below). When multiple groups apply, EPA will rank each applicant relative to other applicants using the three equally weighted criteria. 4) If an applicant is not going to be awarded a TAG, the EPA will send a letter of rejection to the applicant. 5) If an application is approved for an award, a grant agreement document (EPA Form 5700-20A) is signed by the EPA award official. This document becomes an offer from EPA to the applicant. Award offers are mailed to the recipient five working days after the award official signs the agreement. 6) The applicant must sign and return the agreement to EPA within three weeks of the date the agreement is postmarked or request anextension.
Deadlines
There are no fixed deadlines, except in one instance: when EPA receives an LOI and the site is listed on the NPL or is proposed for listing under the NCP and a response action is, other potential applicants are given 30 days to express interest in applying for a TAG and/or in joining the original group in its application for a TAG.
Range of Approval/Disapproval Time
Appeals
The regulations at 40 CFR 30.63 and 31.70 govern disputes except that, before a group obtains judicial review of the dispute, they must have requested the Regional Administrator to review the dispute decision official's determination under 40 CFR 31.70(c), and if the group still has a dispute, they must request the Assistant Administrator for the Office of Solid Waste and Emergency Response to review the Regional Administrator's decision under 40 CFR 31.70(h).
Renewals
Grant waiver requests are made at the end of the budget period and are based on the requirements of 40 CFR 35.4065, which lists criteria which must bemet.
Assistance Considerations
Formula and Matching Requirements
1) One grant per site, 2) $50,000 limit unless waived, and 3) 20 percent match (including in-kind contributions) which can be waived or lowered due to financial burden.
Length and Time Phasing of Assistance
From the time a site is proposed for listing under the NCP until the site is delisted from the NPL. This time varies according to site.
Post Assistance Requirements
Reports
1) Progress reports. Each recipient shall submit quarterly progress reports to EPA for the technical assistance grant project 45 days after the end of each calendar quarter. Progress reports shall fully describe in chart or narrative format the progress achieved in relationship to the approved schedule, budget, and the technical assistance grant project milestones. Special problems encountered must be explained. 2) Financial status report. Each recipient shall submit to EPA a financial status report annually, within 90 days of the anniversary date of the start of the TAG project. These reports shall include the status of project's funds through identification of project transactions and within 90 days after the end of the TAG funding period. 3) Final report. Each recipient shall submit to EPA the final report within 90 days after the end of the project. The report shall describe project goals and objectives, activities undertaken to achieve goals and objectives, difficulties encountered, technical advisors' work products and funds spent. 4) Requests for Reimbursement or Federal Cash Transactions Reports. Depending on the method of payment, each recipient shall submit periodic requests for reimbursement as funds are needed, or shall submit to EPA a federal cash transaction report semiannually, within 15 working days following the end of the semiannual period which ends June 30 and December 31 of each year. These reports shall include the amount of funds advanced to the TAG recipient or electronically transferred to the TAG recipient's bank account, and a description of how the funds were spent. 5) Minority-Owned Business Enterprise/Women-Owned Enterprise (MBE/WBE) Utilization. Each recipient shall submit to EPA a MBE/WBE Utilization report annually, even if no contracts have been signed. Each recipient is required to disclose whether they have contracted with a MBE/WBE in the past Federal fiscal year, the value fo the contract, if any, and the percentage of the total project dollars on MBE/WBEs. 6) Each recipient shall comply with any reporting requirements in the terms and conditions of the "grant agreement". 7) Each recipient shall comply with any reporting and record keeping requirements in OMB Circular A- 122and 40 CFR part 30.
Audits
EPA (or the State if it is administering the grant) may perform interim audits of a group's project costs and financial actions and transactions. The Project Officer may request an audit at any time after the submission of an application, and may conduct a final audit of the project. If the Agency, as a result of an audit, determines that the group owes funds to the Federal government, the group will be required to reimburse the Agency for that amount. The Agency will take appropriate legal and administrative actions to collect the amount the group owes the Federal government if reimbursement is not made in a timely manner. The Agency may offset the debt against other funds payable to the group under the assistance agreement. The Federal government also will charge the group a penalty of five percent of the debt, handling charges, and interest if it fails to pay within 30 days from the date of the decision that the debt is owed. The interest rate will be the rate established by the U.S. Secretary of the Treasury. The Office of Management and Budget (OMB) Circular No. A-133, "Audits of States, Local Governments, and Non-Profit Organizations," was published in the Federal Register on June 30, 1997. The Circular implements the Single Audit Act amendments of 1996. The Circular requires nonfederal entities that expend more than $300,000 in Federal award dollars, to have an audit conducted in accordance with the Circular's provisions.
Records
1) Each recipient shall keep complete financial records accurately showing how the Federal funds were used and the match, whether it is in the form of cash or in-kind assistance. 2) Each recipient shall comply with any reporting and record keeping requirements of OMB Circular A-122 and 40 CFR part 30. 3) Each recipient must keep TAG financial records for ten years from the date of the final Financial Status Report, or until any audit, litigation, cost recovery, and/or disputes initiated before the end of the ten-year retention period are settled, whichever is longer. At the ten-year mark, the TAG financial records may be disposed of after first getting written approval to do so from the EPA. Alternately, a recipient may choose to submit financial records to the EPA for safekeeping when the final Financial Status Report is submitted. 4) Each recipient must send to EPA a copy of each final written product prepared by their technical advisor as part of the TAG. EPA will send the final written products to the local Superfund site information repository(ies) where all site-related documents are available to thepublic.
Program Accomplishments
Since the program began on March 24, 1988, 244 awards have been issued by EPA, totaling more than $20,500,000 in TAG awards (including new awards, additional funds, waivers and deviation). During FY 02 8 new grants were awarded ($400,000 total) and 13 established grantees were awarded additional funds ($652,575 total).
Financial Information
Account Identification
68-0108-0-1-304.
Obligations
FY 02 $1,052,575; FY 03 est $1,100,000; and FY 04 est $1,100,000.
Range and Average of Financial Assistance
Initial award of $50,000.
Regulations, Guidelines and Literature
40 CFR 31; 40 CFR Part 30; 40 CFR Part 35, ( Subpart M); and TAG Program Guidance Documents.
Related Programs
None.
Information Contacts
Regional or Local Office
Questions may be directed to the EPA Regional Office serving a particular state. A list of the Regions and their States, plus the telephone numbers for the TAG information, State and Local Coordination Branch, is in Appendix IV of the Catalog.
Headquarters Office
Freya Margand, Community Involvement and Outreach Center, Office of Emergency and Remedial Response, Mail code: 5204G, U.S. Environmental Protection Agency, Ariel Rios Bldg., 1200 Pennsylvania Ave., NW, Washington, DC 20460. Telephone: (703) 603-8889.
Web Site Address
http://www.epa.gov/superfund/tools/tag/index.htm
Examples of Funded Projects
A TAG allows a group to procure independent technical advisors to help in interpreting and commenting on site-related information and decisions. Examples of how a technical advisor can help a group include, but are not limited to: (a) Reviewing preliminary site assessment/site investigation data; (b) Participating in public meetings to help interpret information about site conditions, proposed remedies, and the implementation of a remedy; (c) Visiting the site vicinity periodically during cleanup, if possible, to observe progress and provide technical updates to the group; (d) Interpreting information related to redevelopment; and (e) Evaluating future land use options based on land use assumptions found in the "remedial investigation/feasibilitystudy."
Criteria for Selecting Proposals
1) EPA will determine if a group meets eligibility criteria: (a) The community group is a group of people who may be "affected" by a release or a threatened release at any facility listed on the NPL or proposed for listing under the NCP where a response action is underway; and (b) The group meets the minimum administrative and management capability requirements found in 40 CFR 30.21 by demonstrating they have or will have reliable procedures for record keeping and financial accountability related to managing the TAG. 2) EPA will also determine if there are factors which make the group ineligible. A group is ineligible if: (a) The group is a "potentially responsible party" (PRP), receives money or services form a PRP, or represent a PRP; (b) The group is"affiliated" with a national organization; (c) The group is an academic institution; (d) The group is a political subdivision; (e) The group was established or is presently sustained by any of the ineligible entities listed above (the group is specific administrative and management requirements; or (f) The group is not incorporated as a nonprofit organization for the specific purpose of representing affected people excepted as provided in 40 CFR 35.4045. 3) Once EPA determines if eligibility requirements have been met, the Agency considers whether and how successfully a group meets the following, equally weighted, criteria: (a) representation of groups and individuals affected by the site; (b) The group's plans to use the services of a technical advisor throughout the Superfund response action; and (c) The group's ability and plan to inform others in the community of the information provided by the technical advisor. 4) Additionally, a group must incorporate as a nonprofit for the purpose of participating in decision making at the Superfund site for which the TAG was granted (for exception see 40 CFR 35.4045). Applicant groups should consult the Superfund TAG Handbooks, "Applying for a Grant" and "The Application Forms with Instructions," for detailed instructions onapplying for a TAG.
