&EPA
United States Office of Brownfields EPA-560-F-06-265
Environmental Protection Cleanup and Redevelopment December 2006
Agency (5150)
Funding Guidance for State and Tribal Response Programs
Fiscal Year 2007
Section 128(a) of the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA), as amended, authorizes a noncompetitive $50 million grant program to establish and
enhance state1 and tribal2 response programs. Generally, these response programs address the
assessment, cleanup, and redevelopment of brownfields sites and other sites with actual or
perceived contamination. Section 128(a) cooperative agreements are awarded and administered
by the U.S. Environmental Protection Agency (EPA) regional offices. This document provides
guidance that will enable states and tribes to apply for and use Fiscal Year 2007 Section 128(a)
funds.
Requests for funding will be accepted from December 15, 2006 through February 15, 2007.
Information required to be submitted with the funding request is on pages 11-13. States or tribes
that fail to submit the request in the appropriate manner may forfeit their ability to request funds.
Requests submitted by the February 15, 2007 request deadline are preliminary; final cooperative
agreement work plans and budgets will be negotiated with the regional offices once final
allocation determinations are made. As in prior years, EPA will place special emphasis on
reviewing a cooperative agreement recipients' use of prior 128(a) funding in making allocation
decisions.
States and tribes requesting funds are required to provide a Dun and Bradstreet Data Universal
Numbering System (DUNS) number with their final cooperative agreement package. For more
information, please go to _www.grants.g_o_v._
The Catalogue of Federal Domestic Assistance entry for the Section 128(a) State and Tribal
Response Program cooperative agreements is 66.817.
BACKGROUND
State and tribal response programs oversee assessment and cleanup activities at the majority of
term "state" is defined in this document as defined in CERCLA Section 101(27).
2The term "Indian tribe" is defined in this document as it is defined in CERCLA Section
101(36). Intertribal consortia, as defined in the Federal Register Notice at 67 FR 67181, Nov. 4,
2002, are also eligible for funding under CERCLA 128(a).
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brownfields sites across the country. The depth and breadth of state and tribal response
programs vary. Some focus on CERCLA related activities, while others are multi-faceted, for
example, addressing sites regulated by both CERCLA and the Resource Conservation and
Recovery Act (RCRA). Many state programs also offer accompanying financial incentive
programs to spur cleanup and redevelopment. In passing Section 128(a),3 Congress recognized
the accomplishments of state and tribal response programs in cleaning up and redeveloping
brownfields sites. Section 128(a) also provides EPA with an opportunity to strengthen its
partnership with states and tribes.
The primary goal of this funding is to ensure that state and tribal response programs include, or
are taking reasonable steps to include, certain elements and a "public record." The secondary
goal is to provide funding for other activities that increase the number of response actions
conducted or overseen by a state or tribal response program. This funding is not intended to
supplant current state or tribal funding for their response programs. Instead, it is to supplement
their funding to increase their response program's capacity.
Subject to the availability of funds, EPA regional personnel will be available to provide technical
assistance to states and tribes as they apply for and carry out Section 128(a) cooperative
agreements.
ELIGIBILITY FOR FUNDING
To be eligible for funding under CERCLA Section 128(a), a state or tribe must:
demonstrate that their response program includes, or is taking reasonable steps to include,
the four elements of a response program, described below; or (b) be a party to voluntary
response program Memorandum of Agreement (VRP MO A)4 with EPA;
AND
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, see CERCLA § 128(b)(l)(C).
3The Small Business Liability Relief and Brownfields Revitalization Act (SBLRBRA) was
signed into law on January 11, 2002. The Act amends CERCLA by adding Section 128(a).
4The legislative history of SBLRBRA indicates that Congress intended to encourage states
and Tribes to enter into MO As for their voluntary response programs. States or tribes that are
parties to VRP MO As and that maintain and make available a public record are automatically
eligible for Section 128(a) funding.
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MATCHING FUNDS/COST-SHARE
States and tribes are not required to provide matching funds for cooperative agreements awarded
under Section 128(a), with the exception of the Section 128(a) funds a state or tribe uses to
capitalize a Brownfields Revolving Loan Fund under CERCLA 104(k)(3).
THE FOUR ELEMENTS - SECTION 128(a)
Section 128(a) recipients that do not have a VRP MO A with EPA must demonstrate that their
response program includes, or is taking reasonable steps to include, four elements. Achievement
of the four elements should be viewed as a priority. Section 128(a) authorizes funding for
activities necessary to establish and enhance the four elements and to establish and maintain the
public record requirement.
Generally, the four elements are:
Timely survey and inventory ofbrownfields sites in 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 or
process that will provide a reasonable estimate of the number, likely locations, and the general
characteristics ofbrownfields sites in their state or tribal lands.
EPA recognizes the varied scope of state and tribal response programs and will not require states
and tribes to develop a "list" of brownfields sites. However, at a minimum, the state or tribe
should develop and/or maintain a system or process that can provide a reasonable estimate of the
number, likely location, and general characteristics of brownfields sites within their state or tribal
lands.
Given funding limitations, EPA will negotiate work plans with states and tribes to achieve this
goal efficiently and effectively, and within a realistic time frame. For example, many of EPA's
Brownfields Assessment cooperative agreement recipients conduct inventories of brownfields
sites in their communities or jurisdictions. EPA encourages states and tribes to work with these
cooperative agreement recipients to obtain the information that they have gathered and include it
in their survey and inventory.
Oversight and enforcement authorities or other mechanisms and resources. EPA's goal in
funding activities under this element is to have state and tribal response programs that include
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; and
the necessary response activities are completed if the person conducting the response
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activities fails to complete the necessary response activities (this includes operation and
maintenance or long-term monitoring activities).
Mechanisms and resources to provide meaningful opportunities for public participation.5
EPA's goal in funding activities under this element is to have states and tribes include in their
response program mechanisms and resources for public participation, including, at a minimum:
Public access to documents and related materials that a state, tribe, or party conducting
the cleanup is relying on or developing in making cleanup decisions or conducting site
activities;
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 sitelocated
in the community in which the person works or residesmay request that a site
assessment be conducted. The appropriate state or tribal official must consider this
request and appropriately respond.
Mechanisms for approval of a cleanup plan and verification and certification that cleanup is
complete. EPA's goal in funding activities under this element is to have states and tribes include
in their response program mechanisms to approve cleanup plans and to verify that response
actions are complete, including a requirement for certification or similar documentation from the
state, the tribe, or a licensed site professional to the person conducting the response action that
the response action is complete. Written approval by a state or tribal response program official
of a proposed cleanup plan is an example of an approval mechanism.
PUBLIC RECORD REQUIREMENT
In order to be eligible for Section 128(a) funding, states and tribes (including those with MO As)
must establish and maintain a public record system, described below, in order to receive funds.
Specifically, under Section 128(b)(l)(C), states and tribes must:
Maintain and update, at least annually or more often as appropriate, a record of sites that
includes the name and location of sites at which response actions have been completed
during the previous year;
Maintain and update, at least annually or more often as appropriate, a record of sites that
5States and tribes establishing this element may find useful information on public
participation on EPA's community involvement web site at
http://www.epa.gov/superfund/action/community/index.htm
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includes the name and location of sites at which response actions are planned to be
addressed in the next year; and
Identify in the public record whether or not the site, upon completion of the response
action, will be suitable for unrestricted use. If not, the public record must identify the
institutional controls relied on in the remedy.
Section 128(a) funds may be used to maintain and make available a public record system that
meets the requirements discussed above.
Distinguishing the "survey and inventory " element from the "public record. " It is important to
note that the public record requirement differs from the "timely survey and inventory" element
described in the "Four Elements" section above. The public record addresses sites at which
response actions have been completed in the previous year and are planned to be addressed in the
upcoming year. In contrast, the "timely survey and inventory" element, described above, refers to
a general approach to identifying brownfields sites.
Making the public record easily accessible. EPA's goal is to enable states and tribes to make
the public record and other information, such as information from the "survey and inventory"
element, easily accessible. For this reason, EPA will allow states and tribes to use Section
128(a) funding to make the public record, as well as other information, such as information from
the "survey and inventory" element, available to the public via the internet or other means. For
example, the Agency would support funding 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.6 A state or tribe may also choose to use the Section 128(a) funds to make their
survey and inventory information available on the internet as well.
In an effort to reduce cooperative agreement reporting requirements and increase public access to
the public record, EPA encourages states and tribes to place their public record on the internet.
If a state or tribe places the public record on the internet, maintains the substantive requirements
of the public record, and provides EPA with the link to that site, EPA will, for purposes of
cooperative agreement funding only, deem the public record reporting requirement met.
Long-term maintenance of the public record. EPA encourages states and tribes to maintain
public record information, including data on institutional controls, on a long term basis (more
than one year) for sites at which a response action has been completed. Subject to EPA regional
office approval, states or tribes may include development and operation of systems that ensure
long term maintenance of the public record, including information on institutional controls, in
6For further information on latitude and longitude information, please see EPA's data
standards web site available at http://oaspub.epa.gov/edr/epastd$.startup
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their work plans.7
USE OF FUNDING
Overview
Section 128(a)(l)(B) describes the eligible uses of cooperative agreement funds by states and
tribes. In general, a state or tribe may use a cooperative agreement to "establish or enhance" their
response programs, including elements of the response program that include activities related to
responses at brownfields sites with petroleum contamination. Eligible activities include, but are
not limited to, the following:
Develop legislation, regulations, procedures, ordinances, guidance, etc. that would
establish or enhance the administrative and legal structure of their response programs;
Establish and maintain the required public record described above. EPA considers
activities related to maintaining and monitoring institutional controls to be eligible costs
under Section 128(a); or
Conduct limited site-specific activities, such as assessment or cleanup, provided such
activities establish and/or enhance the response program and are tied to the four elements.
Capitalize a revolving loan fund (RLF) for brownfields cleanup under CERCLA Section
104(k)(3). These RLFs are subject to the same statutory requirements and cooperative
agreement terms and conditions applicable to RLFs awarded under Section 104(k)(3).
Requirements include a 20% match on the amount of Section 128(a) funds used for the
RLF, a prohibition on using EPA cooperative agreement 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;
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;
Uses Related to "Establishing" a State or Tribal Response Program
Under CERCLA Section 128(a), "establish" includes activities necessary to build the foundation
7States and tribes may find useful information on institutional controls on EPA's institutional
controls web site at http^yw^yypjy^
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for the four elements of a state or tribal response program and the public record requirement. For
example, a state or tribal response program may use Section 128(a) funds to develop regulations,
ordinances, procedures, or guidance. For more developed state or tribal response programs,
establish may also include activities that keep their program at a level that meets the four
elements and maintains a public record required as a condition of funding under CERCLA
Section 128(b)(l)(C).
Uses Related to "Enhancing" a State or Tribal Response Program
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.
The exact "enhancement" uses that may be allowable depend upon the work plan negotiated
between the EPA regional office and the state or tribe. For example, regional offices and states or
tribes may agree that Section 128(a) funds may be used for outreach and training directly related
to increasing awareness of its response program, and improving the skills of program staff. It
may also include developing better coordination and understanding of other state response
programs, e.g., RCRA or USTs. Other "enhancement" uses may be allowable as well.
Uses Related to Site-Specific Activities
States and tribes may use Section 128(a) funds for 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.
Eligible uses of funds include, but are not limited to, site-specific activities such as:
conducting assessments or cleanups at brownfields sites (see next section for additional
information);
oversight of response action;
technical assistance to federal brownfields cooperative agreement recipients;
development and/or review of site-specific quality assurance project plans (QAPPs);
preparation and submission of Property Profile Forms; and
auditing site cleanups to verify the completion of the cleanup.
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Uses Related to Site-Specific Assessment and Cleanup Activities
Site-specific assessment and cleanup activities should establish and/or enhance the response
program and be tied to the four elements. Site-specific assessments and cleanups must comply
with all applicable federal and state laws and are subject to the following restrictions:
Section 128(a) funds can only be used for assessments or cleanups at sites that meet the
definition of a brownfields site at CERCLA 101(39).
No more than $200,000 per site can be funded for assessments with Section 128(a) funds,
and no more than $200,000 per site can be funded for cleanups with Section 128(a)
funds.
Absent EPA approval, the state/tribe may not use funds awarded under this agreement to
assess and clean up sites owned by the recipient.
Assessments and cleanups cannot be conducted at sites where the state/tribe is a
potentially responsible party pursuant to CERCLA Section 107, except:
at brownfields sites contaminated by a controlled substance as defined in
CERCLA Section 101(39)(D)(ii)(I); or
when the recipient would satisfy all of the elements set forth in CERCLA section
101(40) to qualify as a bona fide prospective purchaser except that the date of
acquisition of the property was on or before January 11, 2002.
Subgrants cannot be provided to entities that may be potentially responsible parties
(pursuant to CERCLA Section 107) at the site for which the assessment or cleanup
activities are proposed to be conducted.
Costs Incurred for Activities at "Non-brownfields " Sites
Costs incurred for activities at non-brownfields sites, e.g., oversight, may be eligible and
allowable if such activities are included in the state's or tribe's work plan. For example, auditing
completed site cleanups in jurisdictions where states or tribes use licensed site professionals, to
verify that sites have been properly cleaned up, may be an eligible cost under Section 128(a).
These costs need not be incurred in connection with a brownfields site to be eligible, but must be
authorized under the state's or tribe's work plan to be allowable. Other uses may be eligible and
allowable as well, depending upon the work plan negotiated between the EPA regional office
and the state or tribe. However, assessment and cleanup activities may only be conducted on
eligible brownfields sites, as defined in CERCLA 101(39).
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Uses Related to Site-Specific Activities at Petroleum Brownfields Sites
States and tribes may use Section 128(a) funds for activities that establish and enhance their
response programs, even if their response programs address petroleum contamination. Also, the
costs of site-specific activities, such as site assessments or cleanup at petroleum contaminated
brownfields sites, defined at CERCLA Section 101(39)(D)(ii)(II), are eligible and are allowable
if the activity is included in the work plan negotiated between the EPA regional office and the
state or tribe. Section 128(a) funds used to capitalize a Brownfields RLF may be used at
brownfields sites contaminated by petroleum to the extent allowed under the CERCLA Section
104(k)(3) RLF program.
GENERAL PROGRAMMATIC GUIDELINES FOR 128(a) GRANT FUNDING
REQUESTS
Funding authorized under CERCLA Section 128(a) is awarded through a cooperative agreement8
with a state or tribe. The program is administered under the general EPA grant and cooperative
agreement regulations for states, tribes, and local governments found in the Code of Federal
Regulations at 40 CFR Part 31. Under these regulations, the cooperative agreement recipient for
Section 128(a) grant program is the government to which a cooperative agreement is awarded
and which is accountable for the use of the funds provided. The cooperative agreement recipient
is the entire legal entity even if only a particular component of the entity is designated in the
cooperative agreement award document.
One application per state or tribe. Subject to the availability of funds, EPA regional offices will
negotiate and enter into Section 128(a) cooperative agreements with eligible and interested states
or tribes. EPA will accept only one application from each eligible state or tribe.
Define the State or Tribal Response Program. States and tribes must define in their work plan
the "Section 128(a) response program(s)" to which the funds will be applied, 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. When EPA funds the Section 128(a) cooperative agreement, states
and tribes may distribute these funds among the appropriate state and tribal agencies that are part
of the Section 128(a) response program. This distribution must be clearly outlined in their
annual work plan.
8A cooperative agreement is an assistance agreement to a state or a tribe that includes
substantial involvement of EPA regional enforcement and program staff during performance of
activities described in the cooperative agreement work plan. Examples of this involvement
include technical assistance and collaboration on program development and site-specific
activities.
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Separate cooperative agreements for the capitalization ofRLFs using Section 128(a) funds. If a
portion of the!28(a) grant funds requested will be used to capitalize a revolving loan fund for
cleanup, pursuant to 104(k)(3), two separate cooperative agreements must be awarded, i.e., one
for the RLF and one for non-RLF uses. States and tribes may, however, submit one initial
request for funding, delineating the RLF as a proposed use. Section 128(a) funds used to
capitalize an RLF are not eligible for inclusion into a Performance Partnership Grant (PPG).
Authority to Manage a Revolving Loan Fund Program. If a state or tribes chooses to use its
128(a) funds to capitalize a revolving loan fund program, the state or tribe must have the
authority to manage the program, e.g., issue loans. If the agency/department listed as the point
of contact for the 128(a) cooperative agreement does not have this authority, it must be able to
demonstrate that another state or tribal agency does have the authority to manage the RLF and is
willing to do so.
Section 128(a) cooperative agreements are eligible for inclusion in the Performance Partnership
Grant (PPG). States and tribes may include Section 128(a) cooperative agreements in their PPG.
69 Fed. Reg. 51,756 (2004). Section 128(a) funds used to capitalize an RLF are not eligible for
inclusion in the PPG.
Project Period. EPA regional offices will determine the project period for each cooperative
agreement. These may be for multiple years depending on the regional office's cooperative
agreement policies. Each cooperative agreement must have an annual budget period tied to an
annual work plan.
Demonstrating the Four Elements. As part of the annual work plan negotiation process, states or
tribes that do not have VRP MO As must demonstrate that their program includes, or is taking
reasonable steps to include, the four elements described above. EPA will not fund, in future
years, state or tribal response program annual work plans if EPA determines that these
requirements are not met or reasonable progress is not being made. EPA may base this
determination on the information the state or tribe provides to support its work plan, or on EPA's
review of the state or tribal response program.
Establishing and Maintaining the Public Record. Prior to funding a state's or tribe's annual work
plan, EPA regional offices will verify and document that a public record, as described above,
exists and is being maintained.9
States or tribes that received initial funding in FY03, FY04, and FY05: Requests for
FY07 funds will not be accepted from states or tribes that fail to demonstrate, by the
February 15, 2007 request deadline, that they established and are maintaining a public
9 For purposes of cooperative agreement funding, the state's or tribe's public record applies
to that state's or tribe's response program(s) that utilized the Section 128(a) funding.
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record. (Note, this would potentially impact any state or tribe that had a term and
condition placed on their FY06 cooperative agreement that prohibited drawdown of
FY06 funds prior to meeting public record requirement.) States or tribes in this situation
will not be prevented from drawing down their prior year funds, once the public record
requirement is met, but will be restricted from applying for FY07 funding.
States or Tribes that received initial funding in FY06: by the time of the actual FY07
award, the state or tribe must demonstrate that they established and maintained the public
record (those states and tribes that do not meet this requirement will have a term and
condition placed on their FY07 cooperative agreement that prevents the drawdown of
FY07 funds until the public record requirement is met).
Recipients receiving funds for the first time in FY07: these recipients have one year to
meet this requirement and may utilize the 128(a) cooperative agreement funds to do so.
Demonstration of Significant Utilization of Prior Years Funding
During the allocation process, EPA headquarters places significant emphasis on the utilization of
prior years' funding. When submitting your request for FY07 funds, the following information
must be submitted:
For those states and tribes with Superfund VCP Core or Targeted Brownfields
Assessment cooperative agreements awarded under CERCLA 104(d), you must provide,
by agreement number, the amount of funds that have not been requested for
reimbursement (i.e., those funds that remain in EPA's Financial Data Warehouse) and
must provide a detailed explanation and justification for why such funds should not be
considered in the funding allocation process.
For those states and tribes that received FY03, FY04, and/or FY05 Section 128 funds,
you must provide the amount of FY03, FY04, and FY05 funds that have not been
requested for reimbursement (i.e, those funds that remain in EPA's Financial Data
Warehouse) and must provide a detailed explanation and justification for why such funds
should not be considered in the funding allocation process.
Note: EPA Regional staff will review EPA's Financial Database Warehouse to confirm the
amount of outstanding funds reported. It is strongly recommended that you work with your
regional counterpart to determine the amount of funds "outstanding." In making this
determination, EPA will take into account those funds that have been committed through an
appropriate state or tribal contract, inter-agency agreement, or similar type of binding agreement,
but have not been requested for reimbursement, i.e., that are not showing as "drawn down" in
EPA's Data Warehouse.
Demonstration of Need to Receive Funds above the FY06 Funding Distribution. Due to the
limited amount of funding available, recipients must demonstrate a specific need when
requesting an amount above the amount allocated to the state or tribe in FY06.
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Allocation System and Process for Distribution of Fund
EPA regional offices will work with interested states and tribes to develop their preliminary
work plans and funding requests. Final cooperative agreement work plans and budgets will be
negotiated with the regional office once final allocation determinations are made.
For Fiscal Year 2007, EPA will consider funding requests up to a maximum of $1.5 million per
state or tribe. This limit may be changed in future years based on appropriation amounts and
demand for funding.
EPA will target funding of at least $3 million per year for tribal response programs. If this
funding is not used, it will be carried over and added to at least $3 million in the next fiscal year.
It is expected that the funding demand from tribes will increase through the life of this
cooperative agreement program and this funding allocation system should ensure that adequate
funding for tribal response programs is available in future years.
After the February 15, 2007 request deadline, regional offices will submit summaries of state and
tribal requests to EPA headquarters. Before submitting requests to EPA headquarters, regional
offices may take into account additional factors when determining recommended allocation
amounts. Such factors include, but are not limited to, the depth and breadth of the state or tribal
program; scope of the perceived need for the funding, e.g., size of state or tribal jurisdiction or
the proposed work plan balanced against capacity of the program, amount of prior funding, and
funds remaining from prior years, etc.
After receipt of the regional recommendations, EPA headquarters will consolidate requests and
allocate funds accordingly.
INFORMATION TO BE SUBMITTED WITH THE FUNDING REQUEST
States and tribes requesting 128 FY07 funds must submit the following information, as
applicable, to their regional contact on or before February 15, 2007 (regions may request
additional information, as needed):
For those states and tribes with prior Superfund VCP Core or Targeted Brownfields
funding awarded under CERCLA 104(d), provide, by agreement number, the amount of
funds that have not been requested for reimbursement (i.e., those funds that remain in
EPA's Financial Data Warehouse) and a detailed explanation and justification for why
such funds should not be considered in the funding allocation process.
For those states and tribes that received an allocation of FY03, '04, and/or '05 128 funds,
provide the amount of FY03, '04, and/or '05 funds that have not been requested for
reimbursement (i.e, those funds that remain in EPA's Financial Data Warehouse) and a
detailed explanation and justification for why such funds should not be considered in the
funding allocation process.
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For those states and tribes requesting amounts above their FY06 allocation, provide an
explanation of the specific need(s) that triggered the request for increased funding.
All states and tribes requesting FY07 funds must submit a summary of the planned use of
the funds with associated dollar amounts. Please provide it in the following format, if
possible:
Funding Use
Requested
Summary of Intended Use
"Establish or Enhance" the
four elements
$xx,xxx
(EXAMPLE USES)
Develop a community involvement
process
Fund an outreach coordinator
Develop/enhance ordinances,
regulations, procedures for response
programs
issue public notices of site activities
review cleanup plans and verify
completed actions
Establish and Maintain the
Public Record
$xx,xxx
(EXAMPLE USES)
maintain public record
create web site for public record
disseminate public information on how
to access the public record
"Enhance the Response
Program or Cleanup
Capacity"
$xx,xxx
(EXAMPLE USES)
hire additional staff for oversight of
brownfields cleanups
attend training and conferences on
brownfields cleanup technologies &
other brownfields topics
perform program management activities
negotiate/manage contracts for response
programs
enhance program management &
tracking systems
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Funding Use
Requested
Summary of Intended Use
Site-specific Activities
$xx,xxx
(EXAMPLE USES)
perform 10 site assessments in rural
communities
negotiate brownfields
agreements/voluntary cleanup contracts
provide technical assistance to federal
brownfields cooperative agreement
recipients
develop and/or review QAPPs
conduct cleanup activities at
brownfields sites
prepare Property Profile Forms
Environmental Insurance
$xx,xxx
(EXAMPLE USES)
review potential uses of environmental
insurance
Revolving Loan Fund
$xx,xxx
(EXAMPLE USES)
create a cleanup revolving loan fund
Total Funding Requested
$xxx,xxx
TERMS AND REPORTING
Cooperative agreements for state and tribal response programs will include programmatic and
administrative terms and conditions. These terms and conditions will describe EPA's substantial
involvement including technical assistance and collaboration on program development and site-
specific activities.
Progress Reports. In accordance with 40 CFR 31.40, state and tribes must provide progress
reports as provided in the terms and conditions of the cooperative agreement negotiated with
EPA regional offices. State and tribal costs for complying with reporting requirements are an
eligible expense under the Section 128(a) cooperative agreement. As a minimum, state or tribal
progress reports must include both a narrative discussion and performance data relating to the
state's or tribe's accomplishments and environmental outputs associated with the approved
budget and workplan and should provide an accounting of 128(a) funding. If applicable, the
state or tribe must include information on activities related to establishing or enhancing the four
elements of the state's or tribe's response program. All recipients must provide information
relating to establishing or, if already established, maintaining the public record.
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Reporting Requirements. Depending upon the activities included in the state's or tribe's work
plan, an EPA regional office may request that a progress report include:
Information related to the public record. All recipients must report information related to
establishing or, if already established, maintaining the public record, described above. States
and tribes can refer to an already existing public record, e.g., website or other public database
to meet this requirement.
For the purposes of cooperative agreement funding only, and depending upon the activities
included in the state or tribe's work plan, this may include:
A list of sites at which response actions have been completed including:
Date the response action was completed
Site name
the name of owner at time of cleanup, if known
Location of the site (street address, and latitude and longitude)
Whether an institutional control is in place;
Explain the type of the institutional control in place (e.g., deed restriction, zoning
restriction, local ordinance, state registries of contaminated property, deed notices,
advisories, etc.)
Nature of the contamination at the site (e.g., hazardous substances, contaminants, or
pollutants, petroleum contamination, etc.)
Size of the site in acres
A list of sites planned to be addressed by the state or tribal response program including:
Site name and the name of owner at time of cleanup, if known
Location of the site (street address, and latitude and longitude)
to the extent known, whether an institutional control is in place;
Explain the type of the institutional control in place (e.g., deed restriction, zoning
restriction, local ordinance, state registries of contaminated property, deed notices,
advisories, etc.)
To the extent known, the nature of the contamination at the site (e.g., hazardous
substances, contaminants, or pollutants, petroleum contamination, etc.)
Size of the site in acres
Reporting environmental insurance. Recipients with work plans that include funding for
environmental insurance must report:
Number and description of insurance policies purchased (e.g., type of coverage provided;
dollar limits of coverage; category and identity of insured persons; premium; first dollar
or umbrella; site specific or blanket; occurrence or claims made, etc.)
The number of sites covered by the insurance
The amount of funds spent on environmental insurance (e.g., amount dedicated to
insurance program, or to insurance premiums) and the amount of claims paid by insurers
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to policy holders
Reporting for site-specific assessment or cleanup activities. Recipients with work plans that
include funding for brownfields site assessment or cleanup must complete the OMB-approved
Property Profile Form for each site assessment and cleanup.
Reporting for other site-specific activities. Recipients with work plans that include funding
Mother site-specific related activities must include a description of the site-specific
activities and the number of sites at which the activity was conducted. For example:
Number and frequency of oversight audits of licensed site professional certified cleanups
Number and frequency of state/tribal oversight audits conducted
Number of sites where staff conducted audits, provided technical assistance, or conducted
other oversight activities
Number of staff conducting oversight audits, providing technical assistance, or
conducting other oversight activities
Reporting for RLF uses. Recipients with work plans that include funding for Revolving Loan
Fund (RLF) must include the information required by the terms and conditions for progress
reporting under CERCLA section 104(k)(3) RLF cooperative agreements.
Reporting for Non-MOA states and tribes. All recipients without a VRP MOA must report
activities related to establishing or enhancing the four elements of the state's or tribe's
response program. For each element state/tribes must report how they are maintaining the
element or how they are taking reasonable steps to establish or enhance the element as
negotiated in individual state/tribal work plans. For example, pursuant to CERCLA Section
128(a)(2)(B), reports on the oversight and enforcement authorities/mechanisms element may
include:
a narrative description and copies of applicable documents developed or under
development to enable the response program to conduct enforcement and oversight at
sites. For example:
o legal authorities and mechanisms (e.g., statutes, regulations, orders, agreements);
o policies and procedures to implement legal authorities; and other mechanisms;
a description of the resources and staff allocated/to be allocated to the response program
to conduct oversight and enforcement at sites as a result of the cooperative agreement;
a narrative description of how these authorities or other mechanisms, and resources, are
adequate to ensure that:
o a response action will protect human health and the environment; and be
conducted in accordance with applicable Federal and State law; and if the person
conducting the response action fails to complete the necessary response activities,
including operation and maintenance or long-term monitoring activities, the
necessary response activities are completed; and
a narrative description and copy of appropriate documents demonstrating the exercise of
oversight and enforcement authorities by the response program at a brownfields site.
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Where applicable, EPA may require states/tribes to report specific performance measures related
to the four elements which can be aggregated for national reporting to Congress.
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.
EPA regions may allow states or tribes to provide performance data in appropriate electronic
format.
The regional offices will forward progress reports to EPA Headquarters, if requested. This
information may be used to develop national reports on the outcomes of CERCLA Section
128(a) funding to states and tribes.
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