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Proposal Guidelines for
Brownfields Assessment,
Revolving Loan Fund, and
Cleanup Grants
Recycled/Recyclable
Printed with Soy/Canola Ink on paper that
contains at least 50% recycled fiber
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Solid Waste and EPA-560-F-05-244
Emergency Response October 2005
(5105T) www.epa.gov/brownfields
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OVERVIEW
AGENCY: ENVIRONMENTAL PROTECTION AGENCY (EPA)
TITLE: Proposal Guidelines for Brownfields Assessment, Revolving Loan Fund, and
Cleanup Grants
ACTION: Request for Proposals
RFPNO: EPA-OSWER-OBCR-06-01
CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NO.: 66.818
DATES: Proposals sent through the U.S. Postal Service or sent via a commercial delivery
service must be postmarked by December 14, 2005, 5:00 p.m. EDT. All
proposals must be sent to Environmental Management Support, Inc. (contractor to
EPA), and applicants shall also submit one complete copy of their proposal,
including attachments, to the appropriate EPA Regional Brownfields Contact
listed in Appendix 1. Additional submission instructions are contained in Section
IV of the announcement. In addition, applicants may submit their proposals
electronically through grants.gov; proposals submitted through grants.gov must be
received by 5:00 p.m. EDT on December 14, 2005. Please refer to Appendix 5 for
specific instructions for use ofgrants.gov. Note: There is a registration process
to complete for electronic submission via grants.gov, which may take a week or
more to complete.
SUMMARY: The 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
proposals for grants to address brownfield sites. This Law defines a brownfield
site as "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 Law further defines the term "brownfield site" to include a site
that "is contaminated by a controlled substance...; is contaminated by petroleum
or a petroleum product excluded from the definition of 'hazardous substance'...; is
mine-scarred land."
FUNDING/AWARDS: The total estimated funding expected to be available under this
competitive opportunity is approximately $72 million. EPA anticipates award of approximately
200 cooperative agreements.
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Contents by Section
I. Funding Opportunity Description
II. Award Information
IE. Eligibility Information
IV. Proposal and Submission Information
V. Proposal Review Information
VI. Award Administration Information
VII. Agency Contacts
VIE. Other Information
SECTION I - FUNDING OPPORTUNITY DESCRIPTION
A. 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, manufacturing, or commercial uses were lying abandoned or underused due to the
suspicion of contamination. Brownfield areas, particularly those in city centers, were
contributing to blight and joblessness in surrounding communities. Unknown environmental
liabilities were preventing communities, developers, and investors from restoring these properties
to productive use and revitalizing impacted neighborhoods.
In 1994, EPA responded 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. EPA also has
provided funding to create local environmental job training programs to ensure that the economic
benefits derived from brownfield revitalization efforts remain in local neighborhoods.
The Brownfields Law
On January 11, 2002, the President signed into law the Small Business Liability Relief and
Brownfields Revitalization Act (Brownfields Law). The Brownfields Law expands potential
federal financial assistance for brownfield revitalization, including grants for assessment,
cleanup, and job training. The 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 provisions that are important for grant applicants to keep in mind
when using these guidelines.1 Some of those features are summarized below.
Applicant Eligibility
The Brownfields Law expands eligibility for brownfields funding by broadening the
entities eligible for funding by permitting the award of cleanup grants to eligible entities,
including nonprofit organizations, that own the property they wish to clean up. EPA has
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
capitalization grant funds. A coalition is a group of two or more eligible entities which
submits one revolving loan fund (RLF) grant proposal under the name of one of the
coalition participants. The grant recipient must administer the RLF grant, is accountable
to EPA for proper expenditure of the funds, and will be the point of contact for the other
coalition members.
Site Eligibility
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.")
The Brownfields Law excludes the following three types of properties from funding
eligibility and prohibits EPA from making property-specific determinations on these
properties: 1.) Facilities listed (or proposed for listing) on the National Priorities List
(NPL); 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; and 3.) Facilities that are subject 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 brownfields funding.)
JThe authority to provide grants in the Brownfields Law is codified at §104(k) of
CERCLA.
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Petroleum Eligibility
Generally, the Law allows EPA to award brownfield grant funds for activities at
petroleum-contaminated sites that meet the definition of "brownfield site" in CERCLA §
101(39)(A)-(C) and 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
subject to a Resource Conservation and Recovery Act (RCRA) 9003(h) order. EPA must
make available 25 percent of the total grant funds for assessment and/or cleanup of
petroleum-contaminated sites. EPA has 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.)
Cost Share
The Brownfields Law requires a 20 percent cost share for revolving loan fund (RLF) and
cleanup grants. There is no cost share requirement for assessment grants. For example, a
$200,000 cleanup grant will require a $40,000 cost share; a $1 million RLF grant will
require a $200,000 cost share. Applicants may seek a waiver of this cost share due to
hardship. EPA will consider hardship waiver requests on a case-by-case basis and will
approve such requests on a limited basis. Refer to the Cost Share threshold criteria in the
RLF and cleanup grant sections for additional information.
Prohibitions on the Use of Grant Funds
Grant funds cannot be used for administrative costs. Please note that proposal
preparation costs, including associated consultant fees, are ineligible administrative
costs. (See Appendix 2 for additional information.)
No part of a grant or loan can 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. This means
that applicants are not eligible for grants or loans at sites for which they are liable parties
under CERCLA. Under CERCLA § 107, current owners and operators of a facility,
owners and operators of a facility at the time of disposal of a hazardous substance, parties
that arranged for the treatment or disposal of hazardous substances, and parties that
accepted hazardous substances for transport to disposal or treatment facilities are
potentially liable for cleanup or paying the cost of cleaning up a site. Thus, an owner of
contaminated land may be liable under CERCLA § 107 even though he/she did not
cause or contribute to the contamination at the site. Note, however, that CERCLA §
107 does not apply to petroleum sites. In addition, CERCLA provides certain liability
protections for owners and prospective purchasers of contaminated properties who are not
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responsible for the contamination (and not affiliated with a responsible party) and comply
with certain specific conditions provided in the statute.
The Brownfields Law clarified the innocent landowner provision and established liability
protections for contiguous property owners and bona fide prospective purchasers of
contaminated land. Applicants that own or plan to purchase a contaminated site may
qualify for one of these landowner liability protections and be eligible for funding. To
qualify for the liability protections, landowners must comply with certain obligations to
take "appropriate care" after purchasing a property, and prospective landowners must
conduct "all appropriate inquiries" prior to purchasing a property. For more information
on these liability protections, please refer to the Brownfields Law and the March 6, 2003,
EPA guidance entitled "Interim Guidance Regarding Criteria Landowners Must Meet in
Order to Qualify for Bona Fide Prospective Purchaser, Contiguous Property Owner, or
Innocent Landowner Limitations on CERCLA ("Common Elements")"
(http://www.epa.gov/compliance/resources/policies/cleanup/superfund/common-el em-
guide, pdf).
NOTE: Recent legislation expands the availability of grant or loan funds for use at sites
where applicants have met all of the elements of the bona fide prospective purchaser
protection, except that the site was purchased prior to January 11, 2002. Up to 20 percent
of the funds EPA has for Brownfields grants under this competition are available for
these sites. Please contact your Regional Brownfields Contact (Appendix 7) for
additional information on this important legislative change.
Also note that for the purposes of the all appropriate inquiries requirement, Phase I
environmental site assessments must be conducted or updated within one year prior to the
purchase date of the property. In addition, certain aspects of a Phase I assessment must
be updated prior to the purchase date, if the Phase I assessment was conducted more than
180 days prior to the purchase date of the property. Phase I environmental site
assessments must be conducted using the ASTM El 527 Phase I Environmental Site
Assessment Process.
Grant funds cannot be used for the payment of a Federal cost-share requirement.
Grant funds cannot be used for the payment of a cost of compliance with any Federal law,
excluding the cost of compliance with laws applicable to the cleanup.
Additional Uses of Grant Funds
Under the Brownfields Law, a local government (as defined in 40 CFR Part 31.3, 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
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to prevent human exposure to any hazardous substance, pollutant, or contaminant from a
brownfield site. The term local government does not include state or tribal
governments but may include, among others, public housing authorities, school
districts and councils of governments. 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 (e.g., writing local
brownfield-related ordinances) described in their EPA approved scope of work.
Applicants that receive grants or loans to perform characterization, assessment, or
cleanup of a brownfield site may use a portion of their brownfields grant or loan funds to
purchase environmental insurance. Purchases must be consistent with the applicable
OMB Cost Circulars - A-21 is applicable to universities and educational institutions, A-
87 is applicable to governmental units, and A-122 is applicable to non-profit
organizations.
Other Requirements
Brownfields grantees must comply with all applicable Federal and State laws to ensure
that the assessment and cleanup protect human health and the environment.
Applicability of the National Historic Preservation Act (NHPA) may require a grantee to
consult with EPA prior to conducting on-site activity with the potential to impact historic
properties (such as invasive sampling or cleanup) to ensure that, if applicable, EPA is
assisted in complying with Section 106 of NHPA and its implementing regulations (36
CFR Part 800). Assessment grantees anticipating future cleanup on eligible brownfields
sites should consider NHPA requirements as part of planning for future cleanup of
assessed sites.
In accordance with Executive Order 12372, EPA encourages 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.
What are the Brownfields Assessment, Revolving Loan Fund, and Cleanup Grants?
Three competitive brownfields grant types are discussed in these guidelines: assessment grants,
revolving loan fund (RLF) grants, and cleanup grants.
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Assessment Grants
Assessment grants provide funding for a grant recipient to inventory, characterize, assess, and
conduct cleanup and redevelopment planning and community involvement related to brownfield
sites.
Applicants may apply for both Community-Wide and Site-Specific assessment grants, as
discussed below. However, an applicant is limited to submitting only ONE hazardous
substance assessment grant proposal and ONE petroleum assessment proposal (refer to
the chart on page 9). In the event that an applicant submits more proposals than allowed,
EPA will contact the applicant and require that it withdraw the excess proposal(s) from
the grants competition.
An eligible entity may submit no more than 2 assessment proposals.
The performance period for assessment grants is up to three years.
Refer to Appendix 2, Prohibitions on Use of Funds, for information on activities that may
not be funded using brownfields grant funds.
Community- Wide
An applicant may apply for a community-wide assessment grant if a specific site has not
been identified or if the assessment will address more than one site within the
community. An applicant may discuss potential assessment sites in a community-wide
proposal; however, EPA's acceptance of the proposal does not constitute a determination
by EPA that the sites identified in the proposal are eligible. EPA reserves the right to
approve sites as part of the workplan negotiation and upon commencement of the work.
Community-wide assessment grant applicants may focus their proposal on classes or
categories of sites, (e.g. abandoned gas stations, sites with environmental justice
concerns, sites in a designated redevelopment area) rather than identifying and discussing
specific sites.
Applicants electing to apply for up to $200,000 for a community-wide hazardous
substance assessment grant are not eligible for a site-specific hazardous substance
assessment grant in the same grant competition. Similarly, applicants applying for up to
$200,000 for a community-wide petroleum or petroleum product assessment grant will
not be eligible for a site-specific petroleum assessment grant in the same grant
competition.
Site-specific
Applicants planning to assess only one site must apply for a site-specific assessment
grant. In addition, the applicant must submit a site-specific assessment grant proposal if a
waiver of the funding limitation is requested. Cooperative agreement recipients
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expending funding from a community-wide assessment grant or a previously awarded
site-specific assessment grant for a particular site must include such funding amount in
calculating the total funding expended on the site. An applicant may seek a waiver of the
$200,000 limit for a site-specific assessment grant and request up to $350,000 for a single
site.
Applicants will not be allowed to substitute another site for a site-specific assessment
grant even if the site identified in the proposal is later determined to be ineligible.
Total Assessment Funding Limit per Applicant/Number of Proposals to be Submitted
Applicants are subject to community-wide and site-specific assessment grant funding
limitations.
An applicant may apply for up to $200,000 for a community-wide assessment grant for
hazardous substances, and up to $200,000 for a community-wide assessment grant for
petroleum; OR
An applicant may apply for up to $200,000 for a site-specific assessment grant for
hazardous substances, and up to $200,000 for a site-specific assessment grant for
petroleum; OR
An applicant may apply for up to $200,000 for a community-wide assessment grant for
hazardous substances, and up to $200,000 for a site-specific assessment grant for
petroleum; OR
An applicant may apply for up to $200,000 for a community-wide assessment grant for
petroleum, and up to $200,000 for a site-specific assessment grant for hazardous
substances.
Proposals for assessment of hazardous substance contamination and hazardous
substance contamination co-mingled with petroleum must be submitted separately
from proposals for petroleum or petroleum product contamination. DO NOT
SUBMIT PROPOSALS THAT COMBINE REQUESTS TO ASSESS
HAZARDOUS SUBSTANCES WITH REQUESTS TO ASSESS PETROLEUM OR
PETROLEUM PRODUCT. In the event that an applicant submits more proposals than
allowed, EPA will contact the applicant and require that it withdraw the excess
proposal(s) from the grants competition.
Site-specific Assessment Grant Waiver
An applicant may seek a waiver of the $200,000 limit for a site-specific proposal and
request up to $350,000 for a single site. Such waivers must be based on the anticipated
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level of contamination, the size, or status of ownership of the site. Sites contaminated by
hazardous substances, pollutants, or contaminants may include hazardous substances co-
mingled with petroleum. Site-specific proposals for sites contaminated by petroleum or
petroleum product require separate grant proposals and waiver requests from those for
sites contaminated or co-mingled with hazardous substances.
Community-wide assessment grants are not eligible for assessment grant "waivers."
Proposals For Community-Wide and Site-Specific Assessment Grants
The following examples may assist you in understanding the funding limitations applied to
assessment grants:
Examples
Applicant A.
Community- Wide
Site-Specific
Applicant B
C ommunity-Wi de
Site-Specific
Applicant C
Community- Wide
Site-Specific
Applicant D
Community- Wide
Site-Specific
Hazardous
Substances
$200,000
$ -0-
$200,000
$ -0-
$ -0-
$200,000 *
$ -0-
$200,000 *
Petroleum
$200,000
$ -0-
$ -0-
$200,000 *
$200,000
-0-
-0-
$200,000 *
Total Funding
$400,000
$400,000*
$400,000*
$400,000*
Number of
Proposals
Applicant
May Submit
2
2
2
2
* See discussion above regarding assessment grant waivers for site-specific proposals which
may increase funding to up to $350,000 for a site. This dollar amount could increase if an
assessment waiver is requested.
Revolving Loan Fund Grants
Revolving Loan Fund (RLF) grants provide funding for a grant recipient to capitalize a revolving
loan fund and to provide subgrants to carry out cleanup activities at brownfield sites.
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An eligible entity may submit ONE proposal for up to $1,000,000 for an RLF grant.
These funds may be used to clean up sites contaminated by petroleum and/or hazardous
substances, pollutants, or contaminants (including hazardous substances co-mingled with
petroleum). If the proposal is for both petroleum and hazardous substances, pollutants, or
contaminants, the budget must reflect the distribution of funds (petroleum vs. hazardous
substances).
Proposals may be submitted by "coalitions," or groups of eligible entities, to pool their
revolving loan capitalization grant funds. A coalition is a group of two or more eligible
entities which submits one grant proposal under the name of one of the coalition
participants. 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
members. Members of the coalition other than the grant recipient must submit letters
agreeing to be part of the coalition.
Coalitions of eligible entities may apply together under one recipient for up to $1,000,000
per eligible entity.
An RLF grant recipient must use at least 60 percent of the awarded funds to capitalize
and implement a revolving loan fund. Revolving loan funds generally are used to provide
no-interest or low-interest loans for brownfields cleanups. RLF grantees may make intra-
governmental loans and loans to nonprofit and for-profit organizations as long as they are
not potentially liable at the site under CERCLA § 107.
An RLF grant recipient also may use its funds to award cleanup subgrants to other
eligible entities, including nonprofit organizations, for brownfields cleanups on sites
owned by the subgrantee; however, an RLF grant recipient may use no more than 40
percent of the awarded funds for subgrants and may not subgrant to itself. As with loans,
an applicant cannot make a subgrant to a potentially liable party at the site. An RLF grant
recipient may not make a cleanup subgrant that exceeds $200,000 per site. In the case of
a coalition, the RLF grant recipient may subgrant to other coalition members. Unlike
loans, cleanup subgrants do not require repayment. An RLF grant recipient may also use
the funds to guarantee, in whole or part, loans made by third-party lenders for eligible
cleanup.
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 EPA and
cannot include administrative costs, as described in Appendix 2). An RLF grant
applicant may request a waiver of the 20 percent cost share requirement based on
hardship.
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The performance period for RLF grants is up to five years.
Refer to Appendix 2, Prohibitions on Use of Funds, for information on activities that may
not be funded using brownfields grant funds.
Cleanup Grants
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 may apply for funding for cleanup activities at more than five sites. These funds
may be used to clean up sites contaminated by petroleum and hazardous substances,
pollutants, or contaminants (including hazardous substances co-mingled with petroleum).
A separate proposal must be submitted for each site. If more than one cleanup proposal is
submitted for the same site, EPA will contact the applicant and require that it withdraw
the excess proposal(s) from the grants competition.
If an applicant elects to submit a proposal for both hazardous substance and petroleum
cleanup funding for the same site, the funding amount cannot exceed the $200,000 site
limit AND the budget must reflect the amount of hazardous substance funding and the
amount of petroleum funding requested.
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, as described in Appendix 2). A cleanup grant
applicant may request a waiver of the 20 percent cost share requirement based on
hardship.
In order to receive a cleanup grant, the applicant must be the sole owner of the
property that is the subject of its cleanup grant proposal by June 30, 2006. An
applicant who is not the sole owner of the subject property at time of proposal
submission must achieve sole ownership by June 30, 2006, to be eligible for funding.
(see Review and Selection Process on page 48). For the purposes of eligibility
determinations in these guidelines only, the term "own" means fee simple title. The
grantee must maintain such sole ownership until all of the cleanup work funded by the
grant has been completed.
A written ASTM or equivalent Phase I report must be completed and a minimum of an
ASTM or equivalent Phase II site assessment must be underway or completed prior to
proposal submission. Note: cleanup funds may not be used to conduct assessment work.
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The performance period for cleanup grants is up to three years.
Refer to Appendix 2, Prohibitions on Use of Funds, for information on activities that may
not be funded using brownfields grant funds.
B. EPA Strategic Plan Linkage and Anticipated Outcomes/Outputs
1. Linkage to EPA Strategic Plan. All three grant types will support progress towards the
same Goal, Objective, and Sub-objective. This project supports progress towards EPA
Strategic Plan Goal 4 (Healthy Communities and Ecosystems), Objective 4.2
(Communities), and Sub-objective 4.2.3 (Assess and Cleanup Brownfields). Specifically,
these grants will help sustain, clean up, and restore communities and the ecological
systems that support them by providing funds to assess and clean up brownfields. EPA
will negotiate work plans with recipients to collect information about the hazardous
substances, pollutants and petroleum contaminants addressed and the amount of land
made safe for communities' economic and ecological use.
2. Outcomes. EPA will work with grantees to demonstrate the impact of assessing and
cleaning up brownfields by measuring the amount of land on which environmental threats
have been determined, risks have been addressed, and the number of acres made ready for
reuse by the impacted communities. Expected outcomes of these grants will include the
number of jobs leveraged and other funding leveraged through the economic reuse of
properties along with the acres of greenspace created for communities. Expected
outcomes will be included in the grant agreement.
3. Outputs. The anticipated output for these grants is assessment and cleanup of
brownfields sites. Through the assessment, revolving loan fund, and cleanup grants, EPA
anticipates a minimum of at least 1000 properties assessed and 60 properties cleaned up
by the end of Fiscal Year 2006. Expected outputs will be included in the grant
agreement.
SECTION II - AWARD INFORMATION
A. What is the amount of available funding?
The total estimated funding available under this competitive opportunity is approximately $72
million.
B. How many agreements will EPA award in this competition?
EPA anticipates award of approximately 200 cooperative agreements.
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C. May EPA Award a Grant for Only a Portion of a Proposal?
EPA reserves the right to make an award of a grant which would fund only a portion of the
activities described in the proposal. The grant award may fund discrete activities, portions, or
phases of proposed projects. If EPA decides to partially fund a proposal, it will do so in a
manner that does not prejudice any applicants or affect the basis upon which the proposal, or
portion thereof, was evaluated and selected for award, and that maintains the integrity of the
competition and selection process.
D. What is the project period for awards resulting from this solicitation?
The estimated project period for awards resulting from this solicitation varies by grant type. The
project period for assessment grants is up to three years, RLF grants is up to five years, and
cleanup grants is up to three years.
SECTION III - ELIGIBILITY INFORMATION
A. Who Can Apply?
Eligible applicants, including those with existing brownfields grants, may apply for one, two, or
all, of the grant programs. 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 Government3
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 Alaska4
Assessment
/
/
/
/
/
/
/
RLF1
/
/
/
/
/
/
/
Cleanup2
/
/
/
/
/
/
/
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Type of Applicant
Alaska Native Regional Corporation, Alaska Native
Village Corporation, and Metlakatla Indian Community5
Nonprofit organizations6
Assessment
/
RLF1
/
Cleanup2
/
/
1 To be eligible for an RLF subgrant, the subgrantee must be sole owner of the site and provide
documentation demonstrating ownership (e.g., copy of the fee simple title) prior to the award
of the subgrant.
2 To be eligible for a cleanup grant, the applicant must be the sole owner of the property that is
the subject of its cleanup grant proposal by June 30, 2006. For the purposes of eligibility
determinations in these guidelines only, the term "own" means fee simple title. EPA reserves
the right to request documentation of ownership as part of its threshold review of the proposal.
3 For 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.
4 Intertribal Consortia are eligible for funding in accordance with EPA's policy for funding
intertribal consortia published in the Federal Register on November 4, 2002. This policy also
may be obtained from your Regional Brownfields Contact.
5 Alaska Native Regional Corporations and Alaska Native Village Corporations are defined in
the Alaska Native Claims Settlement Act (43 U.S.C. 1601 and following).
6 For 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, 31 USC 6101, Note. The term "nonprofit
organization" means any corporation, trust, association, cooperative, or other organization that
is operated mainly 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.
B. Other Threshold Eligibility Criteria
In addition to applicant eligibility, Section V of the proposal guidelines describes other statutory-
and policy-based threshold criteria (e.g., Community Notification, State or Tribal Environmental
Authority Letter, Site Eligibility and Property Ownership Eligibility, Cleanup Authority and
Oversight Structure, Cost Share) that applicants must meet in order to be eligible to be
considered for funding Moreover, proposals which do not substantially conform to the
specific proposal outline and content detailed above will not be considered for award
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SECTION IV - PROPOSAL AND SUBMISSION INFORMATION
A. How Do I Apply for a Brownfields Grant?
Electronic copies of these guidelines can be obtained from the EPA brownfields web site
(http://www.epa.gov/brownfields/applicat.htmX through grants.gov, or by contacting your
Regional Brownfields Contact listed in Appendix 1.
B. Content and Form of Proposal Submission
Applicants must submit a separate proposal for each grant type that they are applying for (i.e.,
assessment, revolving loan fund, and/or cleanup.) Additionally, a separate proposal must be
submitted for each grant within a grant type (i.e., you must submit separate proposals if you are
seeking more than one cleanup grant or more than one assessment grant.) Each proposal must
address the applicable threshold and ranking criteria identified in Section V for each grant being
proposed for. Each proposal must stand on its own merits based on the responses given to the
criteria relevant to the grant type for which the applicant is submitting a proposal and must not
reference responses to criteria in another proposal. Applicants who exceed the maximum number
of proposals allowable for each grant type will be contacted promptly by EPA, prior to review of
any of the proposals by EPA, to determine which proposals the applicant will withdraw from the
competition. Proposals may be submitted through the U.S. Postal Service, commercial delivery
service, or electronically through grants.gov. Please refer to Appendix 5 for specific
instructions on the use of the grants.gov option. Note: There is a registration process to
complete for grants.gov electronic submission, which may take a week or more to complete.
1. All proposals, regardless of the method of submission to EPA, must substantially
conform to the following outline and content:
a. Narrative proposal - includes cover letter and project description;
b. Documentation of non-profit status, if applicable;
c. Documentation of applicant eligibility if other than city, county, state, or tribe;
d. Letter from the state or tribal environmental authority;
e. For RLF applicants only - Legal opinion to access and secure sites in the event of
an emergency or default of a loan agreement or non-performance under a
subgrant;
f. For RLF applicants only - Legal opinion that demonstrates your legal authority to
perform the actions necessary to manage a revolving loan fund.
2. The narrative proposal must be typed, single line spaced, on 8 1A" x 11" paper. The
narrative proposal shall not exceed 17 pages and must substantially conform to the
following outline and content:
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a. Cover Letter (2 pages maximum): The cover letter shall identify the brownfields
grant applicant and a contact for communication with EPA. A maximum of two
pages in length, the cover letter must include a brief description of your project, be
written on your organizations's official letterhead, and signed by an official with
the authority to commit your organization to the proposed project. Reminder:
Applicants are to submit SEPARATE cover letters with proposals for EACH type
of grant (assessment, revolving loan fund, cleanup) for which you are applying.
Each cover letter must also include:
1. Applicant Identification: Provide the name and full address of the entity
applying for funds. This is the agency or organization that will be
receiving the grant and will be accountable to the EPA. Note: For RLF
coalitions, it is not necessary to list the coalition members. However, the
entity named here will be considered the cooperative agreement recipient.
2. Funding Requested:
a. Grant type: Assessment, RLF, or Cleanup
b. Amount: $ (please see funding limitations for each grant on
pages 6-12)
c. Contamination: Hazardous Substances or Petroleum
d. For assessment grants only: Community-wide or Site-specific
3. Location: City, county, and state or reservation, tribally owned lands, tribal
fee lands, etc., of the brownfields community(ies) that you propose to
serve. Include the names, addresses, phone and fax numbers of the mayor,
county executive, governor, tribal chair, etc., for the brownfields
community that you propose to serve. Note: For RLF coalition proposals,
list the relevant information for each eligible entity in the coalition.
4. Contacts: Please provide name, phone/fax numbers, email address, and
mailing address of the project director and head of organization/executive
director responsible for the project proposal. These individuals may be
contacted if other information is needed.
5. Date Submitted: Date proposal is submitted to EPA via U.S. Postal
Service, commercial delivery service, or electronically through grants.gov.
6. Project Period: Project period must not exceed three years for assessment
grants, five years for revolving loan fund grants, and three years for
cleanup grants.
7. Population:
a. Provide the general population of your jurisdiction.
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b. If you are not a municipal form of government, provide the population
of the area addressed by this proposal. Tribes must provide the number of
tribal/non-tribal members affected.
8. Other: Indicate whether you are a federally recognized tribe; federally
designated Empowerment Zone/Enterprise Community; federally
designated Renewal Community; or a community with an Official
Recognition (OR) from the Department of Justice for its Weed and Seed
strategy.
9. Cooperative Partners: Provide names and phone numbers of individuals
and organizations that have agreed to participate in the implementation of
the project.
b. Project Description (15 pages maximum): The project description must provide a
concise overview of how the applicant will implement and conduct its operation.
Proposals must be clear, concise and specifically address each of the applicable
threshold and ranking criteria identified in Section V of these guidelines for the
type of grant being proposed for. Sufficient detail must be provided to allow for
an evaluation of the merits of the proposal.
For purposes of evaluating applicants under the programmatic capability and/or past performance
criterion in Section V, EPA will consider information provided by the applicant and may also
consider information from other sources including Agency files.
Proposals must be concise and well organized. Proposals must provide the information
requested in the guidelines and respond to each criterion. Factual information about your
proposed project and community must be provided. Do not include discussions of broad
principles that are not specific to the proposed work or project covered by your proposal.
Responses to criteria must include the criteria number and title but need not restate the entire text
of the criteria.
Applicants are strongly advised to avoid submission of non-essential materials unrelated to the
proposal's requirements. Upon receipt, proposals will be reviewed for content and copied for
distribution to evaluators. Pages exceeding the maximum page limitations expressed above will
not be copied or evaluated. The maximum page limitation does not include required attachments
identified in Section IV of these guidelines Proposals which do not substantially conform to
the specific proposal outline and content detailed above will not be considered for award.
All proposal materials must be completed in English. Do not include binders, spiral binding, or
color printing. Photos and graphics will not be considered.
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C. Submission Dates and Times/Other Information
1. Applicants may submit their proposals through the U.S. Postal Service, commercial
delivery service, or electronically through grants.gov. Proposals sent through the U.S.
Postal Service or sent via a commercial delivery service must be postmarked by
December 14, 2005, 5:00 p.m. EDT. All proposals must be sent to Environmental
Management Support, Inc. (contractor to EPA), and applicants shall also submit one
complete copy of their proposal, including attachments, to the appropriate EPA Regional
Brownfields Contact listed in Appendix 1. Additional submission instructions are
contained in Section IV of the announcement. In addition, applicants may submit their
proposals electronically through grants.gov; proposals submitted through grants.gov must
be received by 5:00 p.m. EDT on December 14, 2005. Please refer to Appendix 5 for
specific instructions for use ofgrants.gov. Note: There is a registration process to
complete for electronic submission via grants.gov, which may take a week or more to
complete. Please submit the proposal through one means only - either hard copy or
electronically through grants.gov, but not both. Proposals received or postmarked
after the respective dates and times specified above will not be considered.
Facsimile delivery of proposals is not permitted. Proposals received by facsimile
submission will not be considered or evaluated for award.
2. The proposal(s) must be sent to the following address:
U.S. Postal Service or Commercial Delivery Service
Environmental Management Support, Inc.
Attn: Mr. Don West
8601 Georgia Avenue, Suite 500
Silver Spring, MD 20910
Phone 301-589-5318
(Note: Overnight mail must include Mr. West's phone number in the address.)
3. In accordance with 40 CFR 2.203, applicants may claim all or a portion of their proposal
as confidential business information. EPA will evaluate confidentiality claims in
accordance with 40 CFR Part 2. Applicants must clearly mark proposals or portions of
proposals they claim as confidential. If no claim of confidentiality is made, EPA is not
required to make the inquiry to the applicant otherwise required by 40 CFR 2.204(c)(2)
prior to disclosure.
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SECTION V - PROPOSAL REVIEW INFORMATION
A. Evaluation (Threshold and Ranking) Criteria
Below are the threshold and ranking criteria and the respective information that applicants must
submit relating to these criteria for the three types of grants that may be awarded under this
announcement.
Assessment Grant Criteria
Proposals for assessment grant funding will be evaluated against the threshold and ranking
criteria set forth below. Applicants must provide information in their proposal addressing these
criteria. Threshold criteria are pass/fail - applicants must meet all of the threshold criteria. Only
those proposals that meet all of the threshold criteria will be evaluated against the ranking
criteria. An eligible entity may submit no more than two assessment proposals. (Refer to
Assessment Grant section on page 7).
Threshold Criteria for Assessment Grants
Note: For purposes of the threshold eligibility review, EPA, if necessary, may seek
clarification of applicant information and/or consider information from other sources,
including EPA files.
A. Applicant Eligibility
Describe how you are an eligible entity for the grant for which you are applying. Refer to the
description of applicant eligibility in the section Who Can Apply?. For entities other than cities,
counties, tribes or states, please attach documentation of your eligibility (e.g., resolutions,
statutes, etc.).
B. Community Notification
Community notification must be conducted by or on behalf of the applicant. If conducted by
another entity on behalf of you, the applicant, please demonstrate how you were involved in the
community notification (i.e., you attended the public meeting, you responded to comments, etc).
Describe how the targeted community(ies) was/were notified of the preparation and submission
of this grant proposal. You must clearly demonstrate that a copy(ies) of this grant proposal
has been made available for public review and an opportunity for public comment has been
provided prior to submitting this proposal. This may include putting a notice of availability in
the local newspaper or other widely available/accessible local media asking for public comment;
discussing a brownfields proposal during an open government meeting; holding a public
meeting; notifying affected residents door-to-door. Notifications must be current and related to
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this specific proposal being submitted for consideration. Failure to demonstrate community
notification will result in failure of this proposal. Applicants who are submitting more than one
proposal may opt to have a single community notification. However, all targeted communities
must receive the notification and be provided an opportunity to comment on the proposal(s)
relevant to their community. Please note that the notification is to citizens or members of the
public, not exclusively to government officials. EPA reserves the right to request documentation
of community notification as part of its threshold review of the proposal.
C. Letter from the State or Tribal Environmental Authority
For an applicant other than a state or tribal environmental authority, attach a current letter from
the appropriate state or tribal environmental authority acknowledging that the applicant plans to
conduct assessment activities and is planning to apply for Federal grant funds. Letters
regarding proposals from prior years are not acceptable. If you are applying for multiple
types of grant program activities, you need to submit only one letter acknowledging the relevant
grant activities. However, you must provide the letter as an attachment to EA CH proposal.
Please note that general correspondence and documents evidencing state involvement with the
project (i.e., state enforcement orders or state notice letters) are NOT acceptable. Please provide
advance notice to the appropriate state or tribal environmental authority to allow adequate time to
receive the letter to accompany your proposal.
D. Site Eligibility and Property Ownership Eligibility (Site- Specific Proposals Only)
If you are submitting a community-wide assessment grant proposal, there is no site eligibility and
property ownership eligibility criterion. If you are submitting a site-specific assessment grant
proposal, address the following for the site. If the site does not pass the threshold criteria below,
an applicant may not substitute other sites.
1. Identify a.) the name of the site; b.) the address of the site; c.) whether this site is
contaminated by petroleum or hazardous substances; d.) the operational history and
current uses(s) of the site; and e.) environmental concerns, if known, at the site.
2. 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.
3. Affirm that the site is a.) not listed or proposed for listing on the National Priorities List;
b.) not subject to unilateral administrative orders, court orders, administrative orders on
consent, or judicial consent decrees issued to or entered into by parties under CERCLA;
and c.) Not subject 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.) Please refer to Appendix 3.
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4. Identify whether the site is (a) subject to a CERCLA planned or ongoing removal action;
(b) subject of a unilateral administrative order, a court order, an administrative order on
consent or a judicial consent decree that has been issued to or entered into by the parties,
or a facility to which a permit has been issued by the U.S. or a State under the Solid
Waste Disposal Act (SWDA), the Federal Water Pollution Control Act, the Toxic
Substances Control Act (TSCA), or the Safe Drinking Water Act; (c) subject to corrective
action under the SWDA and has a corrective action permit or order that has been issued
or modified to require the implementation of corrective measures; (d) a land disposal unit
with respect to which a closure notification under subtitle C of the SWDA has been
submitted and closure requirements have been specified in the closure plan or permit; (e)
a portion of a facility at which there has been a release of polychlorinated biphenyls
(PCBs) and that is subject to remediation under TSCA; or (f) a portion of a facility, for
which portion, assistance for response activity has been obtained under subtitle I of the
SWDA from the Leaking Underground Storage Tank Trust Fund established under
section 9508 of the IRS Code of 1986. If the site falls into one of these categories, it will
need a property-specific determination from EPA to be eligible for funding. If so, please
attach the information requested in Appendix 4, Section 4.1.
5. Explain the phase of assessment, if any, that has been completed to date. Provide dates of
the assessment(s).
6. Affirm that you are not potentially liable for contamination at the site under CERCLA
Section 107 (e.g., as a current owner or operator of a facility, an owner or operator of a
facility at the time of disposal of a hazardous substance, a party that arranged for the
treatment or disposal of hazardous substances, or a party that accepted hazardous
substances for transport to disposal or treatment facilities at the site) and explain why.
If the site is a petroleum site, please proceed to question #12. If the site is a hazardous
substance site, please continue responding to the questions in order.
7. Identify a.) who currently owns the site and who currently conducts operations on the site
if different from the owner; b.) when they became owner and/or began their operations;
and c.) from whom the site was acquired.
8. Identify how the site became contaminated or why the site is suspected to be
contaminated and, to the extent possible, describe the nature and extent of the
contamination.
9. Identify known ongoing or anticipated environmental enforcement actions related to the
brownfield site for which funding is sought. Describe any inquiries or orders from
federal, state, or local government entities that the applicant is aware of regarding the
responsibility of any party (including the applicant) for the contamination or hazardous
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waste at the site. The information provided in this section may be verified, and EPA may
conduct an independent review of information related to the applicant's responsibility for
the contamination or hazardous waste at the site.
10. If the site is not owned by the applicant:
a. describe your relationship with the owner;
b. describe the owner's role in the work to be performed; and
c. indicate how you will gain access to the site.
11. If you, the applicant, own the site:
a. describe how you took ownership of the site (e.g., tax foreclosure, purchase,
donation, eminent domain) and date of acquisition;
b. identify whether or not all disposal of hazardous substances at the site occurred
before you acquired the property and whether you caused or contributed to any
release of hazardous substances at the site;
c. describe any inquiry by you or others into the previous ownership, uses of the
property, and environmental conditions prior to taking ownership; describe in
detail:
the types of site assessments performed (e.g., ASTM Phase I or
equivalent);
who performed the assessments and identify his/her qualifications
to perform such work; and
provide the date that each such assessment was performed, state
whether such assessment was performed specifically for you, the
applicant, or if not, the name of the party for whom the assessment
was performed and that party's relationship, if any, to you.
d. describe the uses of the site since your ownership began through the present;
provide a timeline with dates, details of the uses (e.g., the nature of the use), the
names of all current and prior users during the time of your ownership, and your
relationship to the current and prior users;
e. identify any known parties who may be considered potentially liable for the
contamination on the site, and describe any familial, contractual, corporate or
financial relationship that you have with potentially liable parties at the site;
f. describe the appropriate care that you exercised with respect to hazardous
substances found at the facility by taking REASONABLE STEPS to:
stop any continuing releases;
prevent any threatened future release;
prevent or limit exposure to any previously released hazardous
substance
Please note that reasonable steps may include actions such as limiting access to
the property, monitoring known contaminants, and complying with state and/or local
requirements.
g. confirm your commitment to:
comply with all land use restrictions and institutional controls;
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assist and cooperate with those performing the cleanup and to provide
access to the property;
comply with all information requests and administrative subpoenas that
have or may be issued in connection with the property; and
provide all legally required notices.
Applicants that own contaminated land should be aware that achieving and maintaining
landowner liability protections, ensuring eligibility for Brownfield grant funds, and complying
with the terms and conditions on the uses of grant funds at brownfield sites requires that they
meet certain continuing obligations. For example: grantees must comply with land use
restrictions and institutional controls; take reasonable steps with respect to the hazardous
substances on the property; cooperate, assist and allow access to authorized representatives; and
comply with CERCLA information requests and subpoenas and provide legally required notices.
For more information on the obligations of owners of contaminated property, please see EPA's
Common Elements Reference Sheet at
http://www.epa.gov/compliance/resources/policies/cleanup/superfund/common-elem-ref.pdf.
12. Petroleum Sites (Disregard this question, if you do not have a petroleum site.)
The Brownfields Law allows certain sites contaminated with petroleum or petroleum product to
be eligible for brownfields grant funding. Eligibility will be determined by EPA or the state, as
appropriate (See Appendix 3, part 3.3.2 Contamination by Petroleum or Petroleum Product for a
description of the eligibility requirements).
Non-Tribal applicants must provide the information requested below to your state, so that the
state can make the necessary determinations on petroleum site eligibility in Appendix 3, part
3.3.2. Include any response to your request received from your state regarding site eligibility
with this proposal. If you do not receive a written response from your state by the deadline for
filing proposals, please indicate this in your proposal cover letter. (Note: You must provide
EPA with the date you requested your state to make the petroleum site determinations. EPA will
make the petroleum site eligibility determination if a state is unable to do so following a request
from an applicant.) Also in your letter to the State, please request that the State provide
information regarding whether it applied EPA's guidelines in making the petroleum
determination or, if not, what standard it applied.
Tribal applicants must submit the following information with their proposal to EPA. EPA will
make the petroleum site eligibility determinations for Tribes.
Provide the following information to your state and to EPA as appropriate:
a. Identify the current and immediate past owner of the site. For the purposes of
eligibility determinations in these guidelines only, the current owner is the person
who will own the property on June 30, 2006.
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b. Acquisition of Site. Identify when and by what method the current owner
acquired the property (e.g., purchase, tax foreclosure, donation, eminent domain).
c. No Responsible Party for the Site. Identify whether the current and immediate
past owner dispensed or disposed of petroleum or petroleum product, or
exacerbated the existing petroleum contamination at the site, and whether the
current and immediate past owner took reasonable steps (as to "reasonable steps,"
see question 11 .f. above) with regard to the contamination at the site.
d. Cleaned Up by a Person Not Potentially Liable. Identify whether you (the
applicant) dispensed or disposed of petroleum or petroleum product, or
exacerbated the existing petroleum contamination at the site, and whether you
took reasonable steps (as to "reasonable steps," see question 11 .f. above) with
regard to the contamination at the site.
e. Relatively Low Risk. Identify whether the site is of "relatively low risk"
compared to other petroleum or petroleum product-only contaminated sites in the
state in which the site is located, including whether the site is receiving or using
Leaking Underground Storage Tank (LUST) Trust Fund monies.
f. Judgments. Orders, or Third Party Suits. Provide information that no responsible
party (including the applicant) is identified for the site through, either:
(1) a judgment rendered in a court of law or an administrative order that would
require any person to assess, investigate, or clean up the site; or
(2) an enforcement action by federal or state authorities against any party that
would require any person to assess, investigate, or clean up the site; or
(3) a citizen suit, contribution action or other third party claim brought against the
current or immediate past owner, that would, if successful, require the assessment,
investigation, or cleanup of the site.
g. Subject to RCRA. Identify whether the site is subject to any order under section
9003(h) of the Solid Waste Disposal Act.
h. Financial Viability of Responsible Parties. For any current or immediate past
owners identified as responsible for the contamination at the site, provide
information regarding whether they have the financial capability to satisfy their
obligations under federal or state law to assess, investigate or clean up the site.
Note: If no responsible party is identified in (c) or (f) above, then the petroleum-
contaminated site may be eligible for funding. If a responsible party is identified
above, EPA or the state must next determine whether that party is viable. If any
such party is determined to be viable, then the petroleum-contaminated site may
not be eligible for funding.
If you are unable to obtain information on any of the above questions, you must include a
brief explanation of why the information requested above is not available.
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Ranking Criteria for Assessment Grants
Unless noted otherwise, sub-questions/sub-items under each criterion will have equal weight.
For example, for a 10-point criterion with 5 sub-questions, each sub-question will be worth 2
points.
Note that responses for community-wide assessment proposals should address the entire target
community. There is no need to identify potential sites in a community-wide proposal.
A. Assessment Grant Proposal Budget (a maximum of 10 points may be received for this
criterion)
Provide the proposed budget for your proposal, including a detailed description and narrative of
each task. Typical tasks might include "Phase I/n Assessments," "Community Outreach," and
"Cleanup Planning." Budgets that include some site assessment or cleanup planning activities
will be ranked more favorably than those that focus only on inventory or planning activities. The
narrative must provide a basis for the tasks. The budget must show the distribution of funds,
including cost estimates for each of the proposed activities. If you are applying for an assessment
waiver up to $350,000, your budget and tasks must reflect this.
If you plan not to expend federal funds on otherwise eligible activities (e.g., community
involvement, programmatic expenses associated with reporting), please describe these activities
(i.e., in-kind) in the budget narrative and indicate the source(s) of funding.
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 cleanups, local governments may use grant funds (subject
to the 10 percent limit) for other related program development and implementation activities
(e.g., writing local brownfield-related ordinances). Activities planned for the 10 percent category
must be included in a separate budget task.
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Sample Format for Budget
Budget Categories
(programmatic costs only)
Personnel
Fringe Benefits
Travel1
Equipment2
Supplies
Contractual3
Other (specify)
Total
Project Tasks
[Task 1]
[Task 2]
[Task 3]
[Task 4]
Total
1 Travel to brownfi eld-related training conferences is an acceptable use of these grant funds.
2 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. Generally, equipment is not
required for assessment grants.
3 Applicants must comply with the procurement procedures contained in 40 CFR 3 1 .36, or for
non-profits, with 40 CFR 30.40 through 30.48.
B. Community Need (a maximum of 15 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 for the target community 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). Identify the source for this information.
2. Explain how the targeted community will benefit from this grant.
3. Characterize the impact of brownfi elds on your target 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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C. Site Selection Process (a maximum of 6 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. Describe how you will determine that sites selected are eligible
for funding under the statute.
2. Describe possible or previous inventory activities, prioritization efforts, or other
activities.
3. If you anticipate conducting assessment activities on privately owned sites, discuss
possible access issues and how you would resolve the issues.
D. Sustainable Reuse of Brownfields (a maximum of 12 points may be received for this
criterion)
Describe how this grant would support the goals listed below and, specifically, how your plans,
development regulations, policies and/or programs will achieve these goals.
1. prevent pollution and reduce resource consumption (strategies to do so may include green
building, clean energy production, alternative stormwater management, eco-industrial
development, native landscaping, demolition debris and fill reuse and/or others);
2. promote economic benefits (e.g., an expanded tax base, increased investment, job
creation, enhanced property values through adjacent greenspace creation, and/or others);
3. promote a vibrant community characterized by a mix of uses, appropriate density,
transportation/housing choice and walkability (strategies to do so may include smart
growth, new urbanism, linked recreational and park areas, public transportation, bike-to-
work/walk-to-work opportunities, and/or others);
4. reuse existing infrastructure (e.g., existing roads, rail/bus/subway services, buildings,
utility services, sidewalks/pedestrian/bicycle trails, recreational services, landscaping,
neighborhood centers/institutions);
5. prevent future brownfields (through such activities as brownfields inventories, active
communication with operating facilities, preventing land abandonment, and/or others);
6. the extent to which a project is committed to achieving recognized green building and/or
energy efficiency building standards. Examples include Energy Star, U.S. Green
Building Council Leadership in Energy and Environmental Design (LEED) Rating
System, California Collaborative for High Performance Schools, Austin Green Builder
Program or equivalent standards.
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E. Creation and/or Preservation of Greenspace/Open Space or Nonprofit Purpose (a
maximum of 5 points may be received for this criterion)
Describe the extent to which the grant would facilitate the creation of, preservation of, or
addition to a park, greenway, undeveloped property, recreational property, or other property used
for nonprofit purposes. If this grant would result in such creation or addition (e.g., a new or
expanded community park), what specific regulations, policies, or programs, are (or will be) in
place to provide for long-term management and care? If this grant would result in such
preservation (e.g. preserving outlying greenfields by focusing development on brownfields) what
specific regulations, policies, or programs, are (or will be) in place to assure long-term
management, care and preservation?
F. Community Involvement (a maximum of 16 points may be received for this criterion)
EPA requires early community notification and encourages continuing community involvement.
1. Discuss your plan for involving the affected community (e.g., neighborhood
organizations, citizens' groups, borrowers, redevelopers, and other stakeholders) in
cleanup decisions or reuse planning. Describe what community involvement activities, if
any, have already occurred.
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 in your targeted community.
3. Describe your specific plans for communicating the progress of your project(s) to
citizens, including plans for communicating in languages indigenous to the community or
other efforts to reach the targeted community as well as the broader community.
4. Provide a list of the community-based organizations involved in this project 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). Community-based
organizations do not include the local planning department, the local fire department, or
the mayor's office.
Note: EPA may conduct reference checks to ensure that organizations identified are supportive
and involved with the brownfields project.
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G. 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 you are working with your state or tribal environmental authority and/or
local public health department to ensure protectiveness of human health and the
environment, and to ensure the consideration of public health issues, during both the
cleanup and the redevelopment process as well as in the monitoring and maintenance of
engineering controls. Include a brief discussion of relevant state/tribal response program
(or "Voluntary Cleanup Program") processes, where applicable.
H. Leveraging of Additional Resources (a maximum of 10 points may be received for this
criterion)
1. Identify the funds (e.g., general revenues, Tax Increment Financing (TIP), staff time/in-
kind) that your agency/organization has committed or will commit to meet the assessment
needs not met through this grant, e.g., additional stages of assessment, etc.
2. Demonstrate your ability to leverage funds. Describe all other funding sources (e.g.,
federal, state, nonprofit, or private) that will be committed or that you are pursuing to fill
in any remaining funding gaps to ensure the success of this project.
I. Programmatic Capability (a maximum of 15 points may be received for this criterion; not
all sub-questions are of equal weight for this criterion)
1. Demonstrate your ability to manage this grant and successfully perform all phases of
work under this grant, and, if applicable, describe the system(s) you have in place to
acquire the requisite expertise necessary to successfully perform the grant. (7 points)
2. Describe your history of managing federal funds. 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. Note: If you have not previously managed federal funds, you will
receive a neutral score for this factor. (2 points)
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3. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
provide information regarding your compliance with quarterly progress reports,
brownfields reporting measures, and annual financial status reporting. (2 points)
4. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
indicate the year of award and the amount of funds remaining. (2 points)
5. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
highlight significant accomplishments generated through the use of the funds. (2 points)
Those applicants who are not, or have not been, a recipient of an EPA Brownfields cooperative
agreement will receive a neutral score for items 3, 4, and 5 (e.g., a total of 3/6 points).
Revolving Loan Fund Criteria
Proposals for revolving loan fund grant funding will be evaluated against the threshold and
ranking criteria set forth below. Applicants must provide information in their proposal
addressing these criteria. Threshold criteria are pass/fail - applicants must meet all of the
threshold criteria. Only those proposals that meet all of the threshold criteria will be evaluated
against the ranking criteria. An eligible entity (or coalition of eligible entities) may submit only
ONE revolving loan fund proposal. The proposal can be for hazardous substance funding;
petroleum funding; or a combination of both (but it cannot exceed the funding limitations for
RLF grants).
Note: For FY 2006, EPA has made a policy decision to not award RLF grants on a site-specific
basis. Applicants may provide (an) example(s) of sites that may be targeted through their
proposed RLF program, however site eligibility issues will be dealt with as a matter of grants
administration.
Threshold Criteria for RLF Grants
Note: For purposes of the threshold eligibility review, EPA, if necessary, may seek
clarification of applicant information and/or consider information from other sources,
including EPA files.
A. Applicant Eligibility
Describe how you are an eligible entity for the grant for which you are applying. Refer to the
description of applicant eligibility in the section Who Can Apply?. For entities other than cities,
counties, tribes or states, please attach documentation of your eligibility (e.g., resolutions,
statutes, etc.).
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Note: Coalition applicants for RLF grants must document how all coalition members are
eligible entities. All coalition members must submit a letter in which they agree to be
part of the coalition.
B. Description of Jurisdiction
For 2006, EPA will only award RLF grants on a community-wide and jurisdiction-wide basis.
This allows for the use of grant funds throughout the jurisdiction, as defined by the applicant in
its proposal. This does not preclude applicants from targeting specific communities or areas
within the jurisdiction in their marketing, outreach, and cleanup activities. Applicants must
provide a description of the boundaries of their jurisdiction, e.g., "the city limits of The City of
ABC."
C. Community Notification
Community notification must be conducted by or on behalf of the applicant. If conducted by
another entity on behalf of you, the applicant, please demonstrate how you were involved in the
community notification (i.e., you attended the public meeting, you responded to comments, etc).
Describe how the targeted community(ies) was/were notified of the preparation and submission
of this grant proposal. You must clearly demonstrate that a copy(ies) of this grant proposal
has been made available for public review and an opportunity for public comment has been
provided prior to submitting this proposal. This may include putting a notice of availability in
the local newspaper or other widely available/accessible local media asking for public comment;
discussing a brownfields proposal during an open government meeting; holding a public
meeting; notifying affected residents door-to-door. Notifications must be current and related to
this specific proposal being submitted for consideration. Failure to demonstrate community
notification will result in failure of this proposal. Applicants who are submitting more than one
proposal may opt to have a single community notification. However, all targeted communities
must receive the notification and be provided an opportunity to comment on the proposal(s)
relevant to their community. Please note that the notification is to citizens or members of the
public, not exclusively to government officials. EPA reserves the right to request documentation
of community notification as part of its threshold review of the proposal.
D. Letter from the State or Tribal Environmental Authority
For an applicant other than a state or tribal environmental authority, attach a current letter from
the appropriate state or tribal environmental authority acknowledging that the applicant plans to
establish a revolving loan fund and conduct cleanup activities and is planning to apply for
Federal grant funds. Letters regarding proposals from prior years are not acceptable. If you
are applying for multiple types of grant program activities, you need to submit only one letter
acknowledging the relevant grant activities. However, you must provide the letter as an
attachment to EACHproposal. Please note that general correspondence and documents
evidencing state involvement with the project (i.e., state enforcement orders or state notice
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letters) are NOT acceptable. Please provide advance notice to the appropriate state or tribal
environmental authority to allow adequate time to receive the letter to accompany your proposal.
E. Cleanup Authority and Oversight Structure
Please note that you will be required to comply with all applicable Federal and State laws; and
ensure that the cleanup protects human health and the environment.
1. Describe how you will oversee cleanup at sites. Indicate whether you plan to require loan
or subgrant recipients to enroll in a state or tribal response program. If you do not plan to
require loan or subgrant recipients to enroll in a state or tribal response program, or an
appropriate state or tribal response program is not available, you will be required to
consult with U.S. EPA to ensure cleanups are protective of human health and the
environment. Therefore, if you do not plan to require loan or subgrant recipients to enroll
in a state or tribal response program, provide a description of the technical expertise you
have to conduct, manage, and oversee 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 the competitive procurement provisions of 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.
Note: For coalitions, the applicant must have the broader jurisdiction, authority and program
capacity to ensure adequate program performance of coalition members, borrowers, and/or
subgrantees, if warranted.
F. Cost Share
RLF grant recipients are required by the 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,
2Applicants for an RLF grant may use fees from borrowers, interest on loans, 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. Recipients of RLF grants may not use repayments of loan principal to meet the cost
share requirement.
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material, or services from a non-federal source. If the cost share is in the form of a contribution
of labor, material, or other services, it must be incurred for an eligible and allowable expense
under the grant and not for ineligible expenses, such as administrative costs (see Appendix 2 for a
discussion of prohibited costs).
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
severe short-term or long-term changes in economic conditions.
Describe your plans for providing the cost share, including the sources of the funding or services,
as required for this RLF grant. 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.
G. Legal Authority to Manage a Revolving Loan Fund
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. Applicant must attach a legal
opinion.
Ranking Criteria for RLF Grants
Unless noted otherwise, sub-questions/sub-items under each criterion will have equal weight.
For example, for a 10-point criterion with 5 sub-questions, each sub-question will be worth 2
points.
A. RLF Grant Proposal Budget (a maximum of 10 points may be received for this criterion)
Provide the proposed budget for your proposal, including a detailed description and narrative of
each task. Typical tasks might include "Community Involvement," "Establishing the Revolving
Fund," "Marketing the Revolving Fund," "Operating the Revolving Fund," "Cleanup Planning,"
and "Overseeing Site Cleanup." The narrative must provide a basis for the tasks. The budget
also must reflect your cost share. The budget must show the distribution of funds, including cost
estimates for each of the proposed activities. Please note that the sample budget below provides
for separate budgets for loans and subgrants. An RLF grant recipient may not make a cleanup
subgrant that exceeds $200,000 per site.
As mentioned previously on page 10, an RLF grant recipient must use at least 60 percent of the
awarded funds to capitalize and implement a revolving loan fund. An RLF grant recipient also
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may use its funds to award subgrants to other eligible entities, including nonprofit organizations,
for brownfields cleanups on sites owned by the subgrantee; 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. An RLF grant recipient may not make a cleanup subgrant that exceeds $200,000 per site.
In the case of a coalition, the RLF grant recipient may subgrant to other coalition members.
Unlike loans, cleanup subgrants do not require repayment. An RLF grant recipient may also use
the funds to guarantee, in whole or part, loans made by third-party lenders for eligible cleanup.
If your proposal is requesting both hazardous substance and petroleum funding, please provide
two separate budgets to reflect the amount of hazardous substance and petroleum funding and the
tasks associated with the funding.
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 cleanups, local governments may use grant funds (subject
to the 10 percent limit) for other related program development and implementation activities
(e.g., writing local brownfield-related ordinances). Activities planned for the 10 percent category
must be included in a separate budget task.
Sample Format for Budget
Budget Categories
(programmatic costs only)
Personnel
Fringe Benefits
Travel1
Equipment2
Supplies
Contractual3
Loans
Other (specify)
Subtotal:
Project Tasks for Loans (at least 60 percent of amount
requested)
[Task 1]
[Task 2]
[Task 3]
[Task 4]
Total
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Budget Categories
(programmatic costs only)
Personnel
Fringe Benefits
Travel1
Equipment 2
Supplies
Contractual 3
Subgrants
Other (specify)
Subtotal:
Total
Cost Share
Project Tasks for Subgrants (no more than 40 percent of
amount requested)
[Task 1]
[Task 2]
[Task 3]
[Task 4]
Total
1 Travel to brownfi eld-related training conferences is an acceptable use of these grant funds.
2 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. Generally, equipment is not
required for RLF grants.
3 Applicants must comply with the procurement procedures contained in 40 CFR 3 1 .36, or for
non-profits, with 40 CFR 30.40 through 30.48.
B. Community Need (a maximum of 15 points may be received for this criterion)
1. Provide a detailed description of the target community (or communities) that the RLF
program will benefit. Include demographic information for the target community 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 RLF program (e.g., low-income and/or minority
communities; sensitive populations, such as children and pregnant women; or
communities disproportionately impacted by environmental factors). Identify the source
for this information.
Note: Applicants may target a specific community (or communities) within their
jurisdiction. EPA will award RLF grants on a jurisdiction-wide basis.
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2. Explain how the targeted community will benefit from this grant.
3. Characterize the impact of brownfields on your targeted 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.
C. Business Plan for RLF Program (a maximum of 24 points may be received for this
criterion)
1. Describe your business concept and the main loan/subgrant product(s) you will offer
borrowers/subgrantees. Include loan structure; interest and repayment rates; a 5- and 10-
year timeline for loans and subgrants; complimentary products/services you or a partner
will offer; program incentives, e.g., EZ, EC, or RC benefits, tax credits, Tax Increment
Financing (TIP); and how the balance of projected loans and subgrants will promote the
long-term availability (including the ability to revolve) of the RLF.
2. Present your market analysis, including your target market. Detail the types of borrowers
and subgrantees (e.g., small businesses, developers, nonprofits, local governments), and
the territory (e.g. particular distressed neighborhoods, industrial corridors) and/or types of
sites (e.g. abandoned gas stations, industrial properties, sites enrolled in an existing local
land recycling program) you plan to reach.
Note: Applicants may target a specific market. EPA will award RLF grants on a
jurisdiction-wide basis.
3. Describe your process for selecting projects, including sites, and borrowers and/or
subgrantees. Include how you will develop criteria for project selection, and how you
will ensure that site, subgrantee and borrower eligibility determinations are made in
accordance with the Brownfields Law. If you plan to award subgrants under the RLF,
describe how you will take the following into consideration3 4:
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
3RLF cooperative agreement recipients must take these into consideration when awarding
a subgrant.
4 Applicants should not address these criteria if they do not plan to award subgrants, this
will not affect an applicant's score under this section.
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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. Present both the management and operational teams that will oversee and implement all
phases of work under this grant, including fund management and environmental cleanup
responsibilities. Include information on the qualifications of staff and institutions the
applicant may use for environmental, financial, analytical, legal, and record keeping
activities to ensure both the safety of cleanups and the use of prudent lending practices.
D. Sustainable Reuse of Brownfields (a maximum of 12 points may be received for this
criterion)
Describe how this grant would support the goals listed below and, specifically, how your plans,
development regulations, policies and/or programs will achieve these goals.
1. prevent pollution and reduce resource consumption (strategies to do so may include green
building, clean energy production, alternative stormwater management, eco-industrial
development, native landscaping, demolition debris and fill reuse and/or others);
2. promote economic benefits (e.g., an expanded tax base, increased investment, job
creation, enhanced property values through adjacent greenspace creation, and/or others);
3. promote a vibrant community characterized by a mix of uses, appropriate density,
transportation/housing choice and walkability (strategies to do so may include smart
growth, new urbanism, linked recreational and park areas, public transportation, bike-to-
work/walk-to-work opportunities, and/or others);
4. reuse existing infrastructure (e.g., existing roads, rail/bus/subway services, buildings,
utility services, sidewalks/pedestrian/bicycle trails, recreational services, landscaping,
neighborhood centers/institutions);
5. prevent future brownfields (through such activities as brownfields inventories, active
communication with operating facilities, preventing land abandonment, and/or others);
6. the extent to which a project is committed to achieving recognized green building and/or
energy efficiency building standards. Examples include Energy Star, U.S. Green
Building Council Leadership in Energy and Environmental Design (LEED) Rating
System, California Collaborative for High Performance Schools, Austin Green Builder
Program or equivalent standards.
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E. Creation and/or Preservation of Greenspace/Open Space or Nonprofit Purpose (a
maximum of 5 points may be received for this criterion)
Describe the extent to which the grant would facilitate the creation of, preservation of, or
addition to a park, greenway, undeveloped property, recreational property, or other property used
for nonprofit purposes. If this grant would result in such creation or addition (e.g., a new or
expanded community park), what specific regulations, policies, or programs, are (or will be) in
place to provide for long-term management and care? If this grant would result in such
preservation (e.g. preserving outlying greenfields by focusing development on brownfields) what
specific regulations, policies, or programs, are (or will be) in place to assure long-term
management, care and preservation?
F. Community Involvement (a maximum of 16 points may be received for this criterion)
EPA requires early community notification and encourages continuing community involvement.
1. Discuss your plan for involving affected communities (e.g., neighborhood organizations,
citizens' groups, borrowers, nonprofits, developers, and other stakeholders) in cleanup
decisions or reuse planning. Describe what community involvement activities, if any,
have already occurred.
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 in your targeted community.
3. Describe your specific plans for communicating the progress of your project(s) to
citizens, including plans for communicating in languages indigenous to the community or
other efforts to reach the targeted community as well as the broader community.
4. Provide a list of the community-based organizations involved in this project 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). Community-based
organizations do not include the local planning department, the local fire department, or
the mayor's office.
Note: EPA may conduct reference checks to ensure that organizations identified are supportive
and involved with the brownfields project.
G. Reduction of Threats to Human Health and the Environment (a maximum of 21 points
may be received for this criterion)
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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 you are working with your state or tribal environmental authority and/or
local public health department to ensure protectiveness of human health and the
environment, and to ensure the consideration of public health issues, during both the
cleanup and the redevelopment process as well as in the monitoring and maintenance of
engineering controls. Include a brief discussion of relevant state/tribal response program
(or "Voluntary Cleanup Program") processes, where applicable.
3. Describe your process and capacity to communicate the requirements of applicable
federal and/or state/tribal laws/programs to borrowers and/or subgrantees.
H. Leveraging of Additional Resources (a maximum of 12 points may be received for this
criterion)
1. Successful management of an RLF program requires a dedicated project manager and
staff; in many cases, at least 50% of a single staff person's time is required for the first
several years. Explain how you will meet this need.
2. Identify the funds (e.g., general revenues, Tax Increment Financing (TIP), staff time/in-
kind) that your agency/organization has committed or will commit to meet
cleanup/redevelopment needs not met through this grant, e.g., additional stages of
cleanup, infrastructure upgrades, etc. If you are applying as a coalition, describe the
resources (i.e., funding, services, expertise) that the coalition members are contributing as
part of the coalition.
3. Demonstrate your ability to leverage funds. Describe all other funding sources (e.g.,
federal, state, nonprofit, or private) that will be committed or that you are pursuing to fill
in any remaining funding gaps to ensure the success of cleanup projects under your RLF
program.
I. Programmatic Capability/Management Structure (a maximum of 15 points may be
received for this criterion; not all sub-questions are of equal weight for this criterion)
1. Demonstrate your ability to manage this grant and successfully perform all phases of
work under this grant, and, if applicable, describe the system(s) you have in place to
acquire the requisite expertise necessary to successfully perform the grant. If you plan to
acquire any fund management or environmental expertise, describe the relationship
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between the potential cooperative agreement recipient and the institution or individual
and the type of agreement (e.g., contract5 or subgrant6) that is planned. (7 points)
2. Describe your history of managing federal funds. 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. Note: If you have not previously managed federal funds, you will
receive a neutral score for this factor. (2 points)
3. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
provide information regarding your compliance with quarterly progress reports,
brownfields reporting measures, and annual financial status reporting. (2 points)
4. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
indicate the year of award and the amount of funds remaining. (2 points)
5. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
highlight significant accomplishments generated through the use of the funds. (2 points)
Those applicants who are not, or have not been, a recipient of an EPA Brownfields cooperative
agreement will receive a neutral score for items 3, 4, and 5 (e.g., a total of 3/6 points).
Cleanup Grant Criteria
Proposals for cleanup grant funding will be evaluated against the threshold and ranking criteria
set forth below. Applicants must provide information in their proposal addressing these criteria.
Threshold criteria are pass/fail - applicants must meet all of the threshold criteria. Only those
proposals that meet all of the threshold criteria will be evaluated against the ranking criteria.
5Note, 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 sub grants 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.
6Note, cooperative agreement recipients cannot award subgrants to for-profit
organizations.
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Note: An eligible entity may apply for up to $200,000 per site. Due to budget limitations, no
entity may apply for cleanup funding at more than five (5) sites. In the event that an applicant
submits more proposals than allowed, EPA will clarify with the applicant which proposal(s)
must be withdrawn from the grant competition. Applicants must submit a separate proposal for
each site. Each proposal will be evaluated separately and funding decisions will be independent
for each site. If EPA determines that the threshold criteria for the site are not met, the applicant
cannot substitute other sites. If an applicant elects to submit a proposal for both hazardous
substance and petroleum funding for the same site, the funding amount cannot exceed the
$200,000 site limit.
Threshold Criteria for Cleanup Grants
Note: For purposes of the threshold eligibility review, EPA, if necessary, may seek
clarification of applicant information and/or consider information from other sources,
including EPA files.
A. Applicant Eligibility
Describe how you are an eligible entity for the grant for which you are applying. Refer to the
description of applicant eligibility in the section Who Can Apply?. For entities other than cities,
counties, tribes or states, please attach documentation of your eligibility (e.g., resolutions,
statutes, etc.). If you are a non-profit organization, you must provide documentation, as an
attachment to this proposal, indicating non-profit status.
Note: In order to receive a cleanup grant, the applicant must be the sole owner of the
property that is the subject of its cleanup grant proposal by June 30, 2006. An applicant
who is not the sole owner of the subject property at time of proposal submission must
achieve sole ownership by June 30, 2006, to be eligible for funding. For the purposes of
eligibility determinations in these guidelines only, the term "own " means fee simple title.
The grantee must maintain such sole ownership until all of the cleanup work funded by
the grant has been completed. EPA reserves the right to request documentation of
ownership as part of its threshold review of the proposal.
B. Community Notification
Community notification must be conducted by or on behalf of the applicant. If conducted by
another entity on behalf of you, the applicant, please demonstrate how you were involved in the
community notification (i.e., you attended the public meeting, you responded to comments, etc).
Describe how the targeted community(ies) was/were notified of the preparation and submission
of this grant proposal. You must clearly demonstrate that a copy(ies) of this grant proposal
has been made available for public review and an opportunity for public comment has been
provided prior to submitting this proposal. This may include putting a notice of availability in
the local newspaper or other widely available/accessible local media asking for public comment;
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discussing a brownfields proposal during an open government meeting; holding a public
meeting; notifying affected residents door-to-door. Notifications must be current and related to
this specific proposal being submitted for consideration. Failure to demonstrate community
notification will result in failure of this proposal. Applicants who are submitting more than one
proposal may opt to have a single community notification. However, all targeted communities
must receive the notification and be provided an opportunity to comment on the proposal(s)
relevant to their community. Please note that the notification is to citizens or members of the
public, not exclusively to government officials. EPA reserves the right to request documentation
of community notification as part of its threshold review of the proposal.
C. Letter from the State or Tribal Environmental Authority
For an applicant other than a state or tribal environmental authority, attach a current letter from
the appropriate state or tribal environmental authority acknowledging that the applicant plans to
conduct cleanup activities and is planning to apply for Federal grant funds. Letters regarding
proposals from prior years are not acceptable. If you are applying for multiple types of grant
program activities, you need to submit only one letter acknowledging the relevant grant activities.
However, you must provide the letter as an attachment to EA CHproposal. Please note that
general correspondence and documents evidencing state involvement with the project (i.e., state
enforcement orders or state notice letters) are NOT acceptable. Please provide advance notice to
the appropriate state or tribal environmental authority to allow adequate time to receive the letter
to accompany your proposal.
D. Site Eligibility and Property Ownership Eligibility
For the site, provide the following:
1. Identify a.) the name of the site; b.) the address of the site; c.) whether this site is
contaminated by petroleum or hazardous substances; d.) the operational history and
current uses(s) of the site; and e.) environmental concerns, if known, at the site.
2. Affirm that the site is a.) not listed or proposed for listing on the National Priorities List;
b.) not subject to unilateral administrative orders, court orders, administrative orders on
consent, or judicial consent decrees issued to or entered into by parties under CERCLA;
and c.) Not subject 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.) Please refer to Appendix 3.
3. Identify whether the site is (a) subject to a CERCLA planned or ongoing removal action;
(b) subject of a unilateral administrative order, a court order, an administrative order on
consent or a judicial consent decree that has been issued to or entered into by the parties,
or a facility to which a permit has been issued by the U.S. or a State under the Solid
Waste Disposal Act (SWDA), the Federal Water Pollution Control Act, the Toxic
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Substances Control Act (TSCA), or the Safe Drinking Water Act; (c) subject to corrective
action under the SWDA and has a corrective action permit or order that has been issued
or modified to require the implementation of corrective measures; (d) a land disposal unit
with respect to which a closure notification under subtitle C of the SWDA has been
submitted and closure requirements have been specified in the closure plan or permit; (e)
a portion of a facility at which there has been a release of polychlorinated biphenyls
(PCBs) and that is subject to remediation under TSCA; or (f) a portion of a facility, for
which portion, assistance for response activity has been obtained under subtitle I of the
SWDA from the Leaking Underground Storage Tank Trust Fund established under
section 9508 of the IRS Code of 1986. If the site falls into one of these categories, it will
need a property-specific determination from EPA to be eligible for funding. If so, please
attach the information requested in Appendix 4, Section 4.1.
4. Identify how the site became contaminated and, to the extent possible, describe the nature
and extent of the contamination.
5. Explain the phase of assessment that has been completed to date. A written ASTM or
equivalent Phase I report must be completed and a minimum of an ASTM or equivalent
Phase II site assessment must be underway or completed prior to proposal submission.
Provide the date of the site assessment(s). If additional assessment work is needed,
please explain:
a. How much assessment is remaining?
b. What is the estimated cost of the remaining assessment?
c. What is the source of funds to pay for the remaining assessment?
d. What is the schedule for completing the assessment?
6. Affirm that you are not potentially liable for contamination at the site under CERCLA
Section 107 (e.g., as a current owner or operator of a facility, an owner or operator of a
facility at the time of disposal of a hazardous substance, a party that arranged for the
treatment or disposal of hazardous substances, or a party that accepted hazardous
substances for transport to disposal or treatment facilities at the site) and explain why.
If the site is a petroleum site, please proceed to question #9. If the site is a hazardous
substance site, please continue responding to the questions in order.
7. Identify known ongoing or anticipated environmental enforcement actions related to the
brownfield site for which funding is sought. Describe any inquiries or orders from
federal, state, or local government entities that the applicant is aware of regarding the
responsibility of any party (including the applicant) for the contamination or hazardous
waste at the site. The information provided in this section may be verified, and EPA may
conduct an independent review of information related to the applicant's responsibility for
the contamination at the site.
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8. a. Describe how you took sole ownership of the site (e.g., tax foreclosure, purchase,
donation, eminent domain) and date of acquisition. If you have not yet taken
ownership of the site, describe how you will take sole ownership of the site by the
time of application or no later than June 30, 2006;
b. identify whether or not all disposal of hazardous substances at the site occurred
before you acquired (or will acquire) the property and whether you caused or
contributed to any release of hazardous substances at the site;
c. describe any inquiry by you or others into the previous ownership, uses of the
property, and environmental conditions prior to taking ownership; describe in
detail:
the types of site assessments performed (e.g., ASTM Phase I or
equivalent);
who performed the assessments and identify his/her qualifications
to perform such work; and
provide the date that each such assessment was performed, state
whether such assessment was performed specifically for you, the
applicant, or if not, the name of the party for whom the assessment
was performed and that party's relationship, if any, to you.
d. describe the uses of the site since your ownership began (or the uses that you
anticipate once you acquire the property) through the present; provide a timeline
with dates, details of the uses (e.g., the nature of the use), the names of all current
and prior users during the time of your ownership, and your relationship to the
current and prior users;
e. identify any known parties who may be considered potentially liable for the
contamination on the site, and describe any familial, contractual, corporate or
financial relationship that you have with potentially liable parties at the site;
f. describe the appropriate care that you exercised (or if you've yet to acquire the
property, that you will exercise upon acquiring the property) with respect to
hazardous substances found at the facility by taking REASONABLE STEPS to:
stop any continuing releases;
prevent any threatened future release;
prevent or limit exposure to any previously released hazardous
substance.
Please note that reasonable steps may include actions such as limiting access to
the property, monitoring known contaminants, and complying with state and/or local
requirements.
g. confirm your commitment to:
comply with all land use restrictions and institutional controls;
assist and cooperate with those performing the cleanup and to provide
access to the property;
comply with all information requests and administrative subpoenas that
have or may be issued in connection with the property; and
provide all legally required notices.
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Applicants that own contaminated land should be aware that achieving and maintaining
landowner liability protections, ensuring eligibility for Brownfield grant funds, and complying
with the terms and conditions on the uses of grant funds at brownfield sites requires that they
meet certain continuing obligations. For example: grantees must comply with land use
restrictions and institutional controls; take reasonable steps with respect to the hazardous
substances on the property; cooperate, assist and allow access to authorized representatives; and
comply with CERCLA information requests and subpoenas and provide legally required notices.
For more information on the obligations of owners of contaminated property, please see EPA's
Common Elements Reference Sheet at
http://www.epa.gov/compliance/resources/policies/cleanup/superfund/common-elem-ref.pdf.
9. Petroleum Sites (Disregard this question, if you do not have a petroleum site.)
The Brownfields Law allows certain sites contaminated with petroleum or petroleum product to
be eligible for brownfields grant funding. Eligibility will be determined by EPA or the state, as
appropriate (See Appendix 3, part 3.3.2 Contamination by Petroleum or Petroleum Product for a
description of the eligibility requirements).
Non-Tribal applicants must provide the information requested below to your state, so that the
state can make the necessary determinations on petroleum site eligibility in Appendix 3, part
3.3.2. Include any response to your request received from your state regarding site eligibility
with this proposal. If you do not receive a written response from your state by the deadline for
filing proposals, please indicate this in your proposal cover letter. (Note: You must provide
EPA with the date you requested your state to make the petroleum site determinations. EPA will
make the petroleum site eligibility determination if a state is unable to do so following a request
from an applicant.) Also in your letter to the State, please request that the State provide
information regarding whether it applied EPA's guidelines in making the petroleum
determination or, if not, what standard it applied.
Tribal applicants must submit the following information with their proposal to EPA. EPA will
make the petroleum site eligibility determinations for Tribes.
Provide the following information to your state and to EPA:
a. Identify the current and immediate past owner of the site. For purposes of
eligibility determinations in these guidelines only, the current owner is the entity
that will own the site on June 30, 2006. For cleanup grants, this must be the
applicant.
b. Acquisition of Site. Identify when and by what method the current owner
acquired the property (e.g., purchase, tax foreclosure, donation, eminent domain).
c. No Responsible Party for the Site. Identify whether the current and immediate
past owner dispensed or disposed of petroleum or petroleum product, or
exacerbated the existing petroleum contamination at the site, and whether the
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current and immediate past owner took reasonable steps with regard to the
contamination at the site.
d. Cleaned Up by a Person Not Potentially Liable. Identify whether you (the
applicant) dispensed or disposed of petroleum or petroleum product, or
exacerbated the existing petroleum contamination at the site, and whether you
took reasonable steps with regard to the contamination at the site.
e. Relatively Low Risk. Identify whether the site is of "relatively low risk"
compared to other petroleum or petroleum product-only contaminated sites in the
state in which the site is located, including whether the site is receiving or using
Leaking Underground Storage Tank (LUST) Trust Fund monies.
f. Judgments. Orders, or Third Party Suits. Provide information that no responsible
party (including the applicant) is identified for the site through, either:
(1) a judgment rendered in a court of law or an administrative order that would
require any person to assess, investigate, or clean up the site; or
(2) an enforcement action by federal or state authorities against any party that
would require any person to assess, investigate, or clean up the site; or
(3) a citizen suit, contribution action or other third party claim brought against the
current or immediate past owner, that would, if successful, require the assessment,
investigation, or cleanup of the site.
g. Subject to RCRA. Identify whether the site is subject to any order under section
9003(h) of the Solid Waste Disposal Act.
h. Financial Viability of Responsible Parties. For any current or immediate past
owners identified as responsible for the contamination at the site, provide
information regarding whether they have the financial capability to satisfy their
obligations under federal or state law to assess, investigate or clean up the site.
Note: If no responsible party is identified in (c) or (f) above, then the petroleum-
contaminated site may be eligible for funding. If a responsible party is identified
above, EPA or the state must next determine whether that party is viable. If any
such party is determined to be viable, then the petroleum-contaminated site may
not be eligible for funding.
If you are unable to obtain information on any of the above questions, you must include a
brief explanation of why the information requested above is not available.
E. Cleanup Authority and Oversight Structure
Please note that you will be required to comply with all applicable Federal and State laws; and
ensure that the cleanup protects human health and the environment.
1. Describe how you will oversee the cleanup at the site. Indicate whether you plan to enroll
in a state or tribal response program. If you do not plan to enroll in a state or tribal
response program, or an appropriate state or tribal response program is not available, you
will be required to consult with U.S. EPA to ensure cleanups are protective of human
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health and the environment. Therefore, if you do not plan to enroll in a state or tribal
response program, provide a description of the technical expertise you have to conduct,
manage, and oversee 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 the competitive procurement provisions of 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 adjacent 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.
F. Cost Share
Cleanup grant recipients are required by the 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 $200,000 of federal cleanup funds, you must provide a cost
share of an additional $40,000. 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 a
contribution of labor, material, or other services, it must be incurred for an eligible and
allowable expense under the grant and not for ineligible expenses, such as administrative costs
(see Appendix 2 for a discussion of prohibited costs).
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.
Describe your plans for providing the cost share, including the sources of the funding or services,
as required for this cleanup grant. 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.
Ranking Criteria for Cleanup Grants
Unless noted otherwise, sub-questions/sub-items under each criterion will have equal weight.
For example, for a 10-point criterion with 5 sub-questions, each sub-question will be worth 2
points.
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A. Cleanup Grant Budget (a maximum of 10 points may be received for this criterion)
Provide the proposed budget(s) for your proposal, including a detailed description and narrative
of each task. Typical tasks might include "Community Involvement," "Site Cleanup," and
"Cleanup Planning." The narrative must provide a basis for the tasks. The budget also must
reflect your cost share. The budget(s) must show the distribution of funds, including cost
estimates for each of the proposed activities.
If your proposal is requesting both hazardous substance and petroleum funding, please provide
two separate budgets to reflect the amount of hazardous substance and petroleum funding and the
tasks associated with the funding.
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 cleanups, local governments may use grant funds (subject
to the 10 percent limit) for other related program development and implementation activities
(e.g., writing local brownfield-related ordinances). Activities planned for the 10 percent category
must be included in a separate budget task.
Sample Format for Budget
Budget Categories
(programmatic costs only)
Personnel
Fringe Benefits
Travel1
Equipment 2
Supplies
Contractual3
Other (specify)
Total
Cost Share
Project Tasks
[Task 1]
[Task 2]
[Task 3]
[Task 4]
Total
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1 Travel to brownfield-related training conferences is an acceptable use of these grant funds.
2 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.
3 Applicants must comply with the procurement procedures contained in 40 CFR 31.36, or for
non-profits, with 40 CFR 30.40 through 30.48.
B. Community Need (a maximum of 15 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 for the target community 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). Identify the source for this information.
2. Explain how the targeted community will benefit from this grant.
3. Characterize the impact of brownfi elds on your targeted 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.
C. Sustainable Reuse of Brownfields (a maximum of 12 points may be received for this
criterion)
Describe how this grant would support the goals listed below and, specifically, how your plans,
development regulations, policies and/or programs will achieve these goals.
1. prevent pollution and reduce resource consumption (strategies to do so may include green
building, clean energy production, alternative stormwater management, eco-industrial
development, native landscaping, demolition debris and fill reuse and/or others);
2. promote economic benefits (e.g., an expanded tax base, increased investment, job
creation, enhanced property values through adjacent greenspace creation, and/or others);
3. promote a vibrant community characterized by a mix of uses, appropriate density,
transportation/housing choice and walkability (strategies to do so may include smart
growth, new urbanism, linked recreational and park areas, public transportation, bike-to-
work/walk-to-work opportunities, and/or others);
4. reuse existing infrastructure (e.g., existing roads, rail/bus/subway services, buildings,
utility services, sidewalks/pedestrian/bicycle trails, recreational services, landscaping,
neighborhood centers/institutions);
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5. prevent future brownfields (through such activities as brownfields inventories, active
communication with operating facilities, preventing land abandonment, and/or others);
6. the extent to which a project is committed to achieving recognized green building and/or
energy efficiency building standards. Examples include Energy Star, U.S. Green
Building Council Leadership in Energy and Environmental Design (LEED) Rating
System, California Collaborative for High Performance Schools, Austin Green Builder
Program or equivalent standards.
D. Creation and/or Preservation of Greenspace/Open Space or Nonprofit Purpose (a
maximum of 5 points may be received for this criterion)
Describe the extent to which the grant would facilitate the creation of, preservation of, or
addition to a park, greenway, undeveloped property, recreational property, or other property used
for nonprofit purposes. If this grant would result in such creation or addition (e.g., a new or
expanded community park), what specific regulations, policies, or programs, are (or will be) in
place to provide for long-term management and care? If this grant would result in such
preservation (e.g. preserving outlying greenfields by focusing development on brownfields) what
specific regulations, policies, or programs, are (or will be) in place to assure long-term
management, care and preservation?
E. Community Involvement (a maximum of 16 points may be received for this criterion)
EPA requires early community notification and encourages continuing community involvement.
1. Discuss your plan for involving the affected community (e.g., neighborhood
organizations, citizens' groups, borrowers, redevelopers, and other stakeholders) in
cleanup decisions and reuse planning for the site, including making cleanup-related
documents available to the public and soliciting public comment on the analysis of
cleanup alternatives. Describe what community involvement activities, if any, have
already occurred.
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 in your targeted community.
3. Describe your specific plans for communicating the progress of your project to citizens,
including plans for communicating in languages indigenous to the community or other
efforts to reach the targeted community as well as the broader community.
4. Provide a list of the community-based organizations involved in this project 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
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groups, environmental organizations, civic organizations, local business groups and
institutions, educational institutions, and local labor organizations). Community-based
organizations do not include the local planning department, the local fire department, or
the mayor's office.
Note: EPA may conduct reference checks to ensure that organizations identified are supportive
and involved with the brownfields project.
F. Reduction of Threats to Human Health and the Environment (a maximum of 21 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 you are working with your state or tribal environmental authority and/or
local public health department to ensure protectiveness of human health and the
environment, and to ensure the consideration of public health issues, during both the
cleanup and the redevelopment process as well as in the monitoring and maintenance of
engineering controls. Include a brief discussion of relevant state/tribal response program
(or "Voluntary Cleanup Program") processes, where applicable.
3. Describe the proposed cleanup plan for the site and the estimated costs to complete the
cleanup.
G. Leveraging of Additional Resources (a maximum of 10 points may be received for this
criterion)
1. Identify the funds (e.g., general revenues, tax increment financing (TIP), staff time/in-
kind) that your agency/organization has committed or will commit to meet
cleanup/redevelopment needs not met through this grant, e.g., additional stages of
cleanup, infrastructure upgrades, etc.
2. Demonstrate your ability to leverage funds. Describe all other funding sources (e.g.,
federal, state, nonprofit, or private) that will be committed or that you are pursuing to fill
in any remaining funding gaps to ensure the success of this project.
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H. Programmatic Capability (a maximum of 15 points may be received for this criterion; not
all sub-questions are of equal weight for this criterion)
1. Demonstrate your ability to manage this grant and successfully perform all phases of
work under this grant, and, if applicable, describe the system(s) you have in place to
acquire the requisite expertise necessary to successfully perform the grant. (7 points)
2. Describe your history of managing federal funds. 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. Note: If you have not previously managed federal funds, you will
receive a neutral score for this factor. (2 points)
3. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
provide information regarding your compliance with quarterly progress reports,
brownfields reporting measures, and annual financial status reporting. (2 points)
4. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
indicate the year of award and the amount of funds remaining. (2 points)
5. If you are, or have been, a recipient of an EPA Brownfields cooperative agreement(s),
highlight significant accomplishments generated through the use of the funds. (2 points)
Those applicants who are not, or have not been, a recipient of an EPA Brownfields cooperative
agreement will receive a neutral score for items 3, 4, and 5 (e.g., a total of 3/6 points).
B. Other Factors
In addition to considering the evaluation of proposals based on the factors identified above for
the type of grant being proposed for, EPA's Selection Official, in making selection
recommendations, may consider other factors such as fair distribution of funds between urban
and non-urban areas and among EPA's ten Regions; designation as a federal Empowerment
Zone, Enterprise Community, or Renewal Community; whether the proposed project will assist
in addressing environmental justice concerns (such as the disproportionate impact on or presence
of brownfields sites near low-income and/or minority citizens, i.e., whether the proposed project
will assist in addressing disproportionately high and adverse human health or environmental
effects on minority populations and low-income populations); compliance with the statutory
petroleum funding allocation; the benefits of promoting the long-term availability of funds under
the RLF grants; population; whether the applicant is a federally recognized Indian tribe; or
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whether the applicant is a community with an Official Recognition (OR) from the Department of
Justice for its Weed and Seed strategy.
C. Review and Selection Process
Proposals received in response to these guidelines will initially be reviewed by the appropriate
regional office to determine compliance with the Section V Threshold Criteria that apply to the
grant type being proposed for. EPA Regions will notify applicants who fail threshold eligibility
requirements within 15 days of the Agency's determination of ineligibility. Each proposal by
grant type (assessment, RLF, and cleanup), which successfully meets all of the applicable
threshold criteria for that grant type, will then be evaluated by national panels chosen to address
the range of activities associated with the National Brownfields Program. The evaluation panels,
composed of EPA Headquarters and Regional staff and other federal agency representatives, will
base their evaluations solely on the applicable ranking criteria described in Section V that apply
to the different grants types and will assign an evaluated point score.
EPA Regions will provide information to the evaluation panels on an applicant's response to the
"Programmatic Capability" ranking criterion. This information may take into account the
Regional EPA Office's experience, if any, with the applicant's performance on grants managed
by the Region. In addition, in evaluating applicants under the programmatic capability criterion,
EPA will consider information supplied by the applicant and may consider information from
other sources including agency files.
Completed evaluations will then be referred to a Selection Official, who is responsible for further
consideration of the proposals and final selection of grant recipients. Proposals will be selected
for award by this Official based on their evaluated point scores (and subject to the availability of
funds and consideration, if any, of the Section V(B), Other Factors). Applicants selected to
receive a cleanup grant, who do not have sole ownership of the property at the time of proposal
submission, must obtain sole ownership of the property by June 30, 2006. EPA will find
applicants who have not obtained sole ownership of the site that was selected for cleanup
grant funding by that date to be ineligible for award. After June 30, 2006, subject to the
availability of funds, EPA may select other applicants from a ranked list of non-selected
applicants who have ownership of the property by June 30, 2006.
SECTION VI - AWARD ADMINISTRATION INFORMATION
A. Award Notices
As noted above, EPA Regions will notify applicants who fail threshold eligibility requirements
within 15 days of the Agency's determination of ineligibility. The Agency will notify applicants
who have not been selected for award based on the ranking criteria and other factors within 15
days of EPA's final decision on selections for this competition.
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EPA anticipates notification to successful applicants will be made via telephone, electronic or
postal mail by May 2006. This notification, which advises that the applicant's proposal has been
selected and is being recommended for award, is not an authorization to begin performance. The
award notice signed by the EPA grants officer is the authorizing document and will be provided
through postal mail. At a minimum, this process can take up to 90 days from the date of
selection.
The notification will be sent to the original signer of the proposal or the project contact listed in
your proposal.
B. Administrative and National Policy Requirements
1. Funding will be awarded as a cooperative agreement. The applicants whose proposals are
selected will be asked to submit a cooperative agreement application package to their
EPA Regional office. This package will include the application (Standard Form 424), a
proposed work plan, a proposed budget, and other required forms. An EPA Project
Officer will work with you to finalize the budget and work plan.
Cooperative agreements permit substantial involvement between the EPA Project Officer
and the selected applicants in the performance of the work supported. Although EPA will
negotiate precise terms and conditions relating to substantial involvement as part of the
award process, the anticipated substantial Federal involvement for this project will be:
a. Close monitoring of the successful applicant's performance to verify the results
proposed by the applicant;
b. collaboration during performance of the scope of work;
c. approving substantive terms of proposed contracts;
d. approving qualifications of key personnel (EPA will not select employees or
contractors employed by the award recipient);
e. review and comment on reports prepared under the cooperative agreement (the
final decision on the content of reports rests with the recipient).
2. 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 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. A listing and description of general EPA regulations applicable to the award
of assistance agreements may be viewed at
http://www.epa.gov/ogd/ AppKit/applicable_epa_regulations_and_description. htm.
3. All applicants are required to provide a Dun and Bradstreet (D&B) Data Universal
Numbering System (DUNS) number when applying for a federal grant or cooperative
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agreement. Applicants can receive a DUNS number, at no cost, by calling the dedicated
toll-free DUNS number request line at 1-866-705-5711 or visiting the D&B website at
http://www.dnb.com.
C. Reporting Requirement
As set forth in the terms and conditions referenced above, the recipient agrees to submit quarterly
progress reports to the EPA Project Office within thirty days after each reporting period. These
reports shall cover work status, work progress, difficulties encountered, preliminary data results
and a statement of activity anticipated during the subsequent reporting period. A discussion of
expenditures along with a comparison of the percentage of the project completed to the project
schedule and an explanation of significant discrepancies shall be included in the report. The
report shall also include any changes of key personnel concerned with the project.
Additionally, the recipient agrees to submit to the EPA Project Officer a final report at the close
of the grant. The final report will address goals and objectives, performance measurements,
lessons learned, any other resources leveraged during the project and how they were used.
D. Disputes
Assistance agreement competition-related disputes will be resolved in accordance with the
Dispute Resolution Procedures published in 70 FR (Federal Register) 3629, 3630 (January 26,
2005) located on the web at
http://a257.g.akamaitech.net/7/257/2422/01jan20051800/edocket.access.gpo.gov/2005/05-
1371.htm. Copies of these procedures may also be requested by contacting the Agency contact
identified in Section VU of this announcement.
E. Pre-Award Administrative Capability Review
Non-profit applicants that are recommended for funding will be subject to pre-award
administrative capability reviews consistent with EPA Order 5700.8, Sections 8.b, 8.c, and 9.d.
Applicants must pass this review in order to be awarded the grant. This Order can be found at
http://www.epa.gov/ogd/grants/award/5700 8.pdf
SECTION VII - AGENCY CONTACT(S)
Please refer to Appendix 1 of the proposal guidelines for your EPA Regional Brownfields
Contact.
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Section VIII - Other Information
EPA reserves the right to reject all proposals and make no awards as a result of this
announcement. The EPA Grant Award Officer is the only official that can bind the Agency to
the expenditure of funds for selected projects resulting from this announcement.
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Appendix 1. Regional Brownfields Contacts
REGION & STATES
EPA Region 1
Diane Kelley
EPA Region 2
Larry D'Andrea
EPA Region 3
Tom Stolle
EPA Region 4
Rosemary Patton
EPA Region 5
Deborah Orr
EPA Region 6
Amber Perry
EPA Region 7
Susan Klein
EPA Region 8
Kathie Atencio
EPA Region 9
Carolyn Douglas
EPA Region 10
Tim Brincefield
CT, ME, MA, NH,
RI,VT
N J, NY, PR, VI
DE, DC, MD, PA,
VA,WV
AL, FL, GA, KY,
MS, NC, SC, TN
IL, IN, MI, MN,
OH,WI
AR, LA, NM, OK,
TX
IA, KS, MO, NE
CO, MT, ND, SD,
UT,WY
AZ, CA, HI, NV,
AS,GU
AK, ID, OR, WA
ADDRESS, PHONE NUMBER, FAX, E-MAIL
One Congress Street
Boston, MA 02 114-2023
Phone (617) 918-1424 Fax (617) 918-1291
kelley.diane@epa.gov
290 Broadway, 18th Floor
New York, NY 10007
Phone (212) 637-4314 Fax (212) 637-4360
dandrea.larry@epa.gov
1650 Arch Street (3HS51)
Philadelphia, PA 19103-2029
Phone (215) 814-3129 Fax (215) 814-5518
stolle.tom@epa.gov
Atlanta Federal Center, 61 Forsyth Street
Atlanta, GA 30303
Phone (404) 562-8866 Fax (404) 562-8628
patton.rosemary@epa.gov
77 West Jackson Boulevard
Chicago, IL 60604-3507
Phone (312) 886-7576 Fax (312) 886-7190
orr.deborah@epa.gov
1445 Ross Avenue, Suite 1200 (6SF-PB)
Dallas, TX 75202-2733
Phone (214) 665-3172 Fax (214) 665-6660
perry.amber@epa.gov
90 IN. 5th Street
Kansas City, KS 66 101
Phone (913) 551-7786 Fax (913) 551-8688
klein. susan@epa.gov
999 18th Street, Suite 300 (EPR-B)
Denver, CO 80202-2406
Phone (303) 312-6803 Fax (303) 312-6955
atencio .kathie@epa. gov
75 Hawthorne Street, SFD 1-1
San Francisco, CA 94 105
Phone (415) 972-3092 Fax (415) 947-3528
douglas.carolyn@epa.gov
1200 Sixth Avenue (ECL-112)
Seattle, WA 98101
Phone (206) 553-2100 Fax (206) 553-0124
brincefield.timothy@epa.gov
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Appendix 2. 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, A-87, or
A-122, as applicable.
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, EPA has made a distinction between
prohibited administrative costs and eligible programmatic costs.
A. Administrative Costs. Prohibited administrative costs are direct 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 CFR Part 30 or 40 CFR Part 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
Acquisition Regulation.
B. Statutory Exclusions. The administrative cost prohibition does not apply to direct costs
for:
1. Investigation and identification of the extent of contamination;
2. Design and performance of a response action; or
3. Monitoring of a natural resource.
C. Programmatic Costs. EPA has determined that the administrative cost prohibition does
not apply to "programmatic" costs, i.e., costs 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, the prohibition does not apply, under a
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revolving loan fund grant, to costs incurred in making loans (such as the costs of loan
processing, legal fees, and professional 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 et seq.). These costs are programmatic, not
administrative. Direct costs, as defined in the applicable OMB Cost Principle Circular,
for the following programmatic activities are not subject 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
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 30 and 3 1
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 materials, 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."
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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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Appendix 3. Information on Sites Eligible for
Brownfields Funding Under CERCLA §104(k)
Contents Page
3.1 Introduction 2
3.2 General Definition of Brownfield Site 2
3.3 Additional Areas Specifically Eligible for Funding 2
3.3.1 Contamination by Controlled Substance 3
3.3.2 Contamination by Petroleum or Petroleum Product 3
3.3.3 Mine-scarred Lands 5
3.4 Particular Classes of Sites Not Eligible for Funding or Eligible Only Under Property-
specific Determinations 6
3.4.1 Facilities Subject to CERCLA Removal Actions 9
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 10
3.4.3 Facilities Listed (or Proposed for Listing) on the National Priorities List 10
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 10
3.4.5 RCRA Sites 11
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 12
3.4.7 Facilities that are subject to the jurisdiction, custody, or control of the United
States government 13
3.4.8 Sites Contaminated with PCBs 13
3.4.9 Exclusion of LUST Trust Fund Sites 14
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3.1 Introduction
The information provided in this appendix will be used by EPA in determining the eligibility of
any property for brownfields grant funding. The Agency is providing this information to assist
you in developing your proposals for funding under CERCLA §104(k) and to apprise you of
information that EPA will use in determining the eligibility of any property for brownfields grant
funding. Please note that States may, but are not required, to use the informationin Section 3.3.2
to determine whether sites contaminated by petroleum or petroleum products are eligible for
brownfields grant funding. States may apply their own laws and regulations, if applicable, to
eligibility determinations under Section 3.3.2.
This information is used by EPA solely to make applicant and site eligibility determinations
for Brownfields grants and is not legally binding for other purposes including Federal,
state or tribal enforcement actions.
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.
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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, H, HI, 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 brownfields funding may include private residences, formerly used
for the 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) may be
eligible for brownfields funding if the applicant can provide information that will enable EPA or
the state to make certain statutory determinations, as described in Appendix 4l. (EPA will make
the statutory determinations for tribes). Petroleum-contaminated sites (or portions of properties
contaminated with petroleum or petroleum product) that are eligible for brownfields funding
include certain sites that are not underground storage tank (UST) sites as described below.
Petroleum is defined under CERCLA as "crude oil or any fraction thereof which is not otherwise
specifically listed or designated as a hazardous substance under that section."
Please note that States may, but are not required, to use this guidance to determine
whether sites contaminated by petroleum or petroleum products are eligible for
brownfields grant funding. States may apply their own laws and regulations if applicable
to eligibility determinations under Section 3.3.2.
For a petroleum contaminated site(s) that otherwise meets the definition of a brownfields site to
be eligible for funding, EPA or the state must determine:
1. the site is of "relatively low risk" compared with other "petroleum-only" sites in the
state; and
2. there is no viable responsible party; and
3. the site will not be assessed, investigated or cleaned up by a person that is potentially
liable for cleaning up the site.
1 Appendix 4: Guidance for Requests for Property-Specific Determinations for Funding
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In addition, petroleum-contaminated sites must not be subject to a corrective action order under
the Resource Conservation and Recovery Act (RCRA) §9003(h).
In the case of proposals that include requests for an assessment or direct cleanup grant to address
petroleum-contaminated sites, applicants must provide information in their proposal indicating
whether the site meets each of the criteria listed above. If EPA awards an applicant a revolving
loan fund grant, the state or EPA must make the same determinations for site(s) that will be
cleaned up under a loan or subgrant. These criteria are explained below.
Note: A determination by the EPA or a state under CERCLA section 101(39)(D) for the
purpose of brownfields funding does not release any party from obligations under
any federal or state law or regulation, or under common law, and does not impact or
limit EPA or state enforcement authorities against any party.
"Relatively Low Risk":
Applicants whose brownfield site(s) include properties or portions of properties
contaminated with petroleum or petroleum products must provide information in their
proposal indicating that the property represents a relatively low risk (compared to other
petroleum-only sites). Our view is that the following types of petroleum-contaminated
sites are high risk sites, or are not of "relatively low risk."
1. "High risk" sites currently being cleaned up using LUST trust fund monies.
2. Any petroleum-contaminated site that currently is subject 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.
"A Site for Which There is No Viable Responsible Party"
EPA or the state is required to determine that there is no viable responsible party that can address
the petroleum contamination at the site. If EPA, or the state, identifies a party that is responsible
for the site, and that party is financially viable, then the site is not eligible for funding and EPA
cannot award the grant. This analysis is twofold EPA or the state must first determine whether
a responsible party exists and, if a responsible party is identified, then determine whether that
party is viable. Applicants must provide information in their proposal to demonstrate that the
property or portion of property contaminated with petroleum or petroleum product for which they
seek funding has no viable responsible party.
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A petroleum-contaminated site may be determined to have no responsible party if the site was
last acquired (regardless of whether the site is owned by the applicant) through tax foreclosure,
abandonment, or equivalent government proceedings, and that site meets the criteria in (1)
below. Any petroleum-contaminated site not acquired by a method listed above may be
determined to have no responsible party if the site meets the criteria in both (1) and (2) below.
(1) No responsible party has been identified for the site through:
(a) a judgment rendered in a court of law or an administrative order that would
require any party (including the applicant) to assess, investigate, or clean up the
site,
(b) an enforcement action by federal or state authorities that would require any
party (including the applicant) to assess, investigate, or clean up the site, or
(c) a citizen suit, contribution action or other third party claim brought against the
current or immediate past owner for the site that would, if successful, require the
assessment, investigation, or clean up the site, and
(2) The current and immediate past owner did not dispense or dispose of, or own the
subject property during the dispensing or disposal of, any contamination at the site, did
not exacerbate the contamination at the site, and took reasonable steps with regard to the
contamination at the site.2
*For purposes of the grant program and these guidelines only, the current owner is the
entity that will own the property on June 30, 2006. For cleanup grants, the current owner
must be the applicant.
If no responsible party is identified above, then the petroleum-contaminated site may be eligible
for funding. If a responsible party is identified above, EPA or the state must next determine
whether that party is viable. If any such party is determined to be viable, then the petroleum-
contaminated site may not be eligible for funding. A party will be considered viable if:
(3) the party is financially capable of satisfying obligations under federal or state law to
assess, investigate or clean up the site. For example, a corporation that may be
responsible for the cleanup of the site that is insolvent or defunct will generally not have
2 For purposes of determining petroleum brownfield grant eligibility "reasonable steps
with regard to contamination at the site" includes, as appropriate: stopping continuing releases,
preventing threatened future releases, and preventing or limiting human, environmental, or
natural resource exposure to earlier petroleum or petroleum product releases. Reasonable steps
are discussed in more detail on pages 9-12 of EPA's March 6, 2003, "Common Elements"
guidance.
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the financial capacity to satisfy its obligations. Resources available to assist in
determination of financial viability include Chapter 3 (Business Status and Financial
Research) of the EPA PRP Search Manual at
http://www.epa.gov/Compliance/resources/publications/cleanup/superfund/prpmanual/
and the EPA economic models for analyzing financial ability to pay at
http://www.epa.gov/compliance/civil/programs/econmodels/.
"Cleaned Up by a Person Not Potentially Liable":
Brownfields funding may be awarded for the assessment and cleanup of petroleum-contaminated
sites provided:
1) the applicant has not dispensed or disposed of petroleum or petroleum-product at the
site, and
2) the applicant did not exacerbate the contamination at the site and took reasonable steps
with regard to the contamination at the site.
"Is not subject to any order issued under §9003(h) of the Solid Waste Disposal Act":
Proposals that include requests for an assessment or direct cleanup grant to address petroleum-
contaminated sites must not be subject to a corrective action order under a Resource
Conservation and Recovery Act (RCRA) §9003 (h). If EPA awards an applicant a revolving loan
fund grant, the State or EPA must make the same determination for site(s) that will be cleaned up
under a loan or subgrant.
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.
EPA's 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 occurred. 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.
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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,
abandoned dams constructed wholly or partially of 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
adjacent watersheds.
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 requirements for demonstrating that the site meets the criteria for a property-specific
determination for funding (see Appendix 4 Guidance for 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 provisions, 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, EPA's goal is to not provide brownfields funding
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to sites where EPA has 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 EPA be 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, subject to an enforcement action under
CERCLA or 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 subject to unilateral administrative orders, court orders, administrative orders on
consent or judicial consent decrees issued to or entered into by parties under CERCLA, and 3)
facilities that are subject 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 subject to planned or ongoing CERCLA removal actions.
2. Facilities that are subject to unilateral administrative orders, court orders,
administrative orders on consent or judicial consent decrees 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 (SOWA).
3. Facilities subject to corrective action orders under RCRA (sections 3004(u) or 3008(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 polychlorinated 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 Funding and Not Eligible for a Property-
Specific Determination
1. Facilities listed (or proposed for listing) on the National Priorities List (NPL).
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.
3. Facilities that are subject 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.)
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3.4.1 Facilities Subject to CERCLA Removal Actions
Properties (including parcels of properties) where there are removal actions may not receive
funding, unless EPA makes a property-specific determination of funding eligibility.
EPA's view is that a removal may be identified by the occurrence of one of the following events,
whichever occurs first in time: EPA issues an action memo; EPA issues an EE/CA approval
memo; EPA mobilizes onsite; or EPA issues a notice of federal interest to one or more
potentially responsible parties (PRP(s)), which in emergencies may be made verbally, or EPA
takes other actions that are consistent with a removal.
Our view is that, for the purposes of eligibility to receive brownfields funding, and for no other
reason, a removal is complete 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.
Parcels of facilities not affected by removal action at the same property may apply for
brownfields 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 brownfields-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 brownfi eld funds and any
additional site assessment 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 cleanup
activities at the site, on a property-specific basis (see guidance on documenting eligibility for
property-specific funding determinations provided in Appendix 4).
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
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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, applicants 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
Conservation 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 EPA makes 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 of FWPCA).
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 clean up of the property will further the goals established for
property-specific funding determinations (see attached guidance on property-specific funding
determinations).
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 in Appendix 4} 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 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 in Appendix 4}.
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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 for brownfields 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 EPA's view that such facilities are
ineligible to receive brownfields 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 in Appendix 4.
3.4.5 RCRA Sites
Excluded RCRA Facilities
EPA's view is that the following types of RCRA facilities may not receive funding without a
property-specific determination.
a. RCRA-permitted facilities.
b. 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.
c. 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 contamination at the facility.
d. 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 brownfields 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 in Appendix 4}.
RCRA Facilities that are Eligible for Funding
EPA's view is that the following types of RCRA facilities would not fall within the scope of the
exclusion and would be eligible for funding:
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a. RCRA interim status facilities that are not subject to any administrative or judicial order
or consent decree;
b. RCRA interim status facilities that are subject 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
c. 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 cleanup activities at the site on a property-specific basis (see guidance on
documenting eligibility for property-specific funding determinations provided in Appendix 4}.
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 requirements 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, requested 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 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 cleanup activities at the site on a property-specific basis (see
guidance on documenting eligibility for property-specific funding determinations provided in
Appendix 4).
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. EPA's view is that this exclusion may not
extend to:
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a. Privately-owned, Formerly Used Defense Sites (FUDS);
b. Privately-owned, Formerly Utilized Sites Remedial Action Program (FUSRAP)
properties; and
c. 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 environmental 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.
EPA's view is that all portions of properties are eligible for brownfields site assessment grants,
except where EPA has initiated an involuntary action with any person to address PCB
contamination. Also, it is our view that all portions of properties are eligible for cleanup and
RLF grants, except where EPA has an ongoing action against a disposer to address PCB
contamination.
Therefore, portions of properties that are excluded from funding eligibility include those portions
of properties where:
There is a release (or disposal) of any waste meeting the definition of "PCB
remediation waste" at 40 CFR 761.3; and
At which EPA has an initiated an involuntary action with any person to address
the PCB contamination. Such involuntary actions could include:
Enforcement action for illegal disposal;
Regional Administrator's order to characterize or remediate a spill or old
disposal (40 CFR 761.50(b)(3));
Penalty for violation of TSCA remediation requirements;
Superfund removal action; or
Remediation required under RCRA §3004(u) or §3004(v).
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PCBs may be remediated under any one of the following provisions under TSCA:
a. Section 761.50(b)(3), the directed characterization, remediation, or disposal action.
b. Section 761.61(a), the self-implementing provision.
c. An approval issued under §761.61(c), the risk-based provision.
d. Section 761.61(b) to the level of PCB quantification (i.e., 1 ppm in soil).
e. An approval issued under §761.77, the coordinated approval provision.
f. Section 761.79, the decontamination provision.
g. An existing EPA PCB Spill Cleanup Policy.
h. Any future policy or guidance addressing PCB spill clean up or remediation specifically
addressing the remediation of PCBs at brownfield sites.
Note that any portion of a property where EPA has initiated an involuntary action with any
person to address PCB contamination and portions of properties where EPA has an ongoing
action against a disposer to address PCB contamination 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 cleanup
activities at the site on a property-specific basis (see guidance on documenting eligibility for
property-specific funding determinations provided in Appendix 4).
3.4.9 Exclusion of LUST Trust Fund Sites
The Brownfields Law excludes from eligibility for funding (unless EPA makes a property-
specific determination for funding) those sites (or portions of properties) for which assistance for
response activity has been obtained under Subtitle I of RCRA from the LUST trust fund. EPA's
view is that this provision may exclude:
a. UST sites where money is being spent on actual assessment and/or clean up of
UST/petroleum contamination.
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 in
Appendix 4}.
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Examples of "excluded" sites (i. e., sites receiving LUST trust fund monies) we would consider
to be good candidates to receive brownfields grants or loans.
a. All USTfields pilots (50 pilots)
b. 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 trust fund money cannot be provided for the clean up of
petroleum contamination, but the site still needs some clean up and otherwise is a good
candidate for economic revitalization.
c. Sites (or portions of properties) where LUST trust fund 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
clean up that will contribute to economic revitalization of the site.
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Appendix 4. Guidance for Requests for
Property-Specific Determinations for Funding
Contents Page
4.1 Overview 2
4.2 Funding Limitations 2
4.3 Criteria for Determining Eligibility for Funding on a Property-Specific Basis 4
4.3.1 Protection of Human Health and the Environment 5
4.3.2 Promote Economic Development 5
4.3.3 Creation of, Preservation of, or Addition to Parks, Greenways, Undeveloped
Property, other Recreational Property, or Other Property Used for Nonprofit
Purposes 6
4.3.4 Other Documentation 7
4.4 Properties Not Eligible for Brownfields Funding 7
4.5 Additional Information on Potential for Continual Funding at Sites Subject to Removal
Actions 8
4.6 Additional Information on Potential Funding for Petroleum-contaminated Sites 8
4.7 Eligible Response Sites/Enforcement Limits 9
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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 are only
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 Section 4.3.
5. The degree to which other funding is or is not available for the assessment or clean up 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 funding may be provided to eligible entities to assess and clean up sites that
are being addressed 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 potentially liable under §107 of CERCLA6. (See Appendix 2 for
additional prohibitions on the use of brownfields funding.)
The types of properties that Congress excluded from the definition of a brownfield site are listed
below. However, certain types of properties listed below as excluded from the definition of a
brownfield site, may still qualify for brownfields funding. The types of properties marked with
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§101(k)(4)(B)).
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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.
Properties subject to planned or ongoing removal actions under CERCLA.*
Properties currently listed, or proposed to be listed, on the NPL.
Properties that include facilities subject to a unilateral administrative order, a court order,
an administrative order on consent, or a judicial consent decree under CERCLA.
Properties with facilities that have been issued or entered into a unilateral administrative
order, a court order, an administrative 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.*
Properties with 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.*
Properties that are land disposal units that have submitted a RCRA closure notification or
that are subject to closure requirements specified in a closure plan or permit.*
Properties that are subject 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.
Properties where there has been a release of PCBs and all or part of the property is subject
to TSCA remediation.*
Properties that include facilities receiving monies for clean up 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 EPA
makes 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, greenways, undeveloped property, other recreational property, or other property
used for nonprofit purposes. A determination of eligibility for funding will be made by EPA at
the time of proposal evaluation based upon information provided by the applicant.
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Grant applicants must determine whether the property or properties that are the subject of their
proposal fall within the scope of one or more of the exclusions listed above. Actual
determinations of eligibility or exclusion will be made by EPA. However, if one or more
properties that are the subject of a grant proposal fall within the scope of any of the types of
properties listed above, the grant proposal should specifically identify the properties, identify the
applicable funding exclusion from the list above, and describe why each property falls within the
exclusion (e.g., RCRA permit for hazardous waste storage, CERCLA removal action on-going.)
Descriptions summarizing the scope of each of the 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 properties that are excluded from funding eligibility because the properties 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
properties, although excluded from the definition of brownfield site above, are eligible for
property-specific determinations for brownfields funding:
1. Properties subject to planned or ongoing removal action under CERCLA.
2. Properties that include facilities to which a permit has been issued by the U.S. or
authorized state under RCRA, FWPCA, TSCA, or SDWA.
3. Properties that include facilities subject to RCRA orders requiring corrective action
(§3004(u) or §3008(h)).
4. Properties that are land disposal units that have submitted a RCRA closure notification or
that are subject to closure requirements specified in a closure plan or permit.
5. Properties where there has been a release of PCBs and all or part of the property is subject
to TSCA remediation.
6. Properties receiving monies for clean up from the LUST trust fund.
In the case of each type of property listed above, the new legislation allows EPA to award
financial assistance to an eligible entity for assessment or cleanup activities at the property, if it is
found that financial assistance will:
1. Protect human health and the environment, and
2. Either:
- promote economic development, or
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- 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 circumstances 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 objectives). Information provided by the applicant 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 property 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 proposal 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. Documentation 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 clean up and redevelopment of the property will ensure
that the property 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
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property, other recreational property, or other property used for nonprofit purposes.
Documentation of economic development activities should include information such as the
following:
A description of economic development activities that can reasonably be expected to
occur as a result of brownfields funding (e.g., number of jobs 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 purposes, 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.
A description 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
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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 brownfields for which the recipient of a grant or loan is
potentially liable (§101(k)(4)(B)(i)(IV)). Applicants are encouraged to address, in the body of
the proposal, why federal funding is appropriate for brownfields assessment and/or clean up at
the property, given that brownfields funding cannot be used to reimburse liable property owners
for response activity costs.
4.4 Properties Not Eligible for Brownfields Funding
Grant applicants must keep in mind that the legislation excludes certain types of properties from
qualifying for the property-specific funding determinations and therefore from federal
brownfields financial assistance. Properties that may not be 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 properties containing the following types of sites or
facilities:
Facilities listed or proposed for listing on the NPL.
Facilities subject to a unilateral administrative order, an administrative order, a court
order, an administrative order on consent, or a judicial consent decree issued or entered
into by parties under CERCLA.
Facilities that are subject 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
properties that are otherwise excluded from funding eligibility that is provided here only applies
to funding determinations. This discussion 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.
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4.5 Additional Information on Potential for Continual Funding at Sites Subject to
Removal Actions
Some brownfield sites that receive federal brownfields assessment grants may, as a result of the
federally funded site assessment require a CERCLA removal action. Under the Brownfields Law
(§ 101(39)(B)(i)), properties that are subject to planned or on-going removal actions under
CERCLA are excluded from funding eligibility. However, such properties 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 property where an assessment grant exists, the grantee does not need to obtain the
property-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 properties 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 clean up 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 property; and 2) in cases where portions of a property are not under the
current scope of a planned or ongoing removal action.
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 clean up 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 clean up at the property, 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 properties 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 properties are good candidates for property-specific funding determinations, below are
examples of properties that are excluded from the definition of a brownfield site (i.e., sites
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receiving LUST trust fund monies) that EPA considers to be potentially good candidates to
receive brownfields grants or loans under the property-specific determination provisions (i.e.,
CERCLA§101(39)(C)).
All USTfields 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 trust fund money cannot be provided for the clean up of
petroleum contamination, but the site still needs some clean up and otherwise is a good
candidate for economic revitalization.
Sites (or portions of properties) where LUST trust fund money was spent for emergency
activities, and are otherwise determined to be ineligible for further LUST trust funds, yet
the site needs additional funding for continued assessment and/or clean up that will
contribute to economic revitalization of the site.
4.7 Eligible Response Sites/Enforcement Limits
The Brownfields Law limits EPA's 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) of CERCLA defines an "eligible response site" by referencing the
general definition of a "brownfield site" in §101(39)(A) and incorporating the exclusions at
§ 101(3 9)(B). The law places further limitations on the types of properties included 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 properties that are
otherwise excluded from the definition. Such property-specific determinations must be based
upon a finding that limits on enforcement will be appropriate, after consultation with state
authorities, and will protect human health and the environment 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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Appendix 5. Grants.gov Application Instructions
for Brownfields
General Application Instructions
The electronic submission of your application must be made by an official representative
of your institution who is registered with Grants.gov. For more information, go to
http://www.grants.gov and click on "Get Started," and then "Authorized Organization
Representative (AOR)." Note that the registration process may take a week or longer to
complete. If your organization is not currently registered with Grants.gov, please
encourage your office to designate an AOR and ask that individual to begin the
registration process as soon as possible.
To begin the application process for this grant program, go to http://www.grants.gov and
click on "Apply for Grants." Then click on "Apply Step 1: Download a Grant
Application Package and Application Instructions" to download the PureEdge viewer and
obtain the application package (https://apply.grants.gov/forms_apps_idx.html). You may
retrieve the application package by entering the Funding Opportunity Number, EPA-
OSWER-OBCR-06-01, in the space provided. You may also be able to access the
application package by clicking on the button at the bottom right side of the Find
synopsis that says Apply for Grant Electronically.
Application Submission Deadline: Your organization's AOR must submit your
complete application electronically to EPA through Grants.gov (http://www.grants.gov)
no later than 5:00 Eastern Time, December 14, 2005.
Please submit all of the application materials described below.
Application Materials
The following forms and documents are required under this announcement:
1. Application for Federal Assistance (SF-424)
2. Project Narrative Attachment Form (Work Plan)
The application package must include all of the following materials:
1. Standard Form (SF) 424, Application for Federal Assistance
Complete the form. There are no attachments. Please note that the organizational
Dun and Bradstreet (D&B) Data Universal Number System (DUNS) number must
be included on the SF-424. Organizations may obtain a DUNS number at no cost
by calling the toll-free DUNS number request line at 1-866-705-5711.
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2. Project Narrative Attachment Form Applicants must attach their cover
letter and full proposal (see Section IV of proposal guidelines), the contents of
which are described in the proposal guidelines.
Application Preparation and Submission Instructions
Documents 1 and 2 listed under Application Materials above should appear in the
"Mandatory Documents" box on the Grants.gov Grant Application Package page.
For document 1 click on the appropriate form and then click "Open Form" below the box.
The fields that must be completed will be highlighted in yellow. Optional fields and
completed fields will be displayed in white. If you enter an invalid response or
incomplete information in a field, you will receive an error message. When you have
finished filling out each form, click "Save." When you return to the electronic Grant
Application Package page, click on the form you just completed, and then click on the
box that says, "Move Form to Submission List." This action will move the document
over to the box that says, "Mandatory Completed Documents for Submission."
For document 2 you will need to attach electronic files. Prepare your project proposal
using the format outlined and save the document to your computer as an MS Word or
WordPerfect file. (U.S. EPA prefers to receive documents in MS Word, by documents
prepared in WordPerfect will also be accepted.) When you are ready to attach your
proposal to the application package, click on "Project Narrative Attachment Form," and
open the form. Click "Add Mandatory Project Narrative File," and then attach your
proposal (previously saved to your computer) using the browse window that appears.
You may then click "View Mandatory Project Narrative File" to view it. Enter a brief
descriptive title of your project in the space beside "Mandatory Project Narrative File
Filename;" the filename should be no more than 40 characters long. If there are other
attachments that you would like to submit to accompany your proposal, you may click
"Add Optional Project Narrative File" and proceed as before. When you have finished
attaching the necessary documents, click "Close Form." When you return to the "Grant
Application Package" page, select the "Project Narrative Attachment Form" and click
"Move Form to Submission List." The form should now appear in the box that says,
"Mandatory Completed Documents for Submission."
Once you have finished filling out all of the forms/attachments and they appear in one of
the "Completed Documents for Submission" boxes, click the "Save" button that appears
at the top of the Web page. It is suggested that you save the document a second time,
using a different name, since this will make it easier to submit an amended package later
if necessary.
Once your application package has been completed and saved, send it to your AOR for
submission to U.S. EPA through Grants.gov. Please advise your AOR to close all other
software programs before attempting to submit the application package through
Grants.gov.
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In the "Application Filing Name" box, your AOR should enter your organization's name.
The filing name should not exceed 40 characters. From the "Grant Application Package"
page, your AOR may submit the application package by clicking the "Submit" button that
appears at the top of the page. The AOR will then be asked to verify the agency and
funding opportunity number for which the application package is being submitted. If
problems are encountered during the submission process, the AOR should reboot his/her
computer before trying to submit the application package again. [It may be necessary to
turn off the computer (not just restart it) before attempting to submit the package again.]
If the AOR continues to experience submission problems, he/she may contact Grants.gov
for assistance by phone at 1-800-518-4726 or email at support@grants.gov.
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