United States
Environmental Protection
Agency
Washington, DC 20460
Office of Solid Waste and Emergency Response
&EPA The Brownfields
Economic
Redevelopment
Initiative
Application
Demonstration Pilots
EPA/540/R-94/068
PR990
9230.0-30
September 1995
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EPA's Brownfields Economic
Redevelopment Initiative
Introduction
The United States Environmental Protection Agency (EPA) is funding 50 two-year
demonstration pilots for redeveloping brownfields. Eighteen national pilot projects
already have been selected. EPA defines brownfields as abandoned, idled, or
under-used industrial and commercial facilities where expansion or redevelopment
is complicated by real or perceived environmental contamination. EPA's
Brownfields Initiative is an organized commitment to help communities revitalize
such properties both environmentally and economically, mitigate potential health
risks, and restore economic vitality to areas where brownfields exist.
Background
Many sites across the country once used for industrial/commercial purposes have
been abandoned or are under-used—some are contaminated, some are merely
perceived to be contaminated. A report from the General Accounting Office (GAO:
Community Development, Reuse of Urban Industrial Sites, June 1995, GAO/
RCED-95-172) finds that:
"As states and localities attempt to redevelop their abandoned
industrial sites, they have faced several obstacles, including the
possibility of contamination and the associated liability for
cleanup ... This situation is caused largely by federal and state
environmental laws and court decisions that impose or imply
potentially far-reaching liability. The uncertain liability has
encouraged businesses to build in previously undeveloped
nonurban areas—called 'greenfields'—where they feel more
confident that no previous industrial use has occurred."
The National Environmental Justice Advisory Council (NEJAC) has likewise
"determined that there exists a compelling need to address issues of economic
development and revitalization of America's urban land rural] communities." The
NEJAC has requested that EPA:
"Provide leadership in stimulating a new and vigorous national
public discourse over the compelling need to develop strategies for
ensuring healthy and sustainable communities in America's
urban [and rural] centers and their importance to the nation's
environmental and economic future."
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EPA's Brownfields Initiative
The goal of EPA's Brownfields Initiative is to empower slates, communities, and
other stakeholders in economic redevelopment to work together in a timely
manner to prevent, assess, safely cleanup, and sustainably reuse brownfields.
Brownfields are abandoned, idled, or under-used industrial and commercial
facilities where expansion or redevelopment is complicated by real or perceived
environmental contamination. Experience gained from the pilots, along with
partnerships and outreach activities, will provide a growing knowledge base to
help direct EPA's Brownfields Initiative. A clean and healthy environment is not
the enemy of a growing and robust economy. Successful brownfields
redevelopment is proof that economic development and the environment can, and
indeed, must co-exist.
The brownfields pilots (each funded up to $200,000 over two years) will test
redevelopment models, direct special efforts toward removing regulatory barriers
without sacrificing protectiveness, and facilitate coordinated environmental
cleanup efforts at the federal, state, and local levels. These funds are to be used
to generate interest by pulling together community groups, investors, lenders,
developers, and other affected parties to address the issue of cleaning up sites
contaminated with hazardous substances and returning them to appropriate,
productive use. The pilots will serve as vehicles to explore a series of models for
states and localities struggling with such efforts.
EPA's efforts under the Brownfields Initiative can be grouped into four broad and
overlapping categories:
• Providing grants for brownfields pilot projects;
• Clarifying liability and cleanup issues;
• Building partnerships and outreach among federal agencies, states,
municipalities, and communities; and
• Fostering local job development and training initiatives.
These efforts focus on EPA's primary mission—protecting human health and the
environment. This is an essential piece of the nation's overall urban revitalization
program. EPA will continue to work with other federal agencies and stakeholders
on the national and local levels to ensure a coordinated federal approach to
revitalization.
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Guidelines for the Preparation of
Proposals
Funding for the brownfields pilots is authorized under Section 104(d)(1) of the
Comprehensive Environmental Response, Compensation, and Liability Act of 1980
(CERCLA or Superfund), 42 U.S.C. 9604(d)(1). States, cities, towns, counties,
U.S. Territories, and Indian Tribes are eligible to apply. EPA welcomes and
encourages applications from coalitions of such entities, but a single allowable
entity should be identified as the legal recipient.
Through a brownfields cooperative agreement, EPA authorizes an eligible state,
political subdivision, Territory, or Indian Tribe to undertake activities that EPA
itself has the authority to pursue under CERCLA sections 104(a) or 104(b). All
restrictions on EPA's use of funding cited in CERCLA section 104 also apply to
brownfield pilot grant recipients. Brownfields demonstration pilot proposals
should conform to the following guidelines:
• Pilot activities should be directed toward environmental activities preliminary to
cleanup, such as site assessment, site identification, site characterization, and
site remediation planning and design for areas that have an actual or
threatened release of a hazardous substance, pollutant, or contaminant. "Site
identification" in this case means the identification of sites at which such
substances may be an issue of concern. These activities can encompass
administration, outreach to stakeholders, or field work associated with site
assessment, site identification, site characterization, and site remediation
planning and design.
• Brownfields pilot funds may be used to assess, identify, characterize, and plan
remedial activities at contaminated sites targeted for redevelopment. These
funds may not be used to pay for non-environmental redevelopment activities
{e.g., construction of a new facility).
• Any brownfields sites targeted in the pilot must present a threatened or actual
release of a hazardous substance, pollutant, or contaminant.
• Brownfields pilot funds may not be used for actual cleanup or other response
activities often associated with such cleanups [e.g., landscaping and ground-
water extraction and treatment). Cleanup costs should be funded through
other means such as state voluntary cleanup programs, state government
grants, state tax incentive programs, contributions from responsible parties,
and prospective purchaser agreements.
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• Brownfields pilot funds may by used Tor outreach activities that educate the
public about assessment, identification, characterization, or remedial planning
activities at a site or set of sites. However, the outreach should be directed
toward obtaining more effective public involvement and/or environmental
assessment and cleanup of hazardous substances, pollutants, or contaminants
at affected sites. These funds may not be used for general education activities
(e.g., grants to schools for development of curriculum).
• Brownfields pilot funds may not be used for job training. Support for job
training activities may be available through the Hazardous Material Training
and Research Institute, EPA programs, other federal agency programs, and
state and local programs.
• Brownfields pilot funds may not be used to support "lobbying" efforts of the
grantee {e.g., lobbying for specific changes in state legislation).
• Brownfields pilot funds may not be used for assessment, identification,
characterization, or remediation planning at sites contaminated by petroleum
products unless it is believed to be co-mingled with a hazardous substance,
pollutant, or contaminant. CERCLA funds may be used only to address
hazardous substances, pollutants, and contaminants, which are defined to
exclude petroleum.
• CERCLA regulations do not allow the use of EPA funds to match any other
federal funds.
• Brownfields pilot funds may be used to develop creative financing solutions
(e.g., tax schemes, revolving loan funds) to brownfields problems. However,
federal grant funds may not be used for fund-raising purposes.
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Evaluation of the Proposals
In order to ensure a fair selection process, evaluation panels consisting of EPA
Regional and Headquarters staff, as well as other federal agency representatives,
will evaluate the applications. The evaluation panels will assess how well the
proposals meet the selection criteria outlined below. Special consideration will be
given to Empowerment Zones and Enterprise Communities (EZ/ECs) and small
municipalities with populations of under 100,000.1
Applications must be clear and decisive, strictly follow the criteria, and provide
sufficient detail for the panels to compare the merits of each and decide which
application best supports the intent of the pilot program. Vague descriptions,
unnecessary redundancy, and inappropriate use of EPA pilot funds may reduce
the chance of a favorable rating. Applications providing the best evidence of a true
need and a quality project will have the best chance of being recommended by the
panels. The panels' recommendations will be presented to EPA Senior
Management for final selection. EPA's goal is to select a broad array of pilots that
will serve as models for other communities around the nation.
When a proposal is selected, applicants will receive a confirmation letter and the
appropriate EPA Regional Brownfields Coordinator and Regional Grants Specialist
will be informed. Then the applicant will be asked to submit a formal cooperative
agreement application package. This package will include a formal work plan that
describes the work to be performed, including a Quality Assurance Project Plan, a
final budget, and the required certification forms. When an applicant is a county
or municipality, an additional letter of support will be required from the
appropriate state, Territory, or Indian Tribe as an attachment to the cooperative
agreement. The EPA Regional Brownfields Coordinator (list enclosed) and
Regional Grants Specialist will work closely with the applicant to process and
finalize the cooperative agreement package.
Applicants with proposals that are not selected also will be informed in writing.
All of these applications will continue to be considered by EPA in future rounds of
the national competition. An applicant also may choose to revise the proposal for
submittal by a future deadline. Applicants are invited to contact the EPA Regional
Brownfields Coordinator, who will be available to provide general assistance about
the application process.
1 EPA will conduct a special outreach effort to address the unique needs of Indian Tribes.
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Structure of the Proposal
Proposals for brownfields pilot projects should consist of the following sections:
Attachments should be kept to a minimum. Attachments that will be considered
during proposal evaluation include maps and letters of commitment, support, or
partnership from other government or private entities. Examples of attachments
that will not be considered during proposal evaluation include strategies or plans
developed for other programs, advertising brochures, newspaper articles,
resolutions, statutes, and videotapes. Information in these types of attachments
should be distilled and incorporated into the responses to criteria.
To ensure fair and equitable evaluation of the proposals, please do not exceed the
above, single-sided page limitations. In addition, all materials included in the
proposal (including maps and other attachments) must be printed on letter-sized
paper (8V2" by 11") and font sizes may be no smaller than 11 points. Please
submit two copies of your application materials, including attachments.
This is intended to identify the brownfields pilot applicant and a point of contact
for communication with EPA. This should be on a single page and in the format of
your choice.
1. Project title: this should be as specific as possible.
2. Location: city, county, and state of the pilot area.
3. Population of the pilot area.
4. Applicant identification: the name of the main implementor of the project
(e.g., state or local agency).
5. Project director: the name of the person who is responsible for the project
proposal. We will contact this person if we need further information.
6. Mailing address of the project director.
7. Telephone/Fax/E-mail of the project director.
• Cover Page
• Project Overview
• Budget
• Responses to Evaluation Criteria
• Attachments
[1 page]
|1 page]
[1 page]
[up to 12 pages]
[as appropriate; please provide an index]
Cover Page
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8. Date submitted: the date when the proposal is postmarked or sent to EPA
via registered or tracked mail.
9. Project period: the project period must not exceed two years. When
planning the project period, take into consideration that a final report is due
at the end of the project.
10. Community background: statistics on the demographics and employment
in the pilot area.
11. Cooperative partners: give details of the individuals and organizations that
have agreed to participate in the implementation of the project.
Project Overview
The Project Overview is an important opportunity to briefly summarize the overall
goals and objectives of a proposed pilot. Some of the information you provide in
the Project Overview will overlap with the selection criteria. Provide an overview of
the following topics:
Background
• The background section should be a description of the factual and historical
context for the potentially affected site(s) and community (or communities).
Goals and Objectives
• Discuss the ultimate target or goal of your overall brownfields effort. This may
represent broader goals than those to be attained by an EPA brownfields pilot;
however, it will provide an important context for understanding how EPA
brownfields pilot funding might be used. Goals should be specific, measurable,
attainable, realistic, and within a timeframe. Try to be as specific as possible in
detailing the means for measuring success.
• Discuss the goals of the EPA-funded aspects of your overall brownfields effort.
Please refer to the Guidelines (see page 3) when writing this section.
Budget
• Provide a proposed budget for your project. This should show the distribution
of the demonstration pilot funds, including cost estimates for each of the
proposed pilot activities. A clear and concise budget is a critical element of the
package.
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Evaluation Criteria
Your response to each of the following criteria will be the primary basis on which
EPA selects or rejects your proposal for one of the pilots. The proposal evaluation
panels will review the proposals carefully and assess each response based on how
well it addresses each criterion. The identification of criteria from the February
1995 Application Guidelines Booklet is noted in parentheses.
1. Problem Statement and Needs Assessment
(4 points out of 20)
Effect of Brownfields on your Community or Communities
(previously criterion 1)
• Define your community or communities. This definition will be assumed to
apply throughout your response to the criteria unless otherwise noted.
• Characterize the impact of brownfields on your community (or communities) by
describing their extent (size, number, location) and providing specific evidence of
their economic and environmental impacts. Your response should provide clear
links between your community's brownfields and measurable environmental,
economic, and social impacts. Maps and demographic data can be provided as
evidence of such impacts.
• Describe the process by which brownfields site(s) have been or will be identified.
If the specific site(s) have not been selected yet, describe the process by which
the selection will take place.
Value Added by Federal Support
(previously criterion 3)
• Describe how you will use the EPA funding provided through the cooperative
agreement to advance your overall brownfields goals and objectives.
• Describe other EPA assistance (technical, legal, enforcement, risk
communication) that might be essential to your program.
• Demonstrate how this cooperative agreement will leverage additional resources,
support, or assistance for addressing brownfields. Describe additional local,
state, or federal sources of technical, financial, or regulatory support that you
intend to access and how an EPA pilot may help gain that support. Provide any
evidence of commitments of support from outside resources that will depend on.
or be enhanced by, the cooperative agreement with EPA. Evidence can be
documented through letters of support.
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2. Community-Based Planning and Involvement
(6 points out of 20)
Existing Local Commitment
(previously criterion 2)
• Provide evidence of your community's or communities' interest in brownfields
problems [e.g., letters of support). Describe your efforts to involve community-
based organizations in developing this proposal. Provide a list of the
community-based organizations involved and a contact person, phone number,
and brief description of the organization's activities and representation. These
organizations may include, but are not limited to, local citizen groups,
environmental organizations, civic organizations, local business groups and
institutions, educational institutions, and local labor organizations. Evidence of
interest can be documented through letters of support.
• Describe your efforts to develop partnerships at the local and state level with
other stakeholders to ensure appropriate cleanup and redevelopment of
brownfields. Stakeholders may include affected public authorities, citizens,
responsible parties, current owners, potential future owners, chambers of
commerce, lending institutions, developers, labor groups, and other
organizations interested in brownfields cleanup and redevelopment.
• Describe the progress that you and your community have made in the
assessment, cleanup, and revitalization of brownfields.
Community Involvement Plan
(previously criterion 8)
• Describe your plans for ensuring the future, long-term involvement of your
communities. Describe existing or proposed processes for actively seeking and
using their input. Describe how affected communities will be involved in the
selection of sites for the brownfields pilot, future land-use decisions, and site
ownership decisions.
• Describe your long-term plans for communicating technical environmental
information to the public to help clarify consequences and facilitate discussion
of activities performed under the brownfields program. Discuss any special
communication needs of disadvantaged communities and how you plan to meet
those needs. Describe the expertise available in your area that you might
access, such as risk communication specialists, environmental professionals,
community colleges, technical associations, and other community-based
organizations.
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Environmental Justice Plan
(previously criterion 9)
• Environmental justice seeks to rectify the disproportionately high burden of
environmental pollution that is often borne by low income, minority, and other
disadvantaged communities. Describe how these communities have
participated in the development of your brownfields plans and will continue
participating in their implementation.
• Describe your plans for ensuring that affected disadvantaged populations
benefit environmentally and economically (directly or indirectly) from the
assessment, cleanup, and reuse of brownfields as proposed in your application.
Describe how you plan to ensure that environmental risks to disadvantaged
communities are not increased during assessment and cleanup or as a result of
redevelopment.
• Describe other steps you have taken or plan to take (outside of the brownfields
program) to achieve an appropriate level of environmental quality in
disadvantaged communities near brownfields.
3. Implementation Planning
(6 points out of 20)
Appropriate Authority and Government Support
(previously criterion 5)
• Describe the legal authority—for example, state or municipal Superfund or
voluntary action programs or other local, state, Territorial, or Tribal regulatory
programs—available for identifying, assessing, and remediating brownfields.
• Provide evidence of support from state and local environmental, economic
development, and health agencies. Evidence of support can be documented
through letters from these agencies.
Proposed Cleanup Funding Mechanisms
(previously criterion 6)
• Demonstrate the link between your brownfields program and the eventual
cleanup of contaminated areas by identifying potential sources of funds for
remediation. Funding sources may include potentially responsible parties,
potential purchasers, financial institutions, or state and local funding programs
(funds from an EPA brownfields cooperative agreement cannot be used for site
cleanup activities). Evidence of support from these parties can be demonstrated
through letters from their organizations.
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Flow of Ownership Plan
(previously criterion 7)
• Describe the anticipated flow of ownership of brownfields properties throughout
the process of assessment, cleanup, and redevelopment. Potential scenarios for
transferring ownership may include a direct transfer of ownership to a
purchaser or interim ownership by a public authority, court-appointed trustee,
or bankruptcy authority. If possible, demonstrate commitments or interest
from potential future owners through letters of support.
• Describe the problems, particularly with respect to liability, associated with the
ownership scenario that you anticipate. Describe how you plan to address
these problems, including through partnerships with stakeholders, such as
chambers of commerce, business groups and institutions, and lending
institutions.
Environmental Site Assessment Plan
(previously criterion 11)
• Describe your plans to ensure the use of quality environmental sampling and
analysis procedures necessary for sound environmental assessments of
brownfields. Describe your plans for accessing the technical environmental
expertise in your state or region.
4. Long-Term Benefits and Sustainability
(4 points out of 20)
National Replicability
(previously criterion 4)
• Describe the local barriers that you will face in revitalizing brownfields.
Describe the technical and managerial methods, particularly innovative
methods, that you plan to implement to address these barriers and facilitate
brownfields cleanup and reuse. Innovative methods may include planning for
environmentally friendly future land use, zoning processes that incorporate
environmental quality, new cleanup technologies, environmental awareness
training, environmental justice planning, or other methods to institutionalize
environmental policies. Describe how any innovative methods will be
implemented.
• Given the complexity and local nature of the problem, no single plan will be
applicable nationwide, but how you address specific barriers may provide
lessons for others with similar problems. Describe how this project can serve as
a model for others to use in addressing barriers to revitalizing brownfields.
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Measures of Success
(previously criterion 10)
• Describe your plans for measuring success in achieving your brownfields pilot
goals. Please ensure that your measures of success are linked to the goals
established for your pilot project. Measures of success may include
environmental indicators, economic indicators, institutionalized environmental
or communication processes, or other indicators of what you would consider a
successful brownfields program.
• Describe baseline measures that you have developed or plan to develop for the
measures of success. If baseline measures have not been developed yet,
describe how and when you plan to develop them.
• Describe any reports or other deliverables you plan to provide to EPA as
documentation of your project's progress and success.
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Schedule for Selecting Brownfields
Pilots
To accommodate the interest of states, cities, towns, counties, Territories, and
Indian Tribes in applying for EPA Headquarters' brownfields pilots, the Office of
Solid Waste and Emergency Response will accept applications on a "rolling
submissions" schedule. The table below shows the application deadlines, pilot
selection dates, and number of pilots to be sponsored by EPA Headquarters in
1995 and 1996. Also, detailed activity timelines corresponding to each application
deadline are outlined below.
EPA HQ
Application
Deadlines*
Awards
Announcement
Date
Number EPA
HQ Pilot
Awards
Number EPA
HQ Pilots**
(Cumulative)
Pre 1995
March 1, 1995
April 17, 1995
November 17, 1995
March 4, 1996
N/A
July 26, 1995
July 26, 1995
January 1996
June 1996
3
5
10
10
10
3
8
18
28
38
* The applications must be post-marked or sent to EPA via registered or tracked mail by the date
indicated.
** Individual EPA Regional Offices will be considering sponsorship of one or more brownfields
pilots. The total number of EPA Headquarters and Region-sponsored pilots will equal 50 by
1996. For more information about Regional Office pilots, please call your Regional
representative (see page 15).
Activity Timeline for November 17, 1995, Applications
November 17 Deadline for applications for first ten EPA Headquarters 1996
awards.
Panels evaluate applications.
Announcement of first ten 1996 EPA Headquarters awards.
Nov. 17-January
January
Activity Timeline for March 4, 1996, Applications
March 4
March 4-May
June
Deadline for applications for final ten EPA Headquarters 1996
awards.
Panels evaluate applications.
Announcement of final ten 1996 EPA Headquarters awards.
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Project Submittal
Proposals must be mailed by the stated application deadlines, to:
U.S. Environmental Protection Agency
OSWER Outreach and Special Projects Staff (5101)
401 M Street, SW
Washington, DC 20460
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EPA Brownfields Coordinators
If you have questions regarding the application, you may call EPA's Superfund
Hotline at 1-800-424-9346 or your Headquarters contact or Regional
representative presented below:
EPA Region 1
John Podgurski (617-573-9681)
John F. Kennedy Federal Building
One Congress Street, HAACAN2
Boston, Massachusetts 02203
EPA Region 2
Larry D'Andrea (212-637-4314)
290 Broadway, 18th Floor
New York, New York 10007
EPA Region 7
Kerry Herndon (913-551-7286)
726 Minnesota Avenue, PLMG
Kansas City, Kansas 66101
EPA Region 8
Kelcey Land (303-294-7639)
999 18th Street, 8HWM-SR
Suite 500
Denver, Colorado 80202-2405
EPA Region 3
Tom Stolle (215-597-1166)
841 Chestnut Building, 3HWOO
Philadelphia, Pennsylvania 19107
EPA Region 9
Sherry Nikzat (415-744-2360)
75 Hawthorne Street, H-S
San Francisco, California 94105
EPA Region 4
Matt Robbins (404-347-5059, ext. 6214)
First Floor 345 Courtland Street, NE
Atlanta, Georgia 30365
EPA Region 5
Jim Bower (312-886-1423)
77 West Jackson Boulevard, R19J
Chicago, Illinois 60604-3507
EPA Region 10
Grechen Schmidt (206-553-1283)
1200 Sixth Avenue, HW-117
Seattle, Washington 98101
EPA Headquarters
Katherine Dawes (202-260-8394)
401 M Street, SW, 5101
Washington, DC 20460
EPA Region 6
StanHitt (214-665-6736)
First Interstate Bank Tower at
Fountain Place
1445 Ross Avenue, Suite 1200
Dallas, Texas 75202-2733
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