Proposal Guidelines for
Brownfields Assessment,
Revolving Loan Fund, and
Cleanup Grants
Recycled/Recyclable
Printed with Soy/Canola Ink on paper t
contains at least 50% recycled fiber
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Solid Waste and EPA-500-F-02-142
Emergency Response October 2002
(5105T) www.epa.gov/brownfields
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Table of Contents
1. The National Brownfields Program and the New Brownfields Law 3
1.1. Background 3
1.2. The New Brownfields Law 3
2. Summary of Brownfields Grant Programs 5
2.1. Applicant Eligibility 5
2.2. Assessment Grant Program 6
2.3. Revolving Loan Fund Grant Program 6
2.4. Cleanup Grant Program 7
3. Proposal Submission and Selection Process Overview 9
3.1. Step 1-InitialProposals 10
3.2. Step2-FinalProposals 11
3.3. Final Selection and Funding Award 11
3.4. Proposal Submission Schedule 12
3.5. General Proposal Requirements 12
4. Initial Proposal Guidelines 15
4.1. Preliminary Information 16
4.2. Assessment Grants 18
4.3. Revolving Loan Fund Grants 20
4.4. Cleanup Grants 24
5. Final Proposal Guidelines 29
5.1. Assessment Grants 29
5.2. Revolving Loan Fund Grants 32
5.3. Cleanup Grants 35
Appendix 1. EPA Regional and Headquarters Contacts 39
Appendix 2. Prohibitions on Use of Funds 41
Appendix 3. Guidance on Sites Eligible for Brownfields Funding Under CERCLA §104(k) 43
Appendix 4. Guidance for Requests for Property-Specific Determinations for Funding 55
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The National Brownfields
Program and the New
Brownfields Law
These guidelines are provided pursuant to Catalog of Federal Domestic Assis-
tance #66.811 (a revised CFDA# entry has been submitted for approval). Abrownfield site is "real
property, the expansion, redevelopment, or reuse of which may be complicated by the presence or
potential presence of a hazardous substance, pollutant, or contaminant," as defined in the Comprehensive
Environmental Response, Compensation, and Liability Act of 1980 §101(39), as amended (CERCLA).
The new Small Business Liability Relief and Brownfields Revitalization Act ("Brownfields Law" or "the
Law", PL. 107-118) requires the U. S. Environmental Protection Agency (EPA) to publish guidance to
assist applicants in preparing grant proposals. These guidelines implementthat requirement for assessment,
revolving loan fund, and cleanup grants. EPA estimates that $ 100 million will be available to make up to
200 grant awards, contingent upon the availability of funds in F Y 2003.
1.1. Background
In the early 1990s, stakeholders expressed their concerns to EPA about the problems associated with
brownfields across the country. More than 600,000 properties that were once used for industrial, manu-
facturing, or other commercial uses were lying abandoned or underused due to the suspicion of hazardous
substance contamination. Brownfield areas, particularly those in city centers, were contributing to blight
and j oblessness in surrounding communities. Unknown environmental liabilities were preventing communi-
ties, developers, and investors from restoring these properties to productive use and revitalizing impacted
neighborhoods.
In 1994, EPAresponded to the brownfield problem with an environmental protection approach that is
locally based, encourages strong public-private partnerships, and promotes innovative and creative ways
to assess, clean up, and redevelop brownfield sites. This approach empowers state, tribal, and local
environmental and economic development officials to oversee brownfield activities, and encourages
implementing local solutions to local problems. EPAalso has provided funding to create local environmen-
tal j ob training programs to ensure that the economic benefits derived from brownfield revitalization efforts
remain in local neighborhoods.
1.2. The New Brownfields Law
On January 11,2002, President George W. Bush signed into law the Small Business Liability Relief and
Brownfields Revitalization Act. The Brownfields Law expands potential federal financial assistance for
brownfield revitalization, including grants for assessment, cleanup, and j ob training. The new law also limits
the liability of certain contiguous property owners and prospective purchasers of brownfield properties,
and clarifies innocent landowner defenses to encourage revitalization and reuse of brownfield sites. The
Brownfields Law also includes provisions to establish and enhance state and tribal response programs,
which will continue to play a critical role in the successful cleanup and revitalization of brownfields.
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The Brownfields Law contains some features that are important for grant applicants to keep in mind when
using these guidelines.1 Some of those features are summarized below.
The Brownfields Law expands eligibility for brownfields funding by broadening the entities eligible for
funding. It also permits the award of cleanup grants to eligible entities, including nonprofit organizations,
that own the property they wish to clean up. EPAhas adopted a definition of nonprofit organizations that
includes universities and other nonprofit educational institutions. In addition, EPA will continue its policy of
accepting proposals from "coalitions," or groups of eligible entities, to pool their revolving loan capitaliza-
tion grant funds. A coalition is a grouping of two or more eligible entities] oined together under one grant
recipient. The grant recipient must administer the grant, is accountable to EPAfor proper expenditure of
the funds, and will be the point of contact for the other coalition members.
The Brownfields Law defines a brownfield site broadly, but does exclude certain sites from funding
eligibility unless EPA makes a property-specific determination to fund (see Appendix 3 for additional
information). This determination will be based on whether or not awarding a grant will protect human
health and the environment and either promote economic development or enable the property to be used
for parks, greenways, and similar recreational or nonprofit purposes. (See Appendix 3 and Appendix 4
for more information on "eligibility for funding" and "property-specific determinations.")
Generally, the law allows EPA to award brownfield grant funds for activities at petroleum-contaminated
sites that: 1) EPA or the state determines are of "relatively low risk" compared with other petroleum-
contaminated sites in the state; 2) EPA or the state determines have no viable responsible party and that
will be assessed, investigated, or cleaned up by a person that is not potentially liable for cleaning up the
site; and 3) are not subj ect to a Resource Conservation and Recovery Act (RCRA) §9003(h) order.
EPAmust make available 25 percent of the total grant funds for assessment and/or cleanup of petroleum-
contaminated sites. EPAhas designed these guidelines to allow applicants to specify the amount of
funding that will be used at petroleum-contaminated sites. (See Appendix 3 for additional information.)
The Brownfields Law requires a 20 percent cost share for revolving loan fund and cleanup grants.
Grant funds cannot be used for administrative costs. (See Appendix 2, Prohibition on Use of Funds,
for additional prohibitions.)
Grant funds cannot be used to pay response costs at a brownfield site for which the recipient of the grant
or loan is potentially liable under CERCLA § 107. (See Appendix 2, Prohibition on Use of Funds, for
additional prohibitions.)
Under the Brownfields Law, a local government may use up to 10 percent of its grant funds for monitor-
ing the health of populations exposed to one or more hazardous substances, pollutants, or contaminants
from a brownfield site and monitoring and enforcement of any institutional control used to prevent human
exposure to any hazardous substance, pollutant, or contaminant from a brownfield site. To effectively
oversee assessments and cleanups, local governments may use grant funds (within the overall 10 percent
limit) for other related program development and implementation activities.
For additional information, contact your Regional Brownfields Contact listed in Appendix 1.
'The authority to provide grants in the Brownfields Law is codified at § 104(k) of CERCLA.
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Summary of Brownfields
Grant Programs
Three competitive brownfields grant programs are discussed in these guidelines:
assessment grants, revolving loan fund (RLF) grants, and cleanup grants. Eligible
applicants, including those with existing brownfields grants, may apply for one, or
all, of the grant programs. Contact your EPARegional representative for assis-
tance.
2.1. Applicant Eligibility
The following table indicates, by grant program, what types of entities are eligible to receive EPA funds for
brownfields assessment, RLF, and cleanup grants:
Type of Applicant
General Purpose Unit of Local Government2
Land Clearance Authority or other
quasi-governmental entity that operates under
the supervision and control of, or as an agent
of, a general purpose unit of local government
Government Entity Created by State Legislature
Regional council or group of general purpose
units of local government
Redevelopment Agency that is chartered or
otherwise sanctioned by a state
State
Indian Tribe other than in Alaska3
Alaska Native Regional Corporation, Alaska
Native Village Corporation, and Metlakatla
Indian Community4
Nonprofit organizations5
Assessment
/
/
/
/
/
/
/
/
RLF1
/
/
/
/
/
/
/
/
Cleanup1
/
/
/
/
/
/
/
/
/
'To be eligible for a cleanup grant or an RLF subgrant, the applicant must own the site for which they seek funding by the time the
award is made.
Tor purposes of the brownfields grant program, EPA defines general purpose unit of local government as a "local government" as that
term is defined under 40 CFR Part 31.
3Intertribal Consortia are eligible for funding in accordance with EPA's policy for funding intertribal consortia in the brownfields
program to be published in the Federal Register. This policy also may be obtained from your Regional Brownfields Contact.
4Alaska Native Regional Corporations and Alaska Native Village Corporations are defined in the Alaskan Native Claim Settlement Act
(43U.S.C. 1601 and following).
Tor the purposes of the brownfields grant program, EPA will use the definition of nonprofit organizations contained in Section 4(6) of
the Federal Financial Assistance Management Improvement Act of 1999, Public Law 106-107. The term "nonprofit organization"
means any corporation, trust, association, cooperative, or other organization that is operated primarily for scientific, educational,
service, charitable, or similar purpose in the public interest; is not organized primarily for profit; and uses net proceeds to maintain,
improve, or expand the operation of the organization.
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2.2. Assessment Grant Program
Assessment grants provide funding for a grant recipient to inventory, characterize, assess, and conduct
planning and community involvement related to brownfield sites.
An eligible entity may apply for up to $200,000 to address sites contaminated by hazardous substances,
pollutants, or contaminants (including hazardous substances co-mingled with petroleum) and up to
$200,000 to address sites contaminated by petroleum. Grant funds may not exceed $400,000 per
applicant unless a waiver is requested, which must be based on the anticipated level of contamination,
size, or ownership status of the site. Applicants may request a waiver of the $200,000 limits up to
$3 50,000 for sites contaminated by hazardous substances, pollutants, or contaminants (including hazard-
ous substances co-mingled with petroleum) and up to $350,000 to address sites contaminated by
petroleum. Due to budget limitations, no entity may apply for funding assessment activities in excess of the
$700,000 as described above.
The performance period for these grants generally will be two years.
Refer to Appendix 2, Prohibitions on Use of Funds., for more information on activities that may not be
funded using brownfields grant funds.
2.3. Revolving Loan Fund Grant Program
Revolving Loan Fund grants provide funding for a grant recipient to capitalize a revolving loan fund
and to provide subgrants to carry out cleanup activities at brownfields sites.
An eligible entity may apply for up to $1,000,000 for an initial RLF grant. Coalitions of eligible
entities may apply together under one recipient for up to $1,000,000 per eligible entity. These funds
may be used to address sites contaminated by petroleum and hazardous substances, pollutants, or
contaminants (including hazardous substances co-mingled with petroleum).
Proposals may be submitted by "coalitions," or groups of eligible entities, to pool their revolving
loan capitalization grant funds. A coalition is a grouping of two or more eligible entities joined
together under one grant recipient. The grant recipient must administer the grant, be accountable to
EPA for proper expenditure of the funds, and be the point of contact for the other coalition mem-
bers. Members of the coalition other than the grant recipient must submit letters agreeing to be part
of the coalition.
An RLF grant recipient must use at least 60 percent of the awarded funds to capitalize a revolving
loan fund. Revolving loan funds generally are used to provide no-interest or low-interest loans for
brownfields cleanups. An RLF grant recipient also may use its funds to award subgrants to other
eligible entities, including nonprofit organizations, for brownfields cleanups on sites owned by the
sub grantee; however, an RLF grant recipient may use no more than 40 percent of the awarded
funds for cleanup subgrants and may not subgrant to itself. Unlike loans, cleanup subgrants do not
require repayment.
An RLF award requires a 20 percent cost share, which may be in the form of a contribution of
money, labor, material, or services, and must be for eligible and allowable costs (the match must
equal 20 percent of the amount of funding provided by EPAand cannot include administrative costs, as
described in Appendix 2). An RLF grant applicant may request a waiver of the 20 percent cost share
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requirement based on hardship. Applicants must contact their Regional representative (listed in Appen-
dix 1} to discuss applying for a waiver prior to submitting Initial Proposals.
Existing Brownfields Cleanup Revolving Loan Fund (BCRLF) recipients, may choose to "transi-
tion" their grants to the requirements of the new law. BCRLF recipients who choose to transition
must comply with all requirements of the new law. BCRLF recipients who do not choose to
transition will continue to operate pursuant to the terms and conditions of their existing coopera-
tive agreements. EPA will be providing information about this transition option to existing
BCRLF grant recipients.
The performance period for these grants generally will be five years.
Refer to Appendix 2, Prohibitions on Use of Funds, for more information on activities that may
not be funded using brownfields grant funds.
2.4. Cleanup Grant Program
Cleanup grants provide funding for a grant recipient to carry out cleanup activities at brownfield sites.
An eligible entity may apply for up to $200,000 per site. Due to budget limitations, no entity
should apply for funding cleanup activities at more than five sites. These funds may be used to
address sites contaminated by petroleum and hazardous substances, pollutants, or contaminants
(including hazardous substances co-mingled with petroleum).
Cleanup grants require a 20 percent cost share, which may be in the form of a contribution of
money, labor, material, or services, and must be for eligible and allowable costs (the match must
equal 20 percent of the amount of funding provided by EPA and cannot include administrative
costs). A cleanup grant applicant may request a waiver of the 20 percent cost share requirement
based on hardship. Applicants must contact their Regional representative (listed in Appendix 7) to
discuss applying for a waiver prior to submitting Initial Proposals.
An eligible entity must own the site for which it is requesting funding in order to qualify.
The performance period for these grants generally will be two years.
Refer to Appendix 2, Prohibitions on Use of Funds, for more information on activities that may not
be funded using brownfields grant funds.
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Proposal Submission and
Selection Process Overview
The Brownfields Law provides that eligible entities may apply for grants
through EPA Regional offices and that EPA establish a competitive system
for awarding grants to the applicants with proposals that received the highest
rankings. EPAbrownfields grants will be selected on a competitive basis
using a two-step proposal selection process. This section provides an overview of the two-step
proposal submission and selection process and general requirements for proposal preparation.
STEP1
Initial
Proposals
Sent to EPA
I
Initial Proposals Evaluated by
Regional Evaluation Panels
Letters to Applicants:
Invitation for
Final Proposal
or Rejection
STEP 2
Final
Proposals
Sent to EPA
I
Final Proposals Evaluated by
National Evaluation Panels
hi
AM
Final Proposals
Selected by
EPA Senior
Management
Funding Award
through
Cooperative
Agreement
Letters to
Applicants:
Selection or
Rejection
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3.1. Step 1-lnitial Proposals
Step 1 is the submission, evaluation, and ranking of Initial Proposals through EPA
Regional Offices. All eligible applicants, including those with existing brownfields grants,
may prepare Initial Proposals in response to these guidelines. These guidelines address
three types of grant activities-assessment, revolving loan fund, and cleanup. All appli-
cants, including those applying for more than one type of grant activity (assessment, revolving loan fund,
and/or cleanup), must submit a single Initial Proposal.
There are two different types of criteria-threshold criteria and ranking criteria. Threshold and ranking
criteria will be clearly indicated in each section below. If you are requesting funding for more than one type
of grant activity, your Initial Proposals must include responses to each threshold criterion and ranking
criterion for each grant activity type.
In preparing Initial Proposals, applicants are encouraged to work with their EPARegional Brownfi elds
Contacts listed in Appendix 1. Regional representatives can help you understand applicant eligibility, site
eligibility, activities that funding may and may not be used for, terminology, budgets, and other issues.
Such assistance is available to all applicants upon request
To submit an Initial Proposal, applicants must send an original Initial Proposal to their Regional represen-
tative and a copy to EPA Headquarters at the addresses shown in Appendix 1. Refer to Section 4,
Initial Proposal Guidelines, for instructions on preparing Initial Proposals. Refer to Appendix 1 for
Regional and Headquarters contact mailing addresses. Initial Proposals must be postmarked or sent via
registered or tracked mail to the appropriate Regional and Headquarters representative by December
16, 2002 .
Initial Proposals will be evaluated and ranked by Regional evaluation panels. These panels will evaluate
responses to threshold criteria on a pass/fail basis and will evaluate responses to ranking criteria on a
numerical scoring basis. If a response to a threshold criterion fails, the proposal will be disqualified
from further consideration under these guidelines. However, EPARegions may seek clarification from an
applicant regarding its response to certain threshold criteria. Scores on each ranking criterion will be
totaled to determine proposal rankings.
Funding requests for assessment grants, funding requests for RLF grants, and funding requests for
cleanup grants will be evaluated and ranked separately.
EPA will determine those Initial Proposals that have the highest rankings, and then invite those applicants
to prepare and submit Final Proposals, the second step in the two-part proposal process. EPA decisions
may take into account other statutory and policy considerations, such as urban and non-urban distribution
and other geographic factors; compliance with the statutory petroleum funding allocation; the benefits of
promoting the long-term availability of funds under the RLF grants; designation as a federal Empower-
ment Zone, Enterprise Community, or Renewal Community; population; and whether the applicant is a
federally recognized Indian tribe. EPA may take information on relevant response or enforcement actions
into account prior to making final decisions on Initial Proposals.
Ineligible or lower ranking applicants will not be invited to prepare a Final Proposal. These applicants will
be advised of this decision at the same time that invitations for Final Proposals will be sent to higher
ranking applicants. EPA anticipates a highly competitive process.
Applicants eliminated from competition at the Initial Proposal stage can contact their Regional
Brownfi elds Contact for feedback on their proposals.
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3.2. Step 2-Final Proposals
Step 2 is the submission, evaluation, and ranking of Final Proposals. Final Proposals will
be accepted by EPA invitation only. Applicants should submit separate Final Proposals
responding to these guidelines for each type of grant activity (i.e., one assessment, one
revolving loan fund, and/or up to five cleanup Final Proposals, depending on invitation
letters received).
To submit a Final Proposal, applicants must send an original Final Proposal to their Regional represen-
tative and a copy to EPA Headquarters at the addresses shown in Appendix 1. Refer to Section 5,
Final Proposal Guidelines., for instructions on preparing Final Proposals. Refer to Appendix 1 for
Regional and Headquarters contact mailing addresses. Final Proposals must be postmarked or sent via
registered or tracked mail to the appropriate Regional and Headquarters representative by March 5,
2003.
Final Proposals will be evaluated and ranked by National Evaluation Panels composed of representa-
tives from EPARegional and Headquarters offices and representatives of other federal agencies. These
panels will evaluate and rank responses to ranking criteria based on a numerical scoring system. EPA
decisions may take into account other statutory and policy considerations, such as urban and non-urban
distribution and other geographic factors; compliance with the statutory petroleum funding allocation;
the benefits of promoting the long-term availability of funds under the RLF grants; designation as a
federal Empowerment Zone, Enterprise Community, or Renewal Community; population; and whether
the applicant is a federally recognized Indian tribe. Scores on all Final Proposal ranking criteria will be
totaled and 20 percent of the total Initial Proposal scores will be added to determine Final Proposal
rankings.
Applicants eliminated from competition at the Final Proposal stage can contact their Regional
Brownfields Contact for feedback on their proposals.
EPA reserves the right to reject all proposals or applications and make no awards.
3.3. Final Selection and Funding Award
Final selections will be made by EPA senior management based upon the ranking of Final
Proposals by the National Evaluation Panels. EPA decisions may take into account other
statutory and policy considerations, such as urban and non-urban distribution and other
geographic factors; compliance with the statutory petroleum funding allocation; the benefits
of promoting the long-term availability of funds under the RLF grants; designation as a
federal Empowerment Zone, Enterprise Community, or Renewal Community; population; and whether the
applicant is a federally recognized Indian tribe. EPAalso will take information on relevant response or
enforcement actions into account prior to making final decisions. Successful proposal applicants will be
informed in writing of their selection.
Funding will be awarded as a cooperative agreement. The applicants whose proposals are selected will be
asked to submit a formal cooperative agreement application package to their EPARegional office. This
package will include an EPA-approved work plan, a final budget, and the required forms. Cooperative
agreements approved under this final selection step will include terms and conditions. These terms and
conditions will be binding on the grant recipient and cover areas such as complying with all applicable
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federal and state laws and ensuring that cleanups protect human health and the environment. Applicants also
will be required to submit progress reports in accordance with grant regulations found in 40 CFR 30.51 or
40 CFR 31.40, as applied by EPARegional offices. EPA will work closely with the applicant to process and
finalize the cooperative agreement package. EPA anticipates substantial involvement with the cooperative
agreement recipient.
Any disputes regarding proposals or applications submitted in response to these guidelines will be resolved in
accordance with 40 CFR 30.63 and Part 31, Subpart F.
In accordance with Executive Order 12372, EPA encourages successful applicants to contact their State
Intergovernmental Review Office early so that the required intergovernmental review process may begin
immediately upon selection by EPA. If the state does not have an Intergovernmental Review Office, the
successful applicant must provide notice of the proposed agreement directly to affected state, area-wide,
regional, and local entities. Contact your Regional Brownfields Contact for assistance, if needed.
3.4. Proposal Submission Schedule
EPA will adhere to the following schedule for the submission of grant proposals:
Initial Proposals
Evaluation Results
Assessment Final Proposals
RLF Final Proposals
Cleanup Final Proposals
National Evaluation Panels
postmarked by December 16, 2002
late-January 2003
postmarked by March 5, 2003
postmarked by March 5, 2003
postmarked by March 5, 2003
April 2003
3.5. General Proposal Requirements
All materials included in the proposal (including maps and other attachments) must be
printed on letter-sized paper (SVa" by 11") and font sizes may be no smaller than 12
points. Proposals received by EPA will be copied and distributed to appropriate reviewers;
therefore, binders and color printing are discouraged. Generally, Initial Proposals should be
between 7 and 10 pages in length, not including attachments. Generally, Final Proposals should be between
7 and 10 pages in length, not including attachments. Applicants should clearly mark information they con-
sider confidential. EPA will make final confidentiality decisions in accordance with Agency regulations in 40
CFR Part 2, Subpart B.
Proposals should be concise and well organized, and must provide the information requested in the guidelines,
including responses to each criterion. Factual information about your proposed proj ect and community should
be provided. Proposals should not include discussions of broad principles that are not specific to the proposed
work or project. Responses to criteria should include the criteria number and title but need not restate the
entire text of the criteria.
If you are applying for more than one type of grant activity, you may repeat responses when responding to
similar criteria used in the guidelines for more than one type of grant activity. For example, you may wish to
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use the same description of "community need" in your responses to Initial Proposal ranking criteria for
assessment, RLF, and cleanup grants. However, assessment, RLF, and cleanup proposals will be evaluated
separately and different reviewers may review each grant program activity section. Each section of your
proposal should stand on its own merits. Applicants are encouraged to discuss the links between grant
proposals.
Electronic copies of the guidelines can be obtained from the EPA brownfi elds web site (www.epa.gov/
brownfields) or by contacting your Regional Brownfi elds Contact listed in Appendix 1.
j
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Initial Proposal Guidelines
To request funding, applicants must submit a single Initial Proposal. The Initial
Proposal will be used to address up to three types of brownfields grant activities
(assessment, RLF, and cleanup). Generally, Initial Proposals should be between 7
and 10 pages in length, not including attachments.
The Initial Proposal will consist of the following items:
o
o
o
o
Cover Letter (optional)
Applicant Information
Requested Programs and
Funding
Project Overview
Responses to Assessment
Grant Criteria (if applicable)
1. Threshold Criteria
2. Ranking Criteria
Responses to RLF Grant
Criteria (if applicable)
1. Threshold Criteria
2. Ranking Criteria
Responses to Cleanup
Grant Criteria (if applicable)
1. Threshold Criteria
2. Ranking Criteria
Attachments
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4.1. Preliminary Information
Please provide the following:
I. Cover Letter (Optional)
Submission of a cover letter is optional. If a cover letter is submitted, please prepare it on the applicant's
letterhead and have it signed by an official of your organization.
II. Applicant Information
A. Project Title: Be as specific as possible.
B. Name of Applicant: The proposed recipient of the grant funds.
Note: For RLF coalition proposals, the entity named here will be considered the cooperative
agreement recipient.
C. Project Contact: Name, mailing address, telephone and fax numbers, and email address of the
person from your organization who is responsible for the project proposal. We will contact this
person if we need further information.
D. ChiefExecutive: Name of the elected or other official who is head of your organization, mailing
address, email address, and phone and fax numbers.
Note: For RLF coalition proposals, provide the information for the chief executive for each
eligible entity.
E. Location: City, county, and state or Indian Reservation, tribally-owned lands, tribal fee lands, etc.,
of the area targeted by your proposal.
Note: For RLF coalition proposals, list the relevant information for each eligible entity.
F. Population: The population of your jurisdiction and of the area targeted by your proposal. Tribes
should provide the number of tribal/non-tribal members affected.
Note: For RLF coalition proposals, list the relevant information for each eligible entity.
G. Special Consideration: Indicate whether you qualify for special consideration during proposal
evaluation (i.e., population of your community under 100,000; federally recognized tribe; federally
designated Empowerment Zone/Enterprise Community in your community; orfederally designated
Renewal Community).
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I. Requested Programs and Funding
(print/copy and complete and submit with proposal)
Name of Applicant:
Please respond as appropriate:
Q Assessment Grant (check if applying for this grant activity type)
Q Requested funding for assessment activities at sites contaminated by hazardous substances,
pollutants, or contaminants (including hazardous substances co-mingled with petroleum):
$ (no more than $200,000 per applicant)
Are you requesting a waiver of the funding limit?
If yes, specify the amount requested:
$ (no more than $ 150,000 per site)
Requested funding for assessment activities at petroleum sites:
$ (no more than $200,000 per applicant)
Are you requesting a waiver of the funding limit?
If yes, specify the amount requested:
$ (no more than $ 150,000 per site)
Note:
Only those
proposals
identifying
specific sites
will be eligible
to apply for a
waiver.
Revolving Loan Fund Grant (check if applying for this grant activity type)
$ (total amount requested, up to $1 million per eligible entity)
How much of this total is funding for addressing petroleum sites? $
Are you submitting this proposal on behalf of a coalition?
If yes, please indicate the number of eligible entities within the coalition: .
Cleanup Grant (check if applying for this grant activity type)
$ (total amount requested, up to $200,000 per site)
For each site, list the amount requested and whether it is for a hazardous substance, pollutant,
or contaminant cleanup (including hazardous substances co-mingled with petroleum) or a
petroleum cleanup. (You may apply for up to 5 sites.)
For example, Site 1: $200,000 for a petroleum cleanup.
Site 1: $
Site 2: $
Site 3: $
Site 4: $
Site 5:$
IV. Project Overview
Describe your proposed proj ect and your plans for using EPA grant funds, including assessment, cleanup,
and revolving loan fund grants, as appropriate.
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4.2. Assessment Grants
Provide responses to the following threshold and ranking criteria if you are applying for assessment grant
funding. Threshold criteria are pass/fail criteria. If your responses do not meet the threshold criteria, you will
not be invited to prepare Final Proposals.
Threshold Criteria
A. Applicant Eligibility
Note: For this threshold criterion, EPA may seek further clarification of responses, if needed,
during the selection review process.
Describe how you are an eligible entity for the grants for which you are applying. Refer to the
description of applicant eligibility in Section 2.1.
B. Community Notification
Note: EPA will not seek further clarification of responses to this criterion.
Describe how the community was notified of the preparation and submission of this proposal.
Note: Those applicants selected to submit a Final Proposal will need to describe how the
community was given the opportunity to be involved in the preparation of the Final Proposal.
C. Letter from the State or Tribal Environmental Authority
Note: EPA will not seek further clarification of responses to this criterion from the applicant.
For an applicant other than a state or tribal environmental authority, provide a letter from the
appropriate state or tribal environmental authority acknowledging that you plan to conduct
assessment activities. If you are applying for multiple types of grant program activities, you need
submit only one letter acknowledging the relevant grant activities. Provide as an attachment.
D. Description of Sites
Note: For this threshold criterion, EPA may seek further clarification of responses, if needed,
during the selection review process.
If you have identified specific sites, address the following for each site:
1. List the site name and address and describe its operational history, environmental concerns,
and its current site use and activity.
2. If you determine the site is not eligible for funding without a property-specific determination,
then you will need to apply for a property-specific determination. To apply for a property-
specific determination, attach the information requested in Appendix 4 Section 4.1. Contact
your Regional representative for further guidance.
Note: EPA may use available information to verify that the site is eligible for funding.
3. Identify who owns the site.
4. Identify how the site became contaminated.
5. If the site is contaminated with petroleum, describe whether Leaking Underground Storage
Tank (LUST) trust fund money has been spent at this site or whether the site i s subj ect to a
response under the Oil Pollution Act (see Appendix 3).
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6. If the applicant owns the site, describe how you took ownership of the site (e.g., tax
foreclosure) and date of acquisition.
7. If the site is not owned by the applicant, describe your relationship with the owner and their
role in the work to be performed.
8. If the applicant owns the site, describe whether you are responsible for any of the
environmental concerns at the site.
9. For those sites that are not owned by the applicant, indicate how access will be secured.
10. Indicate whether you are applying for a waiver of the $200,000 per site funding limit. If so,
indicate the dollar amount requested and provide a justification as to why the waiver should
be granted. Justification must be based on the anticipated level of contamination, size, or
status of ownership (refer to Section 2.2. for a discussion of this waiver).
11. Identify ongoing or anticipated environmental enforcement actions related to the brownfield
site for which funding is sought.
Ranking Criteria
A. Community Need (a maximum of 40 points may be received for this criterion)
1. Provide a detailed description of the target community that the proj ect(s) will benefit. Include
demographic information and indicators such as the poverty rate, unemployment rate, special
community situations (e.g., population size), or other environmental justice factors that
support community need relating directly to this proj ect (e.g., low-income and/or minority
communities; sensitive populations, such as children and pregnant women; or communities
disproportionately impacted by environmental factors).
2. Characterize the impact of brownfields on your community (or communities) by describing
the extent of brownfields (e.g., size, number, location) and the economic, health, and/or
environmental impacts of the brownfields.
B. Leveraging of Additional Resources (a maximum of 40 points may be received for this criterion)
1. Describe the financial needs for each phase of the project (assessment, cleanup, and
redevelopment), if known.
2. Identify the funds (e.g., general revenues, Tax Increment Financing (TIF), staff time/in-kind)
that your agency/organization has committed or will commit to meet the needs described
above.
I ^
3. Describe all other funding sources (e.g., federal, state, nonprofit, or private) that will be
committed to fill in any remaining funding gaps to ensure the success of this project.
4. Describe the extent to which this grant will meet the financial needs described above and
stimulate the availability of the other funding sources.
C. Ability to Manage Grants (a maximum of 20 points may be received for this criterion)
1. Describe your ability to manage this grant and oversee the assessment work, or describe the
system(s) you have in place to hire the requisite expertise.
2. Describe your history of managing federal funds generally. You must identify and provide
information regarding the status of any adverse audit findings from an OMB Circular A-13 3
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audit, an audit conducted by a federal, state, tribal, or local government inspector general or
similar organization, or audits conducted by the U. S. General Accounting Office. You also
must note whether you are, or have previously been, required to comply with special "high
risk" terms and conditions under agency regulations implementing OMB Circular A-102.
3. Ifyou are, orhavebeen, arecipientof an EPA Brownfi elds Assessment cooperative
agreement, provide information regarding your compliance with quarterly progress reports,
brownfields reporting measures, and annual financial status reporting.
4. Ifyou are a current recipient of an EPA Brownfields Assessment cooperative agreement,
indicate the amount of funds remaining.
5. Ifyou are a current recipient of an EPA Brownfields Assessment cooperative agreement,
highlight significant accomplishments generated through the use of the funds.
D. Site Selection Process (a maximum of 3 0 points may be received for this criterion)
1. Describe how sites were selected/will be selected and what site selection criteria were/will be
developed.
2. Describe possible or previous inventory activities, prioritization efforts, or other activities.
3. Ifyou anticipate conducting assessment activities on privately owned sites, discuss possible
access issues and how you would resolve the issues.
4.3. Revolving Loan Fund Grants
Provide responses to the following threshold and ranking criteria if you are applying for Revolving Loan
Fund grant funding. Threshold criteria are pass/fail criteria. If your responses do not meet the threshold
criteria, you will not be invited to prepare Final Proposals.
Threshold Criteria
A. Applicant Eligibility
Note: For this threshold criterion, EPA may seek further clarification of responses, if needed,
during the selection review process.
Describe how you are an eligible entity for the grants for which you are applying. Refer to the
description of applicant eligibility in Section 2.1.
Note: Coalition applicants for RLF grants must demonstrate that all coalition members are
eligible entities. In addition, for coalition members other than the applicant, you must submit a
letter from each eligible coalition member in which they agree to be part of the coalition.
B. Community Notification
Note: EPA will not seek further clarification of responses to this criterion.
Describe how the community was notified of the preparation and submission of this proposal.
Note: Those applicants selected to submit a Final Proposal will need to describe how the
community was given the opportunity to be involved in the preparation of the Final Proposal.
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C. Legal Authority to Manage a Revolving Loan Fund
Note: EPA will not seek further clarification of responses to this criterion.
Provide an opinion from your legal counsel that demonstrates your legal authority to perform the
actions necessary to manage a revolving loan fund. At a minimum, legal authority must include the ability
to hold funds, make loans, enter into loan agreements, and collect repayments. This authority may be
based on statute, regulation, or other authority. Attach your counsel's legal opinion.
D. Cleanup Authority and Oversight Structure
Note: EPA will not seek further clarification of responses to this criterion.
1. Describe how you will oversee the cleanup at the site. Indicate whether you plan to require loan or
subgrant recipients to enroll in a state or tribal voluntary response program. If you do not plan to
require loan or subgrant recipients to enroll in a state or tribal voluntary response program, provide
a description of the technical expertise you have to manage the cleanup and/or whether you plan to
acquire additional technical expertise. If you do plan to acquire additional technical expertise,
discuss how, consistent with 40 CFR 31.36, you will ensure that this technical expertise is in place
prior to beginning cleanup activities.
2. Provide a legal opinion from your counsel that demonstrates that you have legal authority to
access and secure sites in the event of an emergency or default of a loan agreement or non-
performance under a subgrant. Attach your counsel's legal opinion.
E. Cost Share
Note: EPA will not seek further clarification of responses to this criterion.
RLF grant recipients are required by the new Brownfields Law to provide a 20 percent cost
share.2 This cost share is calculated as 20 percent of the total federal RLF funds awarded.
For example, if you are applying for $1 million of federal RLF funds, you must provide a
cost share of an additional $200,000. The cost share may be in the form of a contribution of
money, labor, material, or services from a non-federal source. If the cost share is in the form
of contribution of labor, material, or other services, it must be incurred for an eligible and
allowable cost under the grant and not for ineligible costs, such as administrative costs (see
Appendix 2 for a discussion of prohibited costs).
1. Describe your plans for providing the cost share as required for this RLF program grant.
RLF grant applicants may petition EPA to waive the cost-share requirement if it would place an
undue hardship on the eligible entity. EPA will consider hardship waiver requests on a case-by-case . ^
basis and will approve such requests on a limited basis. Undue hardship may be defined as
bankruptcy or such other indicator of distress, including low per-capita income, unemployment
rate above national average, or unemployment or economic adjustment problems resulting from
Applicants for an RLF grant may use fees from borrowers, interest on loans, repayments of loan principal,
and other "program income" to meet the cost share requirement. However, if an RLF grant applicant plans
to use anticipated program income for cost share, the applicant also must demonstrate how alternative
sources for obtaining money, labor, material, or services can be used to meet its cost share requirement if
program income is less than anticipated during the performance period for the grant.
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severe short-term or long-term changes in economic conditions. Applicants should contact their
regional representative (see Appendix 1} to discuss applying for a hardship waiver prior to
submitting their Initial Proposal.
2. If you are requesting a hardship waiver of the cost share, provide an explanation for the basis
of your request as part of your proposal.
F. Letter from the State or Tribal Environmental Authority
Note: EPA will not seek further clarification of responses to this criterion from the applicant.
For an applicant other than a state or tribal environmental authority, provide a letter from the
appropriate state or tribal environmental authority acknowledging that the applicant plans to conduct
or oversee cleanup activities. If you are applying for multiple types of grant program activities, you
need only submit one letter acknowledging the relevant grant activities. Provide as an attachment.
G. Description of Sites
If you are identifying particular sites, address the following for each site:
1. Identify the proposed borrower or subgrantee. Include the organizational name and address.
2. List the site name and address and describe its operational history, environmental concerns,
and its current site use and activity.
3. If you determine the site is not eligible for funding without a property-specific determination,
then you will need to apply for a property-specific determination. To apply for a property-
specific determination, attach the information requested in Appendix 4, Section 4.1. Contact
your Regional representative for further guidance.
Note: EPA may use available information to verify that the site is eligible for funding.
4. Identify who owns the site.
Note: For subgrants, the subgrantee must own the site at the time the subgrant is awarded.
5. Identify how the site became contaminated.
6. If the site is contaminated with petroleum, describe whether LUST trust fund money has
been spent at this site or whether the site is subj ect to a response under the Oil Pollution Act
(see Appendix 3).
1. If the borrower or subgrantee owns the site, describe how they took ownership of the site
(e.g., tax foreclosure) and the date of acquisition.
8. If the applicant owns the site, describe whether you are responsible for any of the
environmental concerns at the site.
Note: An applicant may loan RLF grant funds to itself but may not issue subgrants ofRLF
grant funds to itself.
9. Identify ongoing or anticipated environmental enforcement actions related to the brownfield
site for which funding is sought.
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Ranking Criteria
A. Community Need (a maximum of 40 points may be received for this criterion)
1. Provide a detailed description of the target community that the proj ect(s) will benefit.
Include demographic information and indicators, such as the poverty rate, unemployment
rate, special community situations (e.g., population size), or other environmental justice
factors that support community need relating directly to this project (e.g., low-income and/or
minority communities; sensitive populations, such as children and pregnant women; or
communities disproportionately impacted by environmental factors).
2. Characterize the impact of brownfields on your community (or communities) by describing
the extent of brownfields (e.g., size, number, location) and the economic, health, and/or
environmental impacts of the brownfields.
B. Leveraging of Additional Resources (a maximum of 40 points may be received for this criterion)
1. Describe the financial needs for each phase of the proj ect (cleanup and redevelopment), if known.
2. Identify the funds (e.g., general revenues, TIP, staff time/in-kind) that your agency/
organization has committed or will commit to meet the needs described above.
3. Describe all other funding sources (federal, state, nonprofit, or private) that will be committed
to fill in any remaining funding gaps to ensure the success of this project.
4. Describe the extent to which this grant will meet the financial needs described above and
stimulate the availability of the other funding sources.
C. Ability to Manage Grants/Management Structure (a maximum of 20 points may be received for
this criterion)
1. Describe your history of managing federal funds generally. You must identify and provide
information regarding the status of any adverse audit findings from an OMB Circular A-133
audit, an audit conducted by a federal, state, tribal, or local government inspector general or
similar organization, or audits conducted by the U.S. General Accounting Office. You also
must note whether you are, or have previously been, required to comply with special "high
risk" terms and conditions under agency regulations implementing OMB Circular A-102.
2. Provide your plan for managing the loan fund to ensure that it is managed in accordance with
prudent lending practices. Include information on the qualifications of staff and institutions the
applicant intends to use for financial, analytical, legal, and record keeping activities to ensure
that the loan fund is managed in accordance with prudent lending practices. i s
3. If you plan to acquire any fund management expertise, describe the relationship
between the potential cooperative agreement recipient and the institution or individual and the
type of agreement (e.g., contract3 or subgrant4) that is planned.
3Note, cooperative agreement recipients must comply with 40 CFR 31.36 when entering into procurement
contracts with RLF grant funds and 40 CFR 31.37 when issuing subgrants with RLF grant funds. Nonprofit
organizations receiving RLF loans/subgrants and cleanup grants must comply with 40 CFR Part 30 when
entering into procurement contracts with RLF grant funds.
4Note, cooperative agreement recipients cannot award subgrants to for-profit organizations.
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D. Description of Target Market for RLF Loans and Subgrants (a maximum of 40 points may be
received for this criterion)
1. If you have not identified particular borrowers or subgrantees, describe your target market,
including the types of borrowers and subgrantees (for example, small businesses, developers,
local governments) and types of sites (for example, single property, multiple properties,
geographic area).
2. If you plan to award subgrants under the RLF, describe how you will take the following into
consideration5:
a. The extent to which the subgrant will facilitate the creation of, preservation of, or
addition to a park, greenway, undeveloped property, recreational property, or other
property used for nonprofit purposes;
b. The extent to which the subgrant will meet the needs of a community that has an inability
to draw on other sources of funding for environmental remediation and subsequent
redevelopment of the area in which a brownfield site is located because of the small
population or low income of the community;
c. The extent to which a subgrant will facilitate the use or reuse of existing infrastructure; and
d. The benefit of promoting the long-term availability of funds from a revolving loan fund
for brownfield remediation.
4.4. Cleanup Grants
Provide responses to the following threshold and ranking criteria if you are applying for cleanup
grant funding. Threshold criteria are pass/fail criteria. If your responses do not meet the threshold
criteria, you will not be invited to prepare Final Proposals.
Note: One eligible entity may apply for up to 5 sites within its Initial Proposal, at up to $200,000
per site. Each site will be evaluated separately.
Threshold Criteria
A. Applicant Eligibility
Note: For this threshold criterion, EPA may seek further clarification of responses, if needed,
during the selection review process.
Describe how you are an eligible entity for the grants for which you are applying. Refer to the
description of applicant eligibility in Section 2.1.
Note: In order to receive a cleanup grant, the applicant must own the property at the time of
award.
B. Community Notification
Note: EPA will not seek further clarification of responses to this criterion.
Describe howthe community was notified of the preparation and submission of this proposal.
5RLF cooperative agreement recipients must take these into consideration when awarding a subgrant.
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Note: Those applicants selected to submit a Final Proposal will need to describe how the
community was given the opportunity to be involved in the preparation of the Final Proposal.
C. Description of Sites
Note: For this threshold criterion, EPA may seek further clarification of responses, if needed,
during the selection review process.
For each site, provide the following:
1. List the site name and address and describe its operational history, environmental concerns,
and its current site use and activity.
2. If you determine the site is not eligible for funding without a property-specific determination,
then you will need to apply for a property-specific determination. To apply for a property-
specific determination, attach the information requested in Appendix 4, Section 4.1. Contact
your Regional representative for further guidance.
Note: EPA may use available information to verify that the site is eligible for funding.
3. Identify how the site became contaminated.
4. If the site is contaminated with petroleum, describe whether LUST trust fund money has been
spent at thi s site or whether the site i s subj ect to a response under the Oil Pollution Act (see
Appendix 3).
5. Describe how you took ownership of the site (e.g., tax foreclosure) and date of acquisition.
Note: applicants will be required to supply documentation reflecting ownership of the
property before the final award is made.
6. Describe whether you are responsible for any of the environmental concerns at the site.
7. Summarize the site assessment results.
8. Describe your approach for working with your state voluntary cleanup program or other
relevant response program, if appropriate.
9. Identify ongoing or anticipated environmental enforcement actions related to the brownfield
site for which funding is sought.
D. Cleanup Authority and Oversight Structure
Note: EPA will not seek further clarification of responses to this criterion.
1. Describe how you will oversee the cleanup at the site. Indicate whether you plan to enroll in a state
or tribal voluntary response program. If you do not plan to enroll in a state or tribal voluntary
response program, provide a description of the technical expertise you have to manage the cleanup
and/or whether you plan to acquire additional technical expertise. If you do plan to acquire
additional technical expertise, discuss how, consistent with 40 CFR 31.36 (for eligible government
entities) or 40 CFR Part 30 (for nonprofit organizations), you will ensure that this technical expertise
is in place prior to beginning cleanup activities.
2. Cleanup response activities often impact adj acent or neighboring properties. For example,
access to neighboring properties may be necessary to conduct the cleanup, perform
confirmation sampling, or monitor offsite migration of contamination. If this type of access
is needed, provide your plan to acquire access to the relevant property.
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E. Cost Share
Note: EPA will not seek further clarification of responses to this criterion.
Cleanup grant recipients are required by the new Brownfields Law to provide a 20 percent cost share.
This cost share is calculated as 20 percent of the total federal cleanup funds awarded. For
example, if you are applying for $1 million of federal cleanup funds, you must provide a cost share
of an additional $200,000. The cost share may be in the form of a contribution of money, labor,
material, or services from a non-federal source. If the cost share is in the form of contribution of
labor, material, or other services, it must be incurred for an eligible and allowable cost under
the grant and not for ineligible costs, such as administrative costs (see Appendix 2 for a discussion
of prohibited costs).
1. Describe your plans for providing the cost share as required for this cleanup program grant.
Cleanup grant applicants may petition EPA to waive the cost share requirement if it would
place an undue hardship on the eligible entity. EPA will consider hardship waiver requests on a
case-by-case basis and will approve such requests on a limited basis. Undue hardship may be
defined as bankruptcy or such other indicator of distress, including low per-capita income,
unemployment rate above national average, or unemployment or economic adjustment
problems resulting from severe short-term or long-term changes in economic conditions.
Applicants should contact their regional representative to discuss applying for a hardship
waiver prior to submitting their Initial Proposal.
2. If you are requesting a hardship waiver of the cost share, provide an explanation for the basis
of your request as part of your proposal.
F. Letter from the State or Tribal Environmental Authority
Note: EPA will not seek further clarification of responses to this criterion from the applicant.
For an applicant other than a state or tribal environmental authority, provide a letter from the
appropriate state or tribal environmental authority acknowledging that the applicant plans to
conduct cleanup activities. If you are applying for multiple grant programs, you need only submit
one letter acknowledging the relevant grant activities. Provide as an attachment.
Ranking Criteria
A. Community Need (a maximum of 40 points may be received for this criterion)
1. Provide a detailed description of the target community that the project(s) will benefit. Include
demographic information and indicators such as the poverty rate, unemployment rate, special
community situations (e.g., population size), or other environmental justice factors that
support community need relating directly to this project (e.g., low-income and/or minority
communities; sensitive populations, such as children and pregnant women; or communities
disproportionately impacted by environmental factors).
2. Characterize the impact of brownfields on your community (or communities) by describing
the extent of brownfields (e.g., size, number, location) and the economic, health, and/or
environmental impacts of the brownfields.
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B. Leveraging of Additional Resources (a maximum of 40 points may be received for this criterion)
1. Describe the financial needs for each phase of the proj ect (cleanup and redevelopment), if known.
2. Identify the funds (e.g., general revenues, TIP, staff time/in-kind) thatyour agency/
organization has committed or will commit to meet the needs described above.
3. Describe all other funding sources (federal, state, nonprofit, or private) that will be committed
to fill in any remaining funding gaps to ensure the success of this proj ect.
4. Describe the extent to which this grant will meet the financial needs described above and
stimulate the availability of the other funding sources.
C. Ability to Manage Grants (a maximum of 20 points may be received for this criterion)
1. Describe your ability to manage this grant or describe the system(s) you have in place to hire
the requisite expertise.
2. Describe your history of managing federal funds generally. You must identify and provide
information regarding the status of any adverse audit findings from an OMB Circular A-13 3
audit, an audit conducted by a federal, state, tribal, or local government inspector general or
similar organization, or audits conducted by the U.S. General Accounting Office. You also
must note whether you are, or have previously been, required to comply with special "high
risk" terms and conditions under agency regulations implementing OMB Circular A-102.
s
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STOP
This is the end of the Initial Proposal
Applicants will be notified if when to
complete the Final Proposal
When EPA invites applicants to submit Final
Proposals, EPA may provide additional
information about Final Proposal guidelines.
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Final Proposal Guidelines
Final Proposals will be requested at the invitation of EPA, after review of
Initial Proposals.
An invitation to submit a Final Proposal for one grant program is not
indicative of an invitation to submit a proposal for all grant programs.
Applicants must submit separate proposals for each grant program for which they receive an invitation.
Separate cleanup grant proposals must be submitted for each site for which a Final Proposal is invited by
EPA. Applicants should not resubmit their Initial Proposals. Generally, Final Proposals should be between 7
and 10 pages in length, not including attachments. Final Proposal attachments should be kept to a minimum.
You should not resubmit attachments provided in the Initial Proposal. EPA will not review or evaluate
attachments such as strategies or plans developed for other programs, newspaper articles, and videotapes.
Information in these types of attachments should be distilled and incorporated into the responses to criteria.
The final proposal for each type of grant funding should consist of the following:
Cover Letter (optional)
Proposal Title and Name of Applicant
Budget
Responses to Ranking Criteria
Attachments (if applicable)
5.1. Assessment Grants
Assessment Grant Proposal Budget (a maximum of 15 points may be received for this criterion)
Provide the proposed budget(s) for your proposal. Note that you must provide separate budgets for
funds intended for use on petroleum-contaminated sites and funds intended for use on sites
contaminated by hazardous substances, pollutants, or contaminants (including hazardous sub-
stances co-mingled with petroleum). The budgets should show the distribution of funds, including
cost estimates for each of the proposed activities.
A local government may use up to 10 percent of its grant funds for monitoring the health of popula-
tions exposed to one or more hazardous substances, pollutants, or contaminants from a brownfield
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site and monitoring and enforcement of any institutional control used to prevent human exposure to any
hazardous substance, pollutant, or contaminant from a brownfield site. To effectively oversee assessments
and cleanups, local governments may use grant funds (within the overall 10 percent limit) for other related
program development and implementation activities.
Typical tasks might include "Phase I Assessments," "Community Outreach," and "Cleanup Planning."
Provide footnotes to the budget table describing each task.
Sample Format for Budget Description
Budget Categories
(programmatic costs only)
Personnel
Travel
Equipment1
Supplies
Contractual2
Other (specify)
Total
Project Tasks
Taskl
Task 2
Task3
Task 4
Total
1 EPA defines equipment as items that cost $5,000 or more with a useful life of more than one year.
Items costing less than $5,000 are considered supplies.
2 Applicants must comply with the procurement procedures contained in 40 CFR 31.36.
Assessment Grant Criteria
Provide responses to the following assessment ranking criteria:
Note: Many of the criteria are common to all three types of grants. Applicants may copy responses
to common criteria and provide these responses in the appropriate place for each type of grant
requested. Final proposals will be submitted separately for each type of grant and will be reviewed
independently, so each proposal must stand on its own merits.
A. Sustainable Reuse of Brownfields/Development Potential (a maximum of 15 points may be received
for this criterion)
1. Describe your vision for promoting sustainable reuse of brownfields and preventing the
creation of future brownfields. Describe how you will implement this vision and how it will
protect and restore the quality of the natural environment, improve the quality of life for the
community, broaden prospects for future generations, and help reduce resource consumption.
2. Describe the redevelopment plans for the sites or targeted areas, and how those plans fit into
your community's master plan, economic development plan, or economic development activities.
3. Describe how this project will stimulate economic development, including the creation of jobs,
capital investment, and increases to the local tax base.
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B. Reduction of Threats to Human Health and the Environment (a maximum of 20 points may be
received for this criterion)
1. Describe how the funds will be used to address/facilitate the identification and/or reduction of
threats to human health and the environment within the target area (including cancer, asthma, or birth
defects) that may be associated with exposure to hazardous substances, pollutants, contaminants, or
petroleum.
2. Describe how, by conducting the activities mentioned in B. 1. above, your actions could affect
the environment. If your actions could affect the environment, describe the alternatives you would
use to mitigate the environmental impacts of your actions.
3. Describe sensitive populations (e.g., children, pregnant women, minority or low-income
communities, etc.) in the community surrounding the target area or site(s) and how you
derived this information.
4. Describe how the funds provided by this grant will be used to address/facilitate the
identification and/or reduction of threats to the health and welfare of these sensitive populations.
5. Describe whether you are working with your state or tribal environmental authority and/or
local public health department to ensure that public health issues are considered during the
redevelopment process.
C. Reuse of Existing Infrastructure (a maximum of 15 points may be received for this criterion)
1. Describe whether the project will use existing infrastructure (e.g., public transportation,
utilities, buildings) or require its expansion.
2. Describe whether the project will encourage the development or redevelopment of properties
with existing infrastructure and describe the infrastructure that may be reused.
D. Greenspace/Open Space (a maximum of 15 points may be received for this criterion)
1. Describe the extent to which a grant would facilitate the creation, preservation, or addition to
a park, greenway, undeveloped property, recreational property, or other property used for
nonprofit purposes.
2. Explain how this project integrates other efforts to improve/redevelop brownfields, including
ongoing proj ect(s) proposed under this grant.
E. Community Involvement (a maximum of 20 points may be received for this criterion)
1. Describe how you involved the local community in the development of this proposal. Provide
a list of the community-based organizations involved and a contact person, phone number, and ' *^
a 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).
Note: EPA may conduct reference checks to ensure that organizations identified are
supportive and involved with the brownfields project. EPA encourages early community
notification and continuing community involvement.
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2. Describe your efforts and/or plans to develop partnerships at the local, state, and/or tribal
level with other stakeholders to ensure appropriate and sustainable cleanup and
redevelopment of brownfields.
3. Discuss your plan for involving the local community (e.g., neighborhood organizations,
citizens' groups, borrowers, redevelopers, and other stakeholders) in cleanup decisions or
reuse planning.
4. Describe the means by which you will communicate the progress of your proj ect to citizens,
including plans for communicating in languages indigenous to the community.
5.2. Revolving Loan Fund Grants
RLF Grant Proposal Budget (a maximum of 15 points may be received for this criterion)
Provide the proposed budget(s) for your proposal. It must reflect your cost share. Note that you must
provide separate budgets for funds intended for use on petroleum-contaminated sites and funds
intended for use on sites contaminated by hazardous substances, pollutants, or contaminants
(including hazardous substances co-mingled with petroleum). The budget(s) should show the distri-
bution of funds, including cost estimates for each of the proposed activities.
A local government may use up to 10 percent of its grant funds for monitoring the health of populations
exposed to one or more hazardous substances, pollutants, or contaminants from a brownfield site and
monitoring and enforcement of any institutional control used to prevent human exposure to any hazardous
substance, pollutant, or contaminant from a brownfield site. To effectively oversee assessments and clean-
ups, local governments may use grant funds (within the overall 10 percent limit) for other related program
development and implementation activities.
Typical tasks would include "Community Involvement," "Establishing the Revolving Fund," "Marketing the
Revolving Fund," "Operating the Revolving Fund," "Cleanup Planning," and "Overseeing Site Cleanup."
Provide footnotes to the budget table describing each task.
Sample Format for Budget Description
Budget Categories
(programmatic costs only)
Personnel
Travel
Equipment1
Supplies
Contractual2
Other (specify)
Subtotal:
Project Tasks for Loans (at least 60 percent of amount requested)
Taskl
Task 2
Task3
Task 4
Total
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Budget Categories
(programmatic costs only)
Personnel
Travel
Equipment :
Supplies
Contractual 2
Other
Subtotal:
Total
Cost share
Project Tasks for Subgrants (no more than 40 percent of
amount requested)
Taskl
Task 2
Task3
Task 4
Total
(20 percent of total RLF federal funding award)
'EPA defines equipment as items that cost $5,000 or more with a useful life of more than one year. Items
costing less than $5,000 are considered supplies.
Applicants must comply with the procurement procedures contained in 40 CFR 31.36, or for nonprofits,
with 40 CFR 30.40.
Revolving Loan Fund Grant Criteria
Provide responses to the following Revolving Loan Fund ranking criteria:
Note: Many of the criteria are common to all three types of grants. Applicants may copy responses to
common criteria and provide these responses in the appropriate place for each type of grant re-
quested. Final proposals will be submitted separately for each type of grant and will be reviewed
independently, so each proposal must stand on its own merits.
A. Business Plan (a maximum of 20 points may be received for this criterion)
1. Describe your anticipated loan structure (amount, interest, time frame for repayment).
2. Describe your advertising plan and any other redevelopment incentives (for example, TIFs, tax
incentives, tax credits, state funding programs) that may be offered as part of a package to assist
with promoting the RLF program.
3. Describe how your proposal will promote the long-term availability of funds from a revolving loan
fund. If you are planning to provide cleanup subgrants using your RLF grant, describe how this will
affect the long-term availability of your revolving loan fund.
4. Describe how you will make full and effective use of the RLF within the grant period. Include in
your discussion an implementation schedule and time line for your use of the RLF funds.
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B. Sustainable Reuse of Brownfields/Development Potential (a maximum of 15 points may be received for
this criterion)
1. Describe your vision for promoting sustainable reuse of brownfields and preventing the creation of
future brownfields. Describe how you will implement this vision and how it will protect and restore
the quality of the natural environment, improve the quality of life for the community, broaden
prospects for future generations, and help reduce resource consumption.
2. Describe the redevelopment plans for the sites or targeted areas, and how those plans fit into your
community's master plan, economic development plan, or economic development activities.
3. Describe how this project will stimulate economic development, including the creation of jobs,
capital investment, and increases to the local tax base.
C. Reduction of Threats to Human Health and the Environment (a maximum of 20 points may be received
for this criterion)
1. Describe how the funds will be used to address/facilitate the identification and/or reduction of
threats to human health and the environment within the target area (including cancer, asthma, or birth
defects) that may be associated with exposure to hazardous substances, pollutants, contaminants, or
petroleum.
2. Describe how, by conducting the activities mentioned in C. 1. above, your actions could affect the
environment. If your actions could affect the environment, describe the alternatives you would use to
mitigate the environmental impacts of your actions.
3. Describe sensitive populations (e.g., children, pregnant women, minority or low-income
communities, etc.) in the community surrounding the target area or site(s) and how you derived
this information.
4. Describe how the funds provided by this grant will be used to address/facilitate the identification
and/or reduction of threats to the health and welfare of these sensitive populations.
5. Describe whether you are working with your state or tribal environmental authority and/or local
public health department to ensure that public health issues are considered during the redevelopment
process.
D. Reuse of Existing Infrastructure (a maximum of 15 points may be received for this criterion)
1. Describe whether the proj ect will use existing infrastructure (e.g., public transportation, utilities,
buildings) or require its expansion.
2. Describe whether the proj ect will encourage the development or redevelopment of properties with
existing infrastructure and describe the infrastructure that may be reused.
E. Greenspace/Open Space (a maximum of 15 points may be received for this criterion)
1. Describe the extent to which a grant would facilitate the creation, preservation, or addition to a
park, greenway, undeveloped property, recreational property, or other property used for nonprofit
purposes.
2. Explain how this project integrates other efforts to improve/redevelop brownfields, including
ongoing proj ect(s) proposed under this grant.
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F. Community Involvement (a maximum of 20 points may be received for this criterion)
1. Describe how you involved the local community in the development of this proposal. Provide a list
of the community-based organizations involved and a contact person, phone number, and a 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, education institutions, and local labor organizations).
Note: EPA may conduct reference checks to ensure that organizations identified are
supportive and involved with the brownfields project. EPA encourages early community
notification and continuing community involvement.
2. Describe your efforts and/or plans to develop partnerships at the local, state, and/or tribal level with
other stakeholders to ensure appropriate and sustainable cleanup and redevelopment of
brownfields.
3. Discuss your plan for involving the local community (e.g., neighborhood organizations,
citizens' groups, borrowers, redevelopers, and other stakeholders) in cleanup decisions or reuse
planning.
4. Describe the means by which you will communicate the progress of your proj ect to citizens,
including plans for communicating in languages indigenous to the community.
5.3. Cleanup Grants
Cleanup Grant Budget (a maximum of 15 points may be received for this criterion)
Provide the proposed budget(s) for your proposal. It must reflect your cost share. Note that you must
provide separate budgets for funds intended for use on petroleum-contaminated sites and funds
intended for use on sites contaminated by hazardous substances, pollutants, or contaminants
(including hazardous substances co-mingled with petroleum). The budget(s) should show the distri-
bution of funds, including cost estimates for each of the proposed activities
A local government may use up to 10 percent of its grant funds for monitoring the health of populations
exposed to one or more hazardous substances, pollutants, or contaminants from a brownfield site and
monitoring and enforcement of any institutional control used to prevent human exposure to any hazardous
substance, pollutant, or contaminant from a brownfield site. To effectively oversee assessments and clean-
ups, local governments may use grant funds (within the overall 10 percent limit) for other related program
development and implementation activities.
Typical tasks would include "Community Involvement," "Site Cleanup," and "Cleanup Planning." Provide
footnotes to the budget table describing each task.
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Sample Format for Budget Description
Budget Categories
(programmatic costs only)
Personnel
Travel
Equipment :
Supplies
Contractual2
Other (specify)
Total
Cost Share
Project Tasks
Taskl
Task 2
Task3
Task 4
Total
(20 percent of total Cleanup Award)
1 EPA defines equipment as items that cost $5,000 or more with a useful life of more than one year. Items
costing less than $5,000 are considered supplies.
2 Applicants must comply with the procurement procedures contained in 40 CFR 31.36, or for nonprofits,
with 40 CFR 30.40.
Cleanup Grant Criteria
Provide responses to the following cleanup grant ranking criteria:
Note: Many of the criteria are common to all three types of grants. Applicants may copy responses to
common criteria and provide these responses in the appropriate place for each type of grant re-
quested. Final proposals will be submitted separately for each type of grant and will be reviewed
independently, so each proposal must stand on its own merits.
A. Sustainable Reuse of Brownfields/Development Potential (a maximum of 15 points may be received for
this criterion)
1. Describe your vision for promoting sustainable reuse of brownfields and preventing the creation of
future brownfields. Describe how you will implement this vision and how it will protect and restore
the quality of the natural environment, improve the quality of life for the community, broaden
prospects for future generations, and help reduce resource consumption.
2. Describe the redevelopment plans for the sites or targeted areas, and how those plans fit into your
community's master plan, economic development plan, or economic development activities.
3. Describe how this project will stimulate economic development, including the creation of jobs,
capital investment, and increases to the local tax base.
B. Reduction of Threats to Human Health and the Environment (a maximum of 20 points may be received
for this criterion)
1. Describe how the funds will be used to address/facilitate the identification and/or reduction of
threats to human health and the environment within the target area (including cancer, asthma, or
36
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birth defects) that may be associated with exposure to hazardous substances, pollutants,
contaminants, or petroleum.
2. Describe how, by conducting the activities mentioned in B. 1. above, your actions could affect the
environment. If your actions could affect the environment, describe the alternatives you would use to
mitigate the environmental impacts of your actions.
3. Describe sensitive populations (e.g., children, pregnant women, minority or low-income
communities, etc.) in the community surrounding the target area or site(s) and how you derived this
information.
4. Describe how the funds provided by this grant will be used to address/facilitate the identification
and/or reduction of threats to the health and welfare of these sensitive populations.
5. Describe whether you are working with your state or tribal environmental authority and/or local
public health department to ensure that public health issues are considered during the redevelopment
process.
C. Reuse of Existing Infrastructure (a maximum of 15 points may be received for this criterion)
1. Describe whether the proj ect will use existing infrastructure (e.g., public transportation, utilities,
buildings) or require its expansion.
2. Describe whether the proj ect will encourage the development or redevelopment of properties with
existing infrastructure and describe the infrastructure that may be reused.
D. Greenspace/Open Space (a maximum of 15 points may be received for this criterion)
1. Describe the extent to which a grant would facilitate the creation, preservation, or addition to a
park, greenway, undeveloped property, recreational property, or other property used for nonprofit
purposes.
2. Explain how this project integrates other efforts to improve/redevelop brownfields, including
ongoing proj ect(s) proposed under this grant.
E. Community Involvement (a maximum of 20 points may be received for this criterion)
1. Describe how you involved the local community in the development of this proposal. Provide a list
of the community-based organizations involved and a contact person, phone number, and a 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, education institutions, and local labor organizations).
Note: EPA may conduct reference checks to ensure that organizations identified are
supportive and involved with the brownfields project. EPA encourages early community
notification and continuing community involvement.
2. Describe your efforts and/or plans to develop partnerships at the local, state, and/or tribal level with
other stakeholders to ensure appropriate and sustainable cleanup and redevelopment of
brownfields.
3. Discuss your plan for involving the local community (e.g., neighborhood organizations, citizens'
groups, borrowers, redevelopers, and other stakeholders) in cleanup decisions or reuse planning.
4. Describe the means by which you will communicate the progress of your proj ect to citizens,
including plans for communicating in languages indigenous to the community.
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EPA Regional and
Headquarters Contacts
Regions and States
Address and Phone Number
EPA Region 1
Lynne Jennings
CT,ME,MA,
NH,RI,VT
One Congress Street, Suite 1100 (Mailcode HIO)
Boston, MA 02114-2023
Phone (617) 918-1210 Fax (617) 918-1291
jennings.lynne@epa.gov
EPA Region 2
NJ,NY,PR,VI
Larry D'Andrea
290 Broadway, ISthFloor, New York, NY 10007
Phone (212) 6374314 Fax (212) 6374360
dandrea.larry@epa.gov
EPA Region 3
Tom Stolle
DE,DC,MD,
PA,VA,WV
1650 Arch Street (3HS34), Philadelphia, PA 19103 -2029
Phone(215)814-3129Fax(215)814-5518
stolle .tom@epa. gov
EPA Region 4
Mickey Hartnett
AL,FL,GA,KY,
MS,NC,SC,TN
Atlanta Federal Center, 61 Forsyth Street (SNFC, EPA Mail Rm.)
Atlanta, GA 30303
Phone (404) 562-8661 Fax (404) 562-8628
hartnett.mickey@epa.gov
EPA Region 5
Deborah Orr
MN,OH,WI
77 West Jackson Boulevard (SE-4J), Chicago, IL 60604-3507
Phone (312) 886-7576 Fax (312) 886- 6741
orr.deborah@epa.gov
EPA Region 6
StanHitt
AR,LA,NM,
OK,TX
1445 Ross Avenue, Suite 1200 (6SF-PB), Dallas, TX 75202-273 3
Phone (214) 665-6736 Fax (214) 665-6660
hitt. stan@epa. gov
EPA Region 7
Debi Morey
IA,KS,MO,NE
901N. 5th Street (SUPR/STAR), Kansas City, KS 66101
Phone (913) 551-7593 Fax (913) 551-8688
morey.debi@epa.gov
EPA Region 8
KathieAtencio
CO,MT,ND,
SD,UT,WY
999 18th Street, Suite 300 (EPR-SA), Denver, CO 80202- 2466
Phone (303) 312-6803 Fax (303) 312-6067
atencio.kathie@epa.gov
EPA Region 9
Jim Hanson
AZ,CA,ffl,
NV,AS,GU
75 Hawthorne Street, SFD 1-1, SanFrancisco, CA 94105
Phone (415) 972-3188 Fax (415) 947-3528
hanson.jim@epa.gov
EPA Region 10
Tim Brincefield
AK,D),OR,WA
1200 SixthAvenue (ECL-112), Seattle, WA 98101
Phone (206) 553-2100 Fax (206) 553-0124
brincefield.timothy@epa.gov
EPAHeadquarters
Myra Blakely
U.S. Postal Service mailing address:
1200 Pennsylvania Avenue, NW (MC 5105T)
Washington, DC 20460
Overnight Delivery mailing address:
EPA West Building, 1301 Constitution Avenue, Room 2402
Washington, DC 20004
Phone (202) 566-2777 Fax (202) 566-2757
blakely.myra@epa.gov
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Prohibitions on Use of Funds
Grant funds may not be used for the payment of:
A penalty or fine.
A federal cost-share requirement (for example, a cost share required by other
federal funds).
An administrative cost (see below).
A response cost at a brownfield site for which the recipient of the grant or loan is potentially liable under
CERCLA§107.
A cost of compliance with any federal law, excluding the cost of compliance with laws applicable to the
cleanup.
Unallowable costs (e.g. lobbying and fund raising) under OMB Circulars A-21 (universities), A-87
(state, tribal, and local governments), A-122 (nonprofit organizations), and Subpart 31.2 of the Federal
Acquisition Regulation (commercial organizations), as applicable.
The following discussion of the administrative cost prohibition is provided to you for illustrative purposes
only. If you receive a grant as a result of this competition, your agreement will include a more detailed term
and condition specifying requirements for complying with the administrative cost prohibition.
Administrative Cost Prohibition
The Brownfields Law prohibits the use of any "part of a grant or loan" for the payment of an administrative
cost. In implementing this prohibition, EPAhas made a distinction between prohibited administrative costs
and eligible programmatic costs.
A. Administrative Costs. Direct administrative costs are prohibited costs, including those in the form of
salaries, benefits, contractual costs, supplies, and data processing charges, incurred to comply with most
provisions of the Uniform Administrative Requirements for Grants contained in 40 CFRPart 30 or
40 CFRPart 31. Direct costs for grant administration are ineligible even if the grantee or subgrantee is
required to carry out the activity under the grant agreement. Prohibited administrative costs also are all
indirect costs under OMB Circulars A-21, A-87, and A-122, and Subpart 31.2 of the Federal Acquisi-
tion Regulation.
B. Statutory Exclusions. The Brownfields Law provides that the administrative cost prohibition does not
apply to:
1. Investigation and identification of the extent of contamination;
2. Design and performance of a response action; or
3. Monitoring of a natural resource.
Using these statutory exclusions as a guide, EPAhas developed the following guidelines on eligible "pro-
grammatic" costs.
C. Eligible Programmatic Costs. Eligible programmatic costs are expenses incurred for activities that are
integral to achieving the purpose of the grant, even if EPA considered the costs to be "administrative"
under the prior brownfields program. For example, programmatic costs are eligible under a revolving loan
fund grant if incurred in making loans (such as the costs of loan processing, legal fees, and professional
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services) or overseeing the borrower's activities to ensure compliance with relevant and appropriate
requirements of'the National Contingency Plan (see 40 CFR §300.700 etseq.). These costs are
programmatic, not administrative. Direct costs, as defined in the applicable OMB Cost Principle Circular,
are eligible for the following programmatic activities and, therefore, are not subj ect to the administrative
cost prohibition:
1. In the case of grants for site characterization and assessment, expenses for inventorying,
characterizing, assessing, and conducting planning related to brownfield sites.
2. In the case of grants for capitalization of revolving loan funds:
(a) expenses for making and managing loans,
(b) expenses, including financial management expenses, for operating the revolving fund, and
(c) expenses for making and managing subgrants under CERCLA § 104(k)(3)(B)(ii).
3. In the case of grants for direct use by eligible entities and nonprofit organizations in remediation of
brownfield sites under CERCLA § 104(k)(3)(A)(ii), expenses for site remediation activities.
4. In the case of grants for implementation of brownfields programs under CERCLA § 104(k)(6),
expenses for providing training, research, and technical assistance.
5. Costs incurred for complying with procurement provisions of 40 CFR Part 3 0 and 31 are
considered eligible programmatic costs only if the procurement contract is for services or products
that are direct costs for performing activities specified above in Section B, "Statutory Exclusions,"
or Section C, "Programmatic Costs."
6. Costs for performance and financial reporting required under 40 CFR 30.51 and 30.52, and 40
CFR 31.40 and 31.41 are eligible programmatic costs. Performance and financial reporting are
essential programmatic tools for both the recipient and EPA to ensure that grants are carried out in
accordance with statutory and regulatory requirements.
Eligible programmatic costs can include expenses for travel, training, equipment, supplies, reference materi-
als, and contractual support if those costs are reasonable and allocable to tasks specified in a grantee's
approved scope of work for carrying out the activities described in Section B, "Statutory Exclusions," or
Section C, "Programmatic Costs."
Eligible programmatic costs may be used to help meet the RLF capitalization grant and direct cleanup grant
recipients' 20 percent cost share. Prohibited administrative costs may not be used to meet recipients' cost
share.
For further information on these prohibitions, contact your Regional Brownfields Contact listed in Appendix 1.
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Guidance on Sites Eligible for
Brownfields Funding Under
CERCLA§104(k)
Contents Page
3.1 Introduction 44
3.2 General Definition of Brownfield Site 44
3.3 Additional Areas Specifically Eligible for Funding 44
3.3.1 Contamination by Controlled Substance 44
3.3.2 Contamination by Petroleum or Petroleum Product 45
3.3.3 Mine-scarred Lands 46
3.4 Particular Classes of Sites Not Eligible for Funding or Eligible Only Under
Property-specific Determinations 47
3.4.1 Facilities Subject to CERCLARemoval Actions 48
3.4.2 Facilities Subject to Unilateral Administrative Orders, Court Orders, Administrative
Orders on Consent, or Judicial Consent Decrees Issued to or Entered into by
Parties Under CERCLA 49
3.4.3 Facilities Listed (or Proposed for Listing) on the National Priorities List 49
3.4.4 Facilities to which a permit has been issued by the United States or an authorized
state under the Solid Waste Disposal Act (RCRA), the Federal Water Pollution
Control Act, the Toxic Substances Control Act, or the Safe Drinking Water Act 49
3.4.5 RCRASites 50
3.4.6 Land disposal units that have filed a closure notification under Subtitle C of RCRA
and to which closure requirements have been specified in a closure plan or permit 51
3.4.7 Facilities that are subject to the jurisdiction, custody, or control ofthe United
States government 51
3.4.8 Sites Contaminated with PCBs 51
3.4.9 Exclusion of LUST Trust Fund Sites 52
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3.1 Introduction
The information provided in this appendix should be used by applicants as a guide in determining the eligibil-
ity of any property for brownfi elds funding. The following guidance provides the EPA's preliminary views on
the types of sites that may be appropriate for funding. EPAis providing this information as guidance to
applicants to assist you in developing your proposals for funding under CERCLA § 104(k). This guidance
provides preliminary interpretations and policy guidance that EPA intends to use as a guide when we
exercise our authority to award funds under § 104(k). However, we believe that further development may
impact our view of these provisions, and we will reevaluate our preliminary views in light of the factual
information we receive with each proposal, as well as over the course of implementing the § 104(k) grant
program.
This guidance does not impose legally-binding requirements. Applicants are free to raise questions about the
appropriateness of these preliminary views, and EPA will consider whether these preliminary views are
appropriate at that time. Any decision by EPA to apply this preliminary guidance will be made based on the
applicable statutory provisions.
3.2 General Definition of Brownfield Site
The new Brownfields Law defines a "Brownfield Site" to mean:
"...real property, the expansion, redevelopment, or reuse of which may be complicated by
the presence or potential presence of a hazardous substance, pollutant, or contaminant. "
Brownfield sites include all "real property," including residential, as well as commercial and
industrial properties.
3.3 Additional Areas Specifically Eligible for Funding
The Brownfields Law identifies three types of properties that are specifically eligible for funding:
1. Sites contaminated by controlled substances.
2. Sites contaminated by petroleum or a petroleum product.
3. Mine-scarred lands.
See below for guidance on determining the scope of each of these three types of sites. Applicants should identify
properties included within their funding proposals that fall within the scope of any of the following three areas.
3.3.1 Contamination by Controlled Substance
Sites eligible for funding include real property, including residential property, that is contaminated by a
controlled substance. A"controlled substance" is defined under the Controlled Substances Act as "a drug or
other substance, or immediate precursor, included in schedule I, II, III, IV, or V of part B of this title (21
USC Section 812). The term does not include distilled spirits, wine, malt beverages, or tobacco..."
For example, sites eligible for brownfi elds funding may include private residences, formerly used for the
44
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manufacture and/or distribution of methamphetamines or other illegal drugs where there is a presence or
potential presence of controlled substances or pollutants, contaminants, or hazardous substances (e.g., red
phosphorous, kerosene, acids).
3.3.2 Contamination by Petroleum or Petroleum Product
Petroleum-contaminated sites (except those sites receiving LUST trust fund monies) are eligible for
brownfields funding. Petroleum-contaminated sites (or portions of properties contaminated with petroleum)
that are eligible for brownfields funding include certain sites that are not underground storage tank (UST)
sites, as described below. Petroleum is defined under CERCLAas "crude oil or any fraction thereof which
is not otherwise specifically listed or designated as a hazardous substance under that section."
Applicants should note that the Brownfields Law restricts eligibility for brownfields funding to petroleum
contaminated sites that EPA or the state determines:
1. Are of "relatively low risk" compared with other "petroleum-only" sites in the state; and
2. For which there is no viable responsible party and will be assessed, investigated, or cleaned up by a
person that is not potentially liable for cleaning up the site.
In addition, petroleum-contaminated sites must not be subj ect to a corrective action order under a Resource
Conservation and Recovery Act (RCRA) §9003(h) order.
In the case of proposals that include requests for an assessment or direct cleanup grant, or a grant for a
revolving loan fund, to address petroleum-contaminated sites, applicants are encouraged to indicate whether
the site meets each of the criteria listed above. An explanation of each of these three criteria is provided
below.
Relatively Low Risk:
Applicants whose brownfield site(s) include properties or portions of properties contaminated with petro-
leum or petroleum products are encouraged to provide information in their proposal indicating that the
property represents a relatively low risk (compared to other petroleum-only sites). Our preliminary view is
that the following types of petroleum-contaminated sites are high risk sites, or are not of "relatively low
risk." Our preliminary view is that petroleum-contaminated sites that do not fall within scope of high risk
sites, will be considered to be "relatively low-risk" sites.
"High risk" sites currently being cleaned up using LUST trust fund monies.
Any petroleum-contaminated site that currently is subj ect to a response under the Oil Pollution
Act(OPA).
Note: Any site that does not fall under any of the provisions listed above would be considered to be of
relatively low risk for purposes of determining eligibility for a brownfields grant.
"No Viable Responsible Party"and "Cleaned Up by a Person Not Potentially Liable":
Brownfields funding may be awarded to eligible entities for the assessment and cleanup of petroleum-
contaminated sites in those instances where the eligible entity has not caused or contributed to the petroleum
contamination. When responding to the threshold criteria in their funding proposals, applicants are asked to
indicate whether or not the applicant owns the site or sites for which funding is requested and describe
whether the applicant is responsible for any of the environmental concerns at the site(s).
Please note that eligibility for a brownfields grant DOES NOT waive liability under RCRA Subtitle I, OPA,
or any applicable state underground storage tank regulations.
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"Not Subject to any Order Issued under RCRA §9003(h)":
Any site that is under a RCRA Subtitle I corrective action order (RCRA §9003(h)) is not eligible for a
grant.
Applicants should note that any determination that a site is of "relatively low risk" has meaning solely for the
purposes of determining eligibility for a brownfields grant and has no effect on potential liability under RCRA
§9003(h) (for the costs of corrective action and enforcement) or liability under other federal statutes such as
under §311 (c) of the Clean Water Act (CWA) and § 1002 of OPA (for removal costs and damages that
result from the discharge of oil into navigable waters).
3.3.3 Mine-scarred Lands
Under the new Brownfields Law, mine-scarred lands are eligible for brownfields funding. Applicants for
brownfields funding that include properties within their proposal that they believe fall within the following
definition of mine-scarred lands are encouraged to provide in the site description section of their proposals
information identifying and describing such properties.
EPAs preliminary view is that "mine scarred lands" are those lands, associated waters, and surrounding
watersheds where extraction, beneficiation, or processing of ores and minerals (including coal) has oc-
curred. For the purposes of this section, the definition of extraction, beneficiation, and processing is the
definition found at 40 CFR 261.4(b)(7).
Mine-scarred lands include abandoned coal mines and lands scarred by strip mining.
Examples of coal mine scarred lands may include, but are not limited to:
abandoned surface coal mine areas,
abandoned deep coal mines,
abandoned coal processing areas,
abandoned coal refuse areas,
acid or alkaline mine drainage, and
associated waters affected by abandoned coal mine (or acid mine) drainage or runoff, including stream
beds and adjacent watersheds.
Examples of non-coal hard rock mine scarred lands may include, but are not limited to:
abandoned surface and deep mines,
abandoned waste rock or spent ore piles,
abandoned roads constructed wholly or partially of waste rock or spent ore,
abandoned tailings, disposal ponds, or piles,
abandoned ore concentration mills,
abandoned smelters,
abandoned cyanide heap leach piles,
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abandoned dams constructed wholly or partially or waste rock, tailings, or spent ore,
abandoned dumps or dump areas used for the disposal of waste rock or spent ore,
acid or alkaline rock drainage, and
waters affected by abandoned metal mine drainage or runoff, including stream beds and adj acent water-
sheds.
3.4 Particular Classes of Sites Not Eligible for Funding or
Eligible Only Under Property-specific Determinations
EPA excludes the following types of facilities from funding eligibility unless the applicant fulfills the require-
ments for demonstrating that the site meets the criteria for a property-specific determination for funding (see
Appendix 4 Guidance/or Requests for Property-Specific Determinations for Funding). Applicants are
encouraged to indicate within the site description section of their proposal if any site or property included
within the scope of their funding proposal falls within the scope of any of the categories of sites listed below.
When requesting a property-specific determination for funding, applicants should follow the instructions
provided in Appendix 4 for indicating that brownfields funding at such sites will ensure protection of human
health and the environment and promote economic development or the creation or preservation of
greenspace or recreational areas. (Note: The following discusses limitations on funding particular classes of
sites. Many of these limitations reflect policy decisions. Where the limitations are based on statutory provi-
sions, we have noted that.)
Also, please note that in providing funding for brownfield sites, and given that a limited amount of funding is
available for brownfields grants, EPAs goal is to not provide brownfields funding to sites where EPAhas a
planned or ongoing enforcement action. While EPA does not intend that the existence of a planned or
ongoing enforcement action will necessarily disqualify a site from receipt of brownfields funding, EPA does
believe it is necessary that EPAbe aware of the existence of any such action in making funding decisions. As
a result, EPA will conduct an investigation to evaluate whether a site is, or will be, subj ect to an enforcement
action under CERCLAor other federal environmental statutes. EPA is requesting that applicants identify
ongoing or anticipated environmental enforcement actions related to the brownfield site for which funding is
sought.
The Brownfields Law also excludes three types of properties from funding eligibility and does not allow
EPA the opportunity to provide funding for these properties after making a property-specific determination.
These three types of properties include: 1) sites listed on the NPL, 2) facilities subj ect to unilateral adminis-
trative orders, court orders, administrative orders on consent or judicial consent decree issued to or entered
into by parties under CERCLA, and 3) facilities that are subj ect to the jurisdiction, custody or control of the
United States government.
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Sites Not Eligible for Funding Without a Property-Specific Determination
1. Facilities subj ect to planned or ongoing CERCLA removal actions.
2. Facilities that are subj ect to unilateral administrative orders, court orders, administrative orders on
consent or judicial consent decree or to which a permit has been issued by the United States or an
authorized state under the Solid Waste Disposal Act (as amended by the Resource Conservation and
Recovery Act (RCRA)), the Federal Water Pollution Control Act (FWPCA), the Toxic Substances
Control Act (TSCA), or the Safe Drinking Water Act (SDWA).
3. Facilities subj ect to corrective action orders under RCRA (sections 3 004(u) or 3 008(h)) and to which a
corrective action permit or order has been issued or modified to require the implementation of corrective
measures.
4. Facilities that are land disposal units that have filed a closure notification under subtitle C of RCRA and to
which closure requirements have been specified in a closure plan or permit.
5. Facilities where there has been a release of poly chlorinated biphenyls (PCBs) and are subject to
remediation under TSCA.
6. Portions of facilities for which funding for remediation has been obtained from the Leaking Underground
Storage Tank (LUST) Trust Fund.
Guidance regarding the scope of each of the funding restrictions listed above is provided below.
Sites Not Eligible for Brownfields Fund and Not Eligible for a
Property-Specific Determination
1. Facilities listed (or proposed for listing) on the National Priorities List (NPL).
2. Facilities subj ect to unilateral administrative orders, court orders, administrative orders on consent or
judicial consent decree issued to or entered into by parties under CERCLA.
3. Facilities that are subj ect to the jurisdiction, custody or control of the United States government. (NOTE:
Land held in trust by the United States government for an Indian tribe is eligible for brownfield funding.)
3.4.1 Facilities Subject to CERCLA Removal Actions
Properties (including parcels of properties) where there are removal actions may not receive funding, unless
EPAmakes a property-specific determination of funding eligibility.
EPAs preliminary view is that a removal may be identified by the occurrence of one of the following events,
whichever occurs first in time: EPAissues an action memo, EPAissues an EE/CA approval memo; EPA
mobilizes onsite; or EPAissues a notice of federal interest to one or more potentially responsible parties
(PRP(s)), which in emergencies may be made verbally.
Our preliminary view is that, for the purposes of eligibility to receive brownfields funding, and for no other
reason, a removal is complete, i.e., when the actions specified in the action memorandum are met, or when the
contractor has demobilized and left the site (as documented in the "pollution report" or POLREP). Once a
removal action is complete, a property is eligible for brownfields funding without having to obtain a property-
specific funding determination. Applicants applying for brownfields funding for sites at which removal actions
are complete must include documentation of the action being complete with their funding proposal.
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Parcels of facilities not affected by removal action at the same property may apply for brownfi elds funding
and may be eligible for brownfields funding on a property-specific basis. Property-specific funding decisions
will be made in coordination with the on-scene coordinator (OSC) to ensure that all removals and cleanup
activities at the property are conducted in safe and protective manners and to ensure that the OSC retains
the ability to address all risks and contamination.
Please note that if a federal brownfi elds-funded site assessment results in identifying the need for a new
removal action, the grantee may continue to expend assessment grant funds on additional assessment
activities. However, any additional expenditure of federal brownfield funds and any additional site assess-
ment activities should be conducted in coordination with the OSC for the site.
Any property or site where there are removal actions may be eligible for brownfields funding if a grant or
loan applicant can demonstrate that brownfields funding will ensure protection of human health and the
environment and promote economic development, or the preservation of green space. EPA will consider
providing funding to an eligible entity for assessment or clean up activities at the site, on a property-specific
basis (see guidance on documenting eligibility for property-specific funding determinations provided below).
3.4.2 Facilities Subject to Unilateral Administrative Orders, Court Orders,
Administrative Orders on Consent, or Judicial Consent Decrees Issued to or Entered
into by Parties Under CERCLA
Sites subject to administrative orders, court orders, and consent or judicial consent decrees issued or
entered into by parties under the provisions of CERCLA are not eligible for funding, even on a property-
specific basis. Therefore, applicants should not include such sites within the scope of their brownfields
funding proposals.
3.4.3 Facilities Listed (or Proposed for Listing) on the National Priorities List
CERCLA sites listed on the NPL and sites proposed to be listed on the NPL are not eligible for brownfields
funding. In addition, these sites are not eligible for funding on a property-specific basis. Therefore, appli-
cants should not include proposed or listed NPL sites within the scope of brownfields funding proposals.
3.4.4 Facilities to which a permit has been issued by the United States or an
authorized state under the Solid Waste Disposal Act (RCRA), the Federal Water
Pollution Control Act, the Toxic Substances Control Act, or the Safe Drinking Water Act
Generally, in cases where a property or a portion of a property is permitted under the Resource Conserva-
tion and Recovery Act, Section §1321 of the Clean Water Act, the Safe Drinking Water Act, and/or the
Toxic Substances and Control Act, the property, or portion of the property, may not receive funding,
without a property-specific determination. Therefore, applicants should review the following guidance
regarding which types of permitted facilities may not receive funding unless EPAmakes a property-specific
determination to provide funding. Applicants should note that the exclusion for permitted facilities does not
extend to facilities with National Pollutant Discharge Elimination System (NPDES) permits issued under the
authorities of the Federal Water Pollution Control Act, but is limited to facilities issued permits under the
authorities of the Oil Pollution Act (i.e., §1321 ofFWPCA).
In cases where one or more portions of a property are not eligible for funding, the applicant should identify
the specific permit and situation that causes the property to be excluded. In addition, the applicant must
include, within the proposal, documentation that federal brownfields funding for the assessment or cleanup
of the property will further the goals established for property-specific funding determinations (see attached
guidance on property-specific funding determinations).
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Any property or site that has been issued a permit under the federal environmental statutes listed above (and
in accordance with any additional guidelines provided below) may be eligible for brownfields funding if a
grant or loan applicant can demonstrate that brownfi elds funding will ensure protection of human health and
the environment and promote economic development, or the preservation of greenspace. EPA will consider
providing funding to an eligible entity for assessment or cleanup activities at the site, on a property-specific
basis (see guidance on documenting eligibility for property-specific funding determinations provided below).
In some cases, a facility may not have a permit or order because they are not in compliance with federal or
state environmental laws requiring that they obtain a permit or the facility has failed to notify EPA of their
regulatory status. Such facilities are not eligible forbrownfields funding. For example, a RCRA treatment
unit operator is required to obtain a permit and/or notify EPA of its operation. An operator that fails to fulfill
those obligations will likely not have a permit or order as EPA will be unaware of their existence. Therefore,
it is EPAs preliminary view that such facilities are ineligible to receive brownfi elds funds as a result of their
failure to comply with a basic regulatory requirement. Additional guidance on the eligibility of RCRA-
permitted facilities, including facilities under administrative or court orders, including corrective action orders
is provided below.
3.4.5 RCRA Sites
Excluded RCRA Facilities
EPA's preliminary view is that the following types of RCRAfacilities may not receive funding without a
property-specific determination.
RCRA-permittedfacilities.
RCRA interim status facilities with administrative orders requiring the facility to conduct corrective action
or otherwise address contamination, including facilities with orders issued under the authorities of RCRA
§3008(a), §3008(h), §3013, and §7003.
Facilities under court order or under an administrative order on consent or judicial consent decree under
RCRA or CERCLA that require the facility to conduct corrective action or otherwise address contamina-
tion at the facility.
Land disposal units that have notified EPA or an authorized state of their intent to close and have closure
requirements specified in closure plans or permits.
However, if a grant or loan applicant is requesting a grant for property that is excluded, the applicant may
still be eligible for a brownfi elds grant, if the applicant can demonstrate that funding will ensure protection of
human health and the environment and promote economic development, or the preservation of greenspace.
EPA will consider providing funding to an applicant for assessment or cleanup activities at such a site on a
property-specific basis (see guidance on documenting eligibility for property-specific funding determinations
below).
RCRA Facilities that are Eligible for Funding
EPAs preliminary view is that the following types of RCRAfacilities would not fall within the scope of the
exclusion and would be eligible for funding:
RCRA interim status facilities that are not subj ect to any administrative or judicial order or consent decree;
RCRA interim status facilities that are subj ect to administrative or judicial orders that do not include
corrective action requirements or any other cleanup provisions (e.g., RCRA §3008(a) orders without
provisions requiring the owner/operator to address contamination); and
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Parcels of RCRA facilities that are not under the scope of a RCRA permit or administrative or judicial
order.
In addition, any property or site that has been issued a permit under RCRA may be eligible for brownfields
funding if a grant or loan applicant can demonstrate that brownfields funding will ensure protection of human
health and the environment and promote economic development, or the preservation of green space. EPA
will consider providing funding to an eligible entity for assessment or clean up activities at the site, on a
property-specific basis (see guidance on documenting eligibility for property-specific funding determinations
provided below).
3.4.6 Land disposal units that have filed a closure notification under Subtitle C of
RCRA and to which closure requirements have been specified in a closure plan or
permit.
RCRA hazardous waste landfills that have submitted closure notifications, as required under 40 CFR
264.112(d) or 265.112(d) generally will not be funded. This may include permitted facilities that have filed
notification of closure and for which EPA and/or an authorized state is proceeding with final closure require-
ments for the facility. For interim status facilities, this is done through approval of a closure plan submitted
with closure notification; for permitted facilities, this is routinely done as a modification to the permit, re-
quested by the facility at the time of closure notification.
Please note that RCRA hazardous waste landfills that have submitted closure notifications may be eligible for
brownfields funding if a grant or loan applicant can demonstrate that brownfields funding will ensure protec-
tion of human health and the environment and promote economic development, or the preservation of green
space. EPA will consider providing funding to an eligible entity for assessment or clean up activities at the
site, on a property-specific basis (see guidance on documenting eligibility for property-specific funding
determinations provided below).
3.4.7 Facilities that are subject to the jurisdiction, custody, or control of the United
States government.
Facilities owned by, or under the custody or control of the federal government are not eligible for
brownfields funding, even on a property-specific basis. EPAs preliminary view is that this exclusion may not
extend to:
Privately-owned, Formerly Used Defense Sites (FUDS)
Privately-owned, Formerly Utilized Sites Remedial Action Program (FUSRAP) properties
Other former federal properties that have been disposed of by the U.S. government
Also note that land held in trust by the United States government for an Indian tribe is not excluded from
funding eligibility
Also note that eligibility for brownfields funding does not alter a private owner's ability to cost recover from
the federal government in cases where the previous federal government owner remains liable for environ-
mental damages.
3.4.8 Sites Contaminated with PCBs
The Brownfields Law excludes from funding eligibility portions of facilities where there has been a release of
PCBs that are subject to remediation under TSCA.
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EPA's preliminary view is that all portions of properties are eligible for brownfields site assessment grants,
except where EPAhas initiated an involuntary action with any person to address PCB contamination. Also,
it is our preliminary view that all portions of properties are eligible for cleanup and RLF grants, except
where EPAhas an ongoing action against a disposer to address PCB contamination.
Therefore, portions of properties that are excluded from funding eligibility include those portions of proper-
ties where:
There is a release (or disposal) of any waste meeting the definition of "PCB remediation waste" at 40
CFR761.3;««
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However, in cases where an UST site is located in a state where the state agency has used LUST trust fund
money for state program oversight activities but has not expended LUST trust funds for specific assessment
and/or cleanup activities at the site, the site would not necessarily be excluded from eligibility for brownfields
funding.
Such sites may receive brownfields funding on a property-specific basis, if it is determined that brownfields
funding will protect human health and the environment and the funding will promote economic development
or enable the creation of, preservation of, or addition to greenspace (see guidance on documenting eligibility
for property-specific funding determinations provided below).
Examples of "excluded" sites (Le., sites receiving LUST trust fund monies) we would consider to
be good candidates to receive brownfields grants or loans.
All USTfields pilots (50 pilots)
Sites (or portions of properties) where an assessment was completed using LUST trust fund monies and
the state has determined that the site is a low-priority UST site and therefore additional LUST money
cannot be provided for the cleanup of petroleum contamination, but the site still needs some cleanup and
otherwise is a good candidate for economic revitalization.
Sites (or portions of properties) where LUST money was spent for emergency activities, but then the site
was determined to be ineligible for further expenditures of LUST trust funds, yet the site needs additional
funding for continued assessment and/or cleanup that will contribute to economic revitalization of the site.
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Guidance for Requests for
Property-Specific
Determinations for Funding
Contents
Page
4.1 Overview 56
4.2 Funding Limitations 56
4.3 Criteria for Determining Eligibility for Funding on a Property-Specific Basis 57
4.3.1 Protect on of Human Health and the Environment 58
4.3.2 Promote Economic Development 58
4.3.3 Creation of, Preservation of, or Addition to Parks, Greenway s, Undeveloped
Property, other Recreational Property, or Other Property Used for
Nonprofit Purposes 59
4.3.4 Other Documentation 59
4.4 Properties Not Eligible for Brownfields Funding 60
4.5 Additional Information on Potential for Continual Funding at Sites Subject to
Removal Actions 60
4.6 Additional Information on Potential Funding for Petroleum-contaminated Sites 61
4.7 Eligible Response Sites/Enforcement Limits 61
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4.1 Overview
Grant applicants must determine if any of the properties, or facilities, included in their proposal require a
property-specific determination. A list of the categories of facilities that only are eligible for funding via a
property-specific determination is provided below.
If an applicant includes within the scope of a grant proposal a facility that requires a property-specific
funding determination, the proposal must include, on a separate page, the following information (to the
extent this information replicates information requested elsewhere in the proposal, the applicant may directly
copy the text to this page):
1. Basic site identification information and eligible entity identification information.
2. The specific circumstance that requires the grantee to request a property-specific determination (from the
list in Section 3.4 of'Appendix 3}.
3. A short explanation of why the site falls within the identified circumstance requiring the property-specific
funding determination.
4. An explanation of how providing brownfields funding for the site will meet the criteria necessary for
making a property-specific funding determination (see below).
5. The degree to which other funding is or is not available for the assessment or cleanup of the site.
6. A explanation of whether or not the applicant is responsible for the contamination at a site.
The information provided will be used in making a property-specific determination for funding purposes,
which will take place during the proposal evaluation process.
4.2 Funding Limitations
Although the statutory definition of "brownfield site" is broad, Congress limited the extent to which
brownfields./M«di«g may be provided to eligible entities to assess and clean up sites that are being ad-
dressed under other federal programs. In addition, the Brownfields Law prohibits the use of grant and loan
funds for the payment of response costs at sites for which the funding recipient of the grant or loan is poten-
tially liable under § 107 of CERCLA.6 (See Appendix 2 for additional prohibitions on the use of
brownfields funding.)
The types of facilities that Congress excludedfrom funding eligibility are listed below. However, certain
facilities listed below as excluded from funding eligibility, may still qualify for brownfields funding. The types
of facilities marked with an asterisk (*) below are eligible for brownfields funding if a property-specific
determination is made that funding for assessment or cleanup activities will meet the criteria set forth in the
statute and meet the goals and criteria of the brownfields program.
Facilities subj ect to planned or ongoing removal actions under CERCLA. *
Facilities currently listed, or proposed to be listed, ontheNPL.
6Applicants also should note that the Brownfields Law contains other prohibitions on the use of grant and
loan monies, including the use of grant and loan monies for paying penalties, administrative costs, federal
cost-share requirements, and the cost of complying with any federal law (see Section 101(k)(4)(B)).
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Facilities subj ect to a unilateral administrative order, a court order, an administrative order on consent, or
a judicial consent decree under CERCLA.
Facilities that have been issued or entered into a unilateral administrative order, a court order, an adminis-
trative order on consent, or judicial consent decree or to which a permit has been issued by the U. S. or
an authorized state under RCRA, FWPCA, TSCA, or SDWA*
Facilities subject to RCRA corrective action (§3004(u) or §3008(h)) to which a corrective action permit
or order has been issued or modified to require the implementation of corrective measures. *
Land disposal units that have submitted a RCRA closure notification or that are subj ect to closure re-
quirements specified in a closure plan or permit. *
Facilities subj ect to the jurisdiction, custody, or control of a department, agency, or instrumentality of the
U. S., except for land held in trust for an Indian tribe.
Portions of facilities where there has been a release of PCBs and is subj ect to TSCA remediation. *
Facilities receiving monies for cleanup from the LUST trust fund. *
* Sites eligible for property-specific funding determinations.
The types of facilities marked with an asterisk above may qualify for brownfields funding if EPAmakes a
property-specific determination that brownfields funding will protect human health and the environment and
will either promote economic development or the creation, preservation, or addition to parks, greenway s,
undeveloped property, other recreational property, or other property used for nonprofit purposes. A deter-
mination of eligibility for funding will be made by EPA at the time of proposal evaluation.
Grant applicants must determine whether the property or properties that are the subj ect of their proposal fall
within the scope of one or more of the funding exclusions listed above. Actual determinations of eligibility or
exclusion will be made by EPA. However, if one or more sites that are the subj ect of a grant proposal fall
within the scope of any of the facility types listed above, the grant proposal should specifically identify the
site or sites, identify the applicable funding exclusion from the list above, and describe why each site falls
within the exclusion. Descriptions summarizing the scope of each of the funding exclusions listed above are
provided in Appendix 3 of these guidelines.
4.3 Criteria for Determining Eligibility for Funding on a
Property-Specific Basis
Certain sites that are excluded from funding eligibility because the sites fall within the scope of the statutory
exclusions from the definition of "brownfield site" may qualify for brownfields funding if a property-specific
determination is made that the sites meet the goals and criteria of the brownfields program and the criteria
set forth in the statute. The following types of facilities, although excluded from the definition of brownfield
site above, are eligible for property-specific determinations for brownfields funding:
1. Facilities subj ect to planned or ongoing removal action under CERCLA.
2. Facilities to which a permit has been issued by U. S. or authorized state under RCRA, FWPCA, TSCA,
or SDWA.
3. Facilities subject to RCRA orders requiring corrective action (§3004(u) or §3008(h)).
4. Land disposal units that have submitted a RCRA closure notification or that are subj ect to closure
requirements specified in a closure plan or permit.
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5. Portions of facilities where there has been a release of PCBs and is subj ect to TSCA remediation.
6. Facilities receiving monies for cleanup from the LUST trust fund.
In the case of each type of facility listed above, the new legislation allows EPA to award financial assistance
to an eligible entity for assessment or cleanup activities at the site, if it is found that financial assistance
will:
1. Protect human health and the environment, and
2. Either:
- promote economic development, or
- enable the creation of, preservation of, or addition to parks, greenways, undeveloped property, other
recreational property, or other property used for nonprofit purposes.
Grant proposals for brownfields funding that include, within the scope of planned assessment or cleanup
activities, sites, properties, or facilities that potentially fall within any of the funding exclusions listed above,
should specifically identify such sites and explain, in as much detail as possible, why the availability of
brownfields funding will protect human health and the environment and promote economic development or
the creation or preservation of greenspace (or other listed obj ectives). Information provided by the appli-
cant in addressing these criteria will be used in documenting EPA's decision in making property-specific
determinations for funding eligibility.
4.3.1 Protection of Human Health and the Environment
Grant applicants must provide a detailed discussion of how financial assistance for brownfields assessment
or cleanup activities at each site for which a property-specific determination for funding eligibility must be
made will result in the allocation of funding in accordance with legislative intent. Each proposal for financial
assistance, including a recipient of a revolving loan fund grant seeking EPA approval of loans, whose pro-
posal includes one or more sites for which a property-specific determination must be made must include a
discussion of how brownfields funding will ensure protection of human health and the environment. Docu-
mentation supporting a determination that brownfields funding will ensure protection of human health and the
environment should include documentation of one or more of the following:
Specific examples of human health risks that will be mitigated by activities funded under a brownfields
grant.
Specific environmental improvements that can reasonably be expected to result from activities funded
under a brownfields grant.
Specific examples of contamination that will be addressed, including the specific hazardous substances,
pollutants, or contaminants of concern and the environmental media that will be addressed.
Description of how the proposed cleanup and redevelopment of the property will ensure that the prop-
erty will be protective of human health and the environment and that the remedy will be both protective
and consistent with the planned reuse of the property.
4.3.2 Promote Economic Development
Applicants also must provide detail on how financial assistance will promote economic development or the
creation of, preservation of, or addition to parks, greenways, undeveloped property, other recreational
property, or other property used for nonprofit purposes. Documentation of economic development activities
should include information such as the following:
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A description of economic development activities that can reasonably be expected to occur as a result of
brownfields funding (e.g., number of j obs created, estimated increase in the property and/or profits/sales
tax base to community, additional business expansion or new business relocation that may occur within
the community).
A description of how the redevelopment of the brownfields property will contribute to community-wide
redevelopment and revitalization plans with a specific emphasis on how funding for the brownfields
redevelopment is integral to the success of the community-wide plan.
A description of new businesses or business expansions that are planned for the brownfields property.
4.3.3 Creation of, Preservation of, or Addition to Parks, Greenways, Undeveloped
Property, other Recreational Property, or Other Property Used for Nonprofit Purposes
If brownfields funding will be used by the applicant to preserve or create greenspace, recreational areas,
undeveloped property, or property to be used for nonprofit purposes, the applicant should provide specific
documentation of these activities in the proposal. Grant proposals should provide specific information
documenting how brownfields funding will result in the creation of, preservation of, or addition to parks,
greenways, undeveloped property, other recreational property, or other property used for nonprofit pur-
poses should include information such as:
A description of the proposed park, recreational property, greenspace, undeveloped space, or other type
of property to be used for nonprofit purposes, including size, use, and surrounding environment that will
be preserved or created as a result of brownfields funding.
An assessment of how the property will be used and by whom.
A description of how the property will be integrated with surrounding properties or environments.
A description of how the property will be maintained or preserved for its continued use as a greenspace,
recreational area, etc.
When documenting compliance with these criteria, applicants may copy information provided elsewhere in
their proposal, if such information directly addresses the criteria. However, all documentation must be
comprehensive and specific to actual events that will be mitigated or can reasonably be expected to occur
as a result of federal brownfields funding, should the applicant receive brownfields funding.
4.3.4 Other Documentation
Property-specific brownfields funding determinations will be made based upon the availability of funding and
the extent to which applicants can provide documentation that funding for particular sites offers opportunities
to protect human health and the environment and enhance economic development or create or preserve
greenspace (as the criteria is described above). However, at the same time, Congress explicitly prohibited
the use of federal brownfields funding to reimburse liable parties for response costs. The statute prohibits
grant and loan monies from being used for the payment of response costs at brownfield sites for which the
recipient of a grant or loan is potentially liable (§101 (k)(4)(B)(i)(IV)). Applicants are encouraged to ad-
dress, in the body of the proposal, why federal funding is appropriate for brownfields assessment and/or
cleanup at the site, given that brownfields funding cannot be used to reimburse liable property owners for
response activity costs.
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4.4 Properties Not Eligible for Brownfields Funding
Grant applicants must keep in mind that the legislation excludes certain types of facilities from qualify-
ing for the property-specific funding determinations and therefore from federal brownfields financial
assistance. Sites or facilities that may notbe included within the scope of a grant proposal and for which
brownfields grants and loans cannot be made available regardless of property-specific circumstances
include the following types of sites or facilities:
Facilities listed or proposed for listing on the NPL.
Facilities subj ect to a unilateral administrative order, an administrative order, a court order, an administra-
tive order on consent, or a judicial consent decree issued or entered into by parties under CERCLA.
Facilities that are subj ect to the jurisdiction, custody, or control of the United States government, except
for land held in trust by the U. S. for an Indian Tribe.
Applicants should note that the discussion of property-specific determinations for funding sites that are other-
wise excluded from funding eligibility that is provided here only applies to funding determinations. This discus-
sion does not apply to, or have bearing on, any other property-specific determinations or other aspects of the
brownfields program. For example, a property-specific determination for funding purposes in no way affects a
facility's or an entity's status with regard to EPA's enforcement and cost recovery authorities.
4.5 Additional Information on Potential for Continual Funding
at Sites Subject to Removal Actions
Some brownfield sites that receive federal brownfields assessments grants may, as a result of the federally-
funded site assessment require a CERCLA removal action. Under the Brownfields Law (§ 101 (3 9)(B)(i)),
sites that are subj ect to planned or on-going removal actions under CERCLA are excluded from funding
eligibility. However, such sites may receive federal brownfields funding if a property-specific determination is
made that such funding will meet the property-specific determination criteria. Applicants should follow the
procedures listed in the previous section to request a property-specific determination. )Note: If a removal
action is required at a site where an assessment grant exists, the grantee does not need to obtain the prop-
erty-specific determination noted above. However, grant recipients must obtain approval from the EPA
removal OSC prior to any onsite work commencing.)
Grant applicants requesting federal brownfields funding and recipients of revolving loan fund grants seeking
EPA approval of loans for sites at which a CERCLA removal action is planned or on-going must document
in their proposals (or loan approval requests) that the requested funding will be used in accordance with
legislative intent. Therefore, proposals must include a discussion of how brownfields grant or loan funds will
ensure protection of human health and the environment and provide detail on how financial assistance will
promote economic development or the creation of, preservation or, or addition to parks, greenways,
undeveloped property, other recreational property, or other property used for nonprofit purposes. Requests
for property-specific determinations for funding for the assessment or cleanup of properties where there is a
planned or ongoing removal action will be considered in the following circumstances: 1) when it is clear a
follow-on response action will be required to address long-term threats at a site; and 2) in cases where
portions of a site are not under the current scope of a planned or ongoing removal action.
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In addition to the specific criteria listed above, applicants also should explain in their proposal the extent to
which other funding sources are not available for the assessment and/or cleanup of the site or property.
Federal brownfields funding cannot be used to reimburse liable parties for response costs. In addition,
federal brownfields funding may not be used for an ensuing removal action. Applicants should specifically
address, in the body of the proposal, why federal funding is appropriate for brownfields assessment and/or
cleanup at the site, given the Congressional intent not to reimburse liable property owners for response
activity costs.
4.6 Additional Information on Potential Funding for Petroleum-
contaminated Sites
As noted above, portions of facilities receiving assistance for response activities from the LUST trust fund
are excluded from eligibility for brownfields funding. However, these facilities are eligible for funding on a
property-specific basis. To assist applicants in determining whether their sites are good candidates for
property-specific funding determinations, below are examples of "ineligible" sites (i.e., sites receiving LUST
trust fund monies) EPA considers to be potentially good candidates to receive brownfields grants or loans
under the property-specific determination provisions of the Brownfields Law (i.e., CERCLA § 101 (3 9)(C)).
All USTfields pilots.
Sites (or portions of properties) where an assessment was completed using LUST trust fund monies and
the state has not determined the site to be a "high risk" site and, although an assessment was completed
using LUST trust fund monies, the site needs further assistance to conduct a cleanup. Although the site is
otherwise a good candidate for economic revitalization, additional LUST money cannot be provided for
the cleanup of petroleum contamination.
Sites (or portions of properties) where LUST money was spent for emergency activities, and are other-
wise determined to be ineligible for further LUST trust funds, yet the site needs additional funding for
continued assessment and/or cleanup that will contribute to economic revitalization of the site.
4.7 Eligible Response Sites/Enforcement Limits
The Brownfields Law limits EPAs enforcement and cost recovery authorities at "eligible response sites"
where a response action is conducted in compliance with a state response program. Section 101 (40)
defines an "eligible response site" by referencing the general definition of a "brownfield site" in § 101 (3 9)(A)
and incorporating the exclusions at § 101 (3 9)(B). The law places further limitations on the types of sites in-
cluded within the definition of an eligible response site, but grants EPA the authority to include within the
definition of eligible response site, and on a property-specific basis, some facilities that are otherwise excluded
from the definition. Such property-specific determinations must be based upon a finding that limits on enforce-
ment will be appropriate, after consultation with state authorities, and will protect human health and the envi-
ronment and promote economic development or facilitate the creation of, preservation, or addition to a park, a
greenway, undeveloped property, recreational property, or other property used for nonprofit purposes. While
the criteria appear similar to those for determining eligibility for funding on a property-specific basis, the
determinations are distinct, will be made through a separate process, and may not be based on the same
information requested in this document for property-specific funding determinations.
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