FY09 Proposal Guidelines for
Brownfields Assessment Grants
Recycled / Recyclable
Printed with soy/canola ink on paper that
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United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5105T)
EPA-560-F-08-249
August 2008
www.epa.gov/brownfields
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FY09 Guidelines for Brownfields Assessment Grants
OVERVIEW
AGENCY:
TITLE:
ACTION:
RFPNO:
ENVIRONMENTAL PROTECTION AGENCY (EPA)
Proposal Guidelines for Brownfields Assessment Grants
Request for Proposals
EPA-OSWER-OBLR-08-07
CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NO.: 66.818
DATES: Proposals are due November 14, 2008. Proposals may be sent through the U.S.
Postal Service, commercial delivery service, or electronically through
www.grants.gov. Only one method should be used for the submission of the
original, complete proposal. Proposals sent through the U.S. Postal Service or sent
via a commercial delivery service must be postmarked by November 14, 2008.
Proposals sent electronically through grants.gov must be received by grants.gov
by 11:59 p.m. Eastern Time on November 14, 2008. Please refer to Section IV.B.,
Due Date and Mailing Instructions, for further instructions.
SUMMARY: The Small Business Liability Relief and Brownfields Revitalization Act
("Brownfields Law", P.L. 107-118) requires the U.S. Environmental Protection
Agency (EPA) to publish guidance to assist applicants in preparing proposals for
grants to assess and clean up brownfield sites. EPA's Brownfields Program
provides funds to empower states, communities, tribes, and nonprofits to prevent,
inventory, assess, clean up, and reuse brownfield sites. EPA provides brownfields
funding for three types of grants:
1. Brownfields Assessment Grants - provides funds to inventory, characterize,
assess, and conduct planning (including cleanup planning) and community
involvement related to brownfield sites.
2. Brownfields Revolving Loan Fund (RLF) Grants - provides funds for a grant
recipient to capitalize a revolving fund and to make loans and provide
subgrants to carry out cleanup activities at brownfield sites
3. Brownfields Cleanup Grants - provides funds to carry out cleanup activities at
a specific brownfield site owned by the applicant.
Under these guidelines, EPA is seeking proposals for Assessment Grants only. If
you are interested in requesting funding for RLF and/or Cleanup Grants, please
refer to announcement EPA-OSWER-OBLR-08-09 (RLF Grant guidelines) and
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EPA-OSWER-OBLR-08-08 (Cleanup Grant guidelines) posted separately on
www.grants.gov and www.epa.gov/brownfields.
For the purposes of these guidelines, the term "grant" refers to the cooperative
agreement that EPA will award to a successful applicant. Please refer to Section
II.C. for a description of EPA's anticipated substantial involvement in the
financial assistance agreements awarded under these guidelines.
EPA urges applicants to review the Frequently Asked Questions which can be
found at http://www.epa.gov/brownfields/publications/fv2009faqs.pdf
FUNDING/AWARDS: The total funding available under the national competition for
assessment, cleanup, and RLF grants is estimated at $81.3 million. EPA must expend 25 percent
of the amount appropriated for brownfields grants on sites contaminated with petroleum. EPA
anticipates awarding an estimated 329 grants among all three grant types. Under this
announcement, EPA anticipates awarding an estimated 183 assessment grants for an
estimated $37.5 million.
CONTENTS BY SECTION
SECTION I - FUNDING OPPORTUNITY DESCRIPTION 3
LA. Description of Grant 3
IB. Uses of Grant Funds 5
1C. EPA Strategic Plan Linkage 6
ID. Measuring Environmental Results: Anticipated Outputs/Outcomes 7
SECTION II - AWARD INFORMATION 7
II. A. What is the amount of available funding? 7
II.B. What is the project period for awards resulting from this solicitation? 8
II.C. Substantial Involvement 8
SECTION III - APPLICANT AND SITE ELIGIBILITY INFORMATION 8
m.A. Who Can Apply? 8
III.B. Site Eligibility (Site-Specific Proposals Only) 9
III.C. Threshold Criteria for Assessment Grants 12
1. Applicant Eligibility 12
2. Letter from the State or Tribal Environmental Authority 12
3. Site Eligibility and Property Ownership Eligibility (Site-Specific Proposals Only).. 13
SECTION IV - PROPOSAL SUBMISSION INFORMATION 18
IV. A. How to Obtain a Proposal Package 18
IV.B. Due Date and Mailing Instructions 18
IV.C. Content andForm of Proposal Submission 19
IV.D. Intergovernmental Review 21
IV.E. Use of Funds to Make Subawards, Contract Services, or Fund Partnerships 21
IV.F. Evaluation of Subawardees and Contractors 22
IV.G. Confidential Information 23
IV.H. Management Fees 23
SECTION V - PROPOSAL REVIEW INFORMATION 23
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V.A. Review and Selection Process 23
V.B. Ranking Criteria for Assessment Grants 24
1. Community Need 24
2. Project Description and Feasibility of Success 24
3. Community Engagement and Partnerships 27
4. Project Benefits 28
V.C. Other Factors 29
V.D. Proposal Checklist for Assessment Grants 29
SECTION VI - AWARD ADMINISTRATION INFORMATION 29
VIA. Award Notices 29
VLB. Administrative and National Policy Requirements 30
VI.C. Reporting Requirements 30
VI.D. Disputes 31
VIE. Brownfields Programmatic Requirements 31
Appendix 1 Regional Brownfields Coordinators 33
Appendix 2 Information on Sites Eligible for Brownfields Funding Under CERCLA §104(k)..34
Appendix 3 Grants.gov Proposal Submission Instructions 46
SECTION I - FUNDING OPPORTUNITY DESCRIPTION
The Comprehensive Environmental Response, Compensation and Liability Act (CERCLA or the
Superfund law) was amended by the Small Business Liability Relief and Brownfields
Revitalization Act (Brownfields Law) to include section 104(k), which provides federal financial
assistance for brownfields revitalization, including grants for assessment, cleanup, and RLF.
A brownfield site is defined as real property, the expansion, redevelopment, or reuse of which
may be complicated by the presence or potential presence of hazardous substances, pollutants,
contaminants, controlled substances, petroleum or petroleum products, or is mine-scarred land.
As described in Section V of this announcement, proposals will be evaluated based, among other
factors, on the extent to which the applicant demonstrates: economic and environmental needs
of the targeted communities; a vision for the reuse and redevelopment of brownfield sites and the
capability to achieve that vision; reasonable and eligible tasks; partnerships and leveraged
resources necessary to complete the project; and economic, environmental, health, and social
benefits associated with the reuse and redevelopment of brownfield sites.
LA. Description of Grant
Assessment grants provide funding for developing inventories of brownfields, prioritizing sites,
conducting community involvement activities, and conducting site assessments and cleanup
planning related to brownfield sites. Assessment grant funds may not be used to conduct
cleanups. Assessment grants for individual applicants can be either community-wide or site-
specific. Community-wide proposals are appropriate when a specific site is not identified and the
applicant plans to spend grant funds on more than one brownfield in its community. Site-specific
proposals are appropriate when a specific site has been identified and the applicant plans to
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spend grant funds on this one site only. The performance period for assessment grants is three
years. For a complete list of grant and programmatic requirements refer to Section VI.
1. Community-Wide Assessment Grants
For community-wide proposals, applicants may request up to $200,000 for hazardous
substances sites and up to $200,000 for petroleum sites. Applicants may either combine
requests for hazardous substances funding and petroleum funding into one proposal if
both types of funding will address the same target community, for a total not to exceed
$400,000; or applicants may submit separate proposals requesting up to $200,000 each
for hazardous substances and petroleum funding. An applicant that submits a combined
community-wide assessment grant proposal or two separate community-wide assessment
grant proposals may also apply for a site-specific assessment grant.
2. Site-Specific Assessment Grants
For site-specific proposals, applicants may request up to $200,000 to address hazardous
substances or petroleum contamination at a specified site. Applicants can apply for only
one site-specific assessment grant. Sites at which petroleum contamination is co-mingled
with hazardous substances contamination are considered hazardous substances sites
(contact your Regional Coordinator listed in Appendix 1 for more information). The
proposal must indicate the dollar amount of funding requested for each type of
contamination, if applicable. Site-specific assessment proposals must respond to the site
eligibility threshold criteria in section III.C.3. Note that an applicant cannot propose
an alternate site if the site identified in the proposal is determined by EPA to be
ineligible for brownfields funding.
Applicants may request a waiver of the $200,000 limit and request up to $350,000 for a
single site based on the anticipated level of contamination, size or status of ownership of
the site. Applicants requesting a waiver must attach a one-page justification for the
waiver request. Further pages will not be considered. The justification should include a
description of the extent of contamination at the site, the size of the site, and the reasons
for requesting additional funding. For more information on the site-specific waiver
justification, please refer to the Brownfields Frequently Asked Questions (FAQ) at:
http://www.epa.gov/brownfields/publications/fy2009faqs.pdf
3. Coalition Assessment Grants
Additionally, assessment proposals may be submitted by coalitions of eligible entities to
pool their grant funds (see section III. A. for a list of entities eligible to apply for an
assessment grant; existing grantees are eligible entities). A coalition is a group of three or
more eligible entities that submits one grant proposal under the name of one of the
coalition participants who will be the grant recipient, if selected. Coalition members may
not have the same jurisdiction (for example, different departments in the same county)
unless they are separate legal entities (for example, a city and a redevelopment agency).
The grant recipient must administer the grant, be accountable to EPA for proper
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expenditure of the funds, and be the point of contact for the other coalition members.
Assessment coalitions may submit only one proposal up to $1,000,000. All coalition
assessment grant proposals must be community-wide proposals; therefore, the applicant
does not need to respond to the site eligibility threshold criteria in section III.C.3. Site
eligibility will be determined after grant award and prior to expending grant funds at any
site. Coalitions will be required to assess a minimum of five sites.
A Memorandum of Agreement (MO A) documenting the coalition's site selection process
must be in place prior to the expenditure of any funds that have been awarded to the
coalition. The purpose of the MOA is for coalition members to agree internally about the
distribution of funds and the mechanisms for implementing the assessment work. MO As
will be required for the award of a grant and do not need to be included as part of your
proposal.
Coalition members are not eligible as applicants for additional community-wide or site-
specific assessment grants. A coalition member wishing to apply as a separate applicant
must withdraw from the coalition to be eligible for individual assessment funds.
4. Assessment Grant Option Summary
Community-Wide
Up to $200,000 for
hazardous substances and
$200,000 for petroleum
No waiver of funding limit
Maximum combined
amount $400,000
May also apply for a site-
specific grant; may not
apply as a member of a
coalition
Site-Specific
Up to $200,000 for
petroleum or hazardous
substances
May request a waiver for
up to $3 50,000
Maximum amount
$350,000
May also apply for a
community -wide grant;
may not apply as a member
of a coalition
Coalition
Up to $1,000,000 for
petroleum and/or hazardous
substances
No waiver of funding limit
Maximum amount
$1,000,000
May not apply for an
individual community-wide
or site-specific grant or as
part of another coalition
Applicants that exceed the maximum number of proposals allowable for assessment
grants will be contacted, prior to review of any of the proposals by EPA, to determine
which proposals the applicant will withdraw from the competition.
For more information on a range of brownfields topics, please refer to the Brownfields
FAQ at: http://www.epa.gov/brownfields/publications/fy2009faqs.pdf If you do not have
access to the internet, you can contact your Regional Coordinator listed in Appendix 1.
LB. Uses of Grant Funds
In addition to direct costs associated with the inventory, assessment, and cleanup planning for
brownfield sites, grant funds also may be used for the following activities:
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1. Grant funds may be used for direct costs associated with programmatic management of
the grant, such as required performance reporting and environmental oversight.
All costs charged to assessment grants must be consistent with the applicable OMB Cost
Circulars. The cost principles for universities and educational institutions are found at 2
CFR Part 220. The cost principles for governmental units are found at 2 CFR Part 225.
2. A local government (as defined in 40 CFR Part 31.3, Local Government) may use up to
10 percent of its grant funds for any of the following activities:
a. Health monitoring of populations exposed to hazardous substances, pollutants, or
contaminants from a brownfield site;
b. Monitoring and enforcement of any institutional control used to prevent human
exposure to any hazardous substance, pollutant, or contaminant from a brownfield
site; and
c. Other related program development and implementation activities (e.g., writing local
brownfields-related ordinances) to effectively oversee assessments and cleanups
described in an EPA-approved work plan.
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.
3. A portion of any brownfields grant or loan may be used to purchase environmental
insurance.
Grant funds cannot be used for the following activities:
1. Administrative costs, such as indirect costs, of grant administration with the exception of
financial and performance reporting.
2. Proposal preparation costs.
See the Brownfields FAQ at: http://www.epa.gov/brownfields/publications/fy2009faqs.pdffor
additional information on ineligible grant activities.
LC. EPA Strategic Plan Linkage
EPA's Strategic Plan defines goals, objectives, and sub-objectives for protecting human health
and the environment. All three Brownfields grant types will support progress toward Goal 4
(Healthy Communities and Ecosystems), Objective 4.2 (Communities), and Sub-objective 4.2.3
(Assess and Clean Up 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 brownfield sites. 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.
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LD. Measuring Environmental Results: Anticipated Outputs/Outcomes
Pursuant to EPA Order 5700.7, "Environmental Results under EPA Assistance Agreements,"
EPA requires that all grant recipients adequately address environmental outputs and outcomes.
EPA must report on the success of its Brownfields Program through measurable outputs and
outcomes, such as the number of sites assessed, number of jobs created, and amount of funding
leveraged. Applicants are required to describe how funding will help EPA achieve environmental
outputs and outcomes in their responses to the ranking criteria (section V.B.2., Project
Description and Feasibility of Success). Outputs specific to each project will be identified as
deliverables in the work plan negotiated after a grant is awarded. Grantees will be expected
to report progress toward the attainment of project outputs during the project performance
period.
Outputs and Outcomes are defined as follows:
3. Outputs: The term "outputs" refers to an environmental activity, effort, and/or associated
work products related to an environmental goal or objective that will be produced or
provided over a period of time or by a specified date. Outputs may be quantitative or
qualitative but must be measurable during the project period. The expected outputs for
the grants awarded under these guidelines may include but are not limited to the number
of brownfield sites identified, number of Phase I and Phase II site assessments, and
number of community meetings held.
4. Outcomes: The term "outcomes" refers to the result, effect, or consequence that will
occur from carrying out the activities under the grant. Outcomes may be environmental,
behavioral, health-related, or programmatic; must be quantitative; and may not
necessarily be achievable during the project period. Expected outcomes of brownfields
grants include the number of jobs leveraged and other funding leveraged through the
economic reuse of sites; the number of acres made ready for reuse or acres of greenspace
created for communities; and whether the project will minimize exposure to hazardous
substances.
(View EPA's Strategic Plan on the internet at http://www.epa.gov/ocfopage/plan/2003sp.pdf and
view EPA's Order 5700.7 at http://www.epa.gov/ogd/grants/award/5700.7.pdf)
SECTION II - AWARD INFORMATION
II.A. What is the amount of available funding?
The total estimated funding available under the national competition for assessment, cleanup,
and RLF grants is estimated at $81.3 million. Separate announcements are posted for the RLF
and cleanup competitions. EPA must expend 25 percent of the amount appropriated for
brownfields grants on sites contaminated with petroleum. EPA anticipates awarding an estimated
329 grants among all three grant types. Under this announcement, EPA anticipates awarding
an estimated 183 assessment grants for approximately $37.5 million. In addition, EPA
reserves the right to award additional grants under this competition should additional funding
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become available. Any additional selections for awards will be made no later than four months
from the date of the original selection decision. EPA reserves the right to reject all proposals and
make no awards under this announcement or make fewer awards than anticipated.
In appropriate circumstances, EPA reserves the right to partially fund proposals by funding
discrete portions or phases of proposed projects. To maintain the integrity of the competition and
selection process, EPA, if it decides to partially fund a proposal, 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.
II.B. What is the project period for awards resulting from this solicitation?
The project period for assessment grants is up to three years.
II.C. Substantial Involvement
The brownfields grant will be awarded in the form of a cooperative agreement. Cooperative
agreements permit the EPA Project Officer to be substantially involved in overseeing the work
performed by the selected recipients. 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 may include:
• Close monitoring of the recipient's performance to verify the results.
• Collaborating during performance of the scope of work.
• Reviewing substantive terms of proposed contracts.
• Reviewing qualifications of key personnel (EPA will not select employees or contractors
employed by the award recipient).
• Reviewing and commenting on reports prepared under the cooperative agreement (the
final decision on the content of reports rests with the recipient).
• Reviewing sites as meeting applicable site eligibility criteria.
SECTION III - APPLICANT AND SITE ELIGIBILITY INFORMATION
IILA. Who Can Apply?
The following information indicates what entities are eligible to apply for an assessment grant.
Nonprofit organizations are not eligible to apply for an assessment grant.
• General Purpose Unit of Local Government. (For purposes of the brownfields grant
program, EPA defines general purpose unit of local government as a "local government"
as defined under 40 CFR Part 31.)
• 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.
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• Redevelopment Agency that is chartered or otherwise sanctioned by a state.
• State.
• Indian Tribe other than in Alaska. (The exclusion of Alaskan tribes from brownfields
grant eligibility is statutory at CERCLA §104(k)(l). 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, at 67 Fed. Reg. 67181. This policy also may
be obtained from your Regional Brownfields Coordinator listed in Appendix 1.)
• Alaska Native Regional Corporation, Alaska Native Village Corporation, and Metlakatla
Indian Community. (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.)
IILB. Site Eligibility (Site-Specific Proposals Only)
The following items provide important information related to determining if a brownfield site is
eligible for funding. Refer to this section when responding to the Threshold Criteria in Section
III.C.3.
1. Basic Site Definition
To be eligible for a grant, sites must meet the definition of a brownfield as described in
Appendix 2.
The following types of properties are not eligible for brownfields funding:
• Facilities listed (or proposed for listing) on the National Priorities List (NPL);
• 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
• 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.)
2. Property-Specific Determination for Eligibility
The following special classes of property require a "Property-Specific Determination"
from EPA to be eligible for brownfields funding:
• Properties subject to planned or ongoing removal actions 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 United States or an
authorized state under 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).
• 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.
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• 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 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 Leaking
Underground Storage Tank (LUST) trust fund (see Appendix 2, section 2.5.6 for a
definition of LUST Trust Fund sites).
EPA's approval of Property-Specific Determinations 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. Property-Specific Determination requests must
be attached to your proposal and do not count in the 18-page limit for Narrative
Proposals. (See Appendix 2, Section 2.5, for more information or contact your Regional
Coordinator listed in Appendix 1 if you think your site requires a Property-Specific
Determination.)
Additionally, applicants eligible for brownfields grant funds cannot be liable for
contamination on the site. Site eligibility related to liability is determined differently at
sites contaminated with hazardous substances than for sites contaminated by petroleum or
petroleum product.
3. Hazardous Substances, CERCLA Liability, and Demonstration of a Bona Fide
Prospective Purchaser
For sites contaminated by hazardous substances, persons liable for the contamination
under CERCLA §107 (the Superfund law) are not eligible for grants. Liable parties may
include all current and former owners and operators of the site and parties that arranged
for, or contributed to, the disposal or treatment of hazardous substances on the site.
Therefore, even owners who did not cause or contribute to the contamination may be held
liable.
CERCLA does provide owners or prospective owners with specific defenses to liability,
thereby allowing them eligibility for grants. Some such defenses include bona fide
prospective purchasers (BFPPs), contiguous property owners, or local or state
governments that acquire land through involuntary acquisition (i.e., bankruptcy, tax
delinquency, or abandonment).
For site-specific assessment grants, applicants must demonstrate in their proposals that
they are not a liable party. These applicants must be able to demonstrate compliance with
one of the liability protections to ensure grant eligibility, since current owners of
contaminated property are liable if unable to assert a liability protection. 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
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Property Owner, or Innocent Landowner Limitations on CERCLA ("Common Elements")
(http://www.epa.gov/compliance/resources/policies/cleanup/superfund/common-el em-
guide.pdf). Applicants may also call the Regional Brownfields Coordinator listed in
Appendix 1 with questions about eligibility.
The most common liability protection an applicant will assert is the bona fide prospective
purchaser protection. Normally, BFPP status is available only to entities that purchase
property after January 11, 2002. However, a grant applicant can take advantage of this
protection, for grant purposes only, even if it purchased a site prior to January 11, 2002,
so long as the applicant complied with all the other BFPP requirements that include:
• All disposal of hazardous substances at the site occurred before the person
acquired the site.
• The owner must not be liable in any way for contamination at the site or affiliated
with a responsible party. Affiliations include familial, contractual, or corporate
relationships that are the result of a reorganization of a business entity with
potential liability.
• The owner must have made all appropriate inquiries (AAI) into the prior
ownership and uses of the site prior to purchase. AAI, typically met with an
ASTM-based Phase 1 environmental assessment, cannot be more than one year
old at time of purchase and must be updated, prior to purchase, if it is more than
six months old at the time of purchase. Please see EPA's AAI Final Rule (70 FR
66070) (http://www.epa.gov/brownfields/regneg.htm).
• The owner must take appropriate care regarding any hazardous substances found
at the site, including preventing future releases and exposures to hazardous
substances on the site.
• The owner must provide all legally required notices and cooperate with
authorized response persons in the event of discovery or release of any hazardous
substances at the site.
• The owner must comply with any land-use restrictions associated with response
actions at the site.
4. Petroleum Site Eligibility
For sites contaminated by petroleum, liability for clean up is governed by the Resource
Conservation and Recovery Act (RCRA) amendments to the Solid Waste Disposal Act
and the CERCLA liability protections do not apply. However, the Brownfields Law
outlines specific criteria by which petroleum sites may be eligible for brownfields grant
funding. Briefly, these criteria are that the site must be of "relatively low risk," there can
be no viable responsible party, the applicant cannot be potentially liable for cleaning up
the site, and the site must not be subject to a RCRA corrective action order. If a party is
identified as being responsible for the site and that party is financially viable, then the site
is not eligible for brownfields grant funds (refer to Appendix 2, section 2.3.2 for more
information). Generally, petroleum site eligibility will be determined by EPA or the state,
as appropriate. Where the state is unable to make the eligibility determination, EPA will
make the determination. EPA will make the determination for tribes.
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IILC. Threshold Criteria for Assessment Grants
This section contains the threshold criteria that ensure applicants are eligible to receive
assessment grants. Threshold criteria are pass/fail. Only those proposals that pass all the
threshold criteria will be evaluated against the ranking criteria in Section V of this
announcement.
Proposals must substantially comply with the proposal submission instructions and requirements
set forth in Section IV of this announcement or they will be rejected. Pages in excess of the page
limits described in Section IV for the narrative proposal and transmittal letter will not be
reviewed.
Proposals must be postmarked, or received through www.grants.gov, by November 14, 2008.
Proposals postmarked or received through www.grants.gov after the proposal deadline will be
considered late and will not be reviewed unless the applicant can clearly demonstrate that it was
late due to EPA mishandling. Applicants should confirm receipt of their proposal with the
appropriate Regional Brownfields Coordinator listed in Appendix 1 as soon as possible after the
submission deadline. Failure to do so may result in your proposal not being reviewed. Facsimile
delivery of proposals and e-mailed submissions are not permitted and will not be
considered.
Applicants deemed ineligible for funding consideration as a result of the threshold eligibility
review will be notified within 15 calendar days of the ineligibility determination. Applicants
must respond to the following items in their narrative proposals and transmittal letter, as
applicable, to ensure that they are eligible for funding.
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. Your
responses to these items must be included in the Narrative Proposal and transmittal letter you
submit to EPA. See Section IV.C. for a complete list of required proposal content.
1. Applicant Eligibility
Describe how you are an eligible entity for an assessment grant. Refer to the description of
applicant eligibility in Section III.A., Who Can Apply? For entities other than cities,
counties, tribes, or states, please attach documentation of your eligibility (e.g.,
resolutions, statutes, etc.).
Coalitions applying for assessment grants must document how all coalition members are
eligible entities. All coalition members must submit a letter to the grant applicant (lead
coalition member) in which they agree to be part of the coalition. Attach these letters to this
proposal.
2. 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
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plans to conduct assessment activities and is planning to apply for federal grant funds.
Failure to submit this letter will result in the rejection of the proposal for further
consideration. Letters regarding proposals from prior years are not acceptable. If you
are applying for multiple types of grant program activities, you need to receive only one
letter acknowledging the relevant grant activities. However, you must provide a copy of this
letter as an attachment to each 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. It is the applicant's responsibility to provide advance
notice to the appropriate state or tribal environmental authority to allow adequate time for
you to obtain the acknowledgement letter and attach it to your proposal.
3. Site Eligibility and Property Ownership Eligibility (Site-Specific Proposals Only)
All applicants must respond to items a-d. If the site is a hazardous substances site please
also respond to items e-h. If the site is a petroleum site, please respond to item i.
Petroleum Sites. If the site is commingled hazardous substance and petroleum, the
applicant must respond to the items corresponding to the predominant contaminant
(petroleum or hazardous substance).
Site Eligibility:
a. Basic Site Information. Identify (a) the name of the site; (b) the address of the site,
including zip code; and (c) the current owner of the site.
b. Status and History of Contamination at the Site. Identify(a) whether this site is
contaminated by petroleum or hazardous substances; (b) the operational history and
current use(s) of the site; (c) environmental concerns, if known, at the site; and (d)
how the site became contaminated, and to the extent possible, describe the nature and
extent of the contamination.
c. Sites Ineligible for Funding. 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 brownfields
funding.) Please refer to CERCLA §§ 101(39)(B)(ii), (iii), and (vii) and Appendix 2.
d Sites Requiring a Property-Specific Determination. Certain types of sites require a
property-specific determination in order to be eligible for funding. Please refer to
Appendix 2, Section 2.5, to determine whether your site requires a property-specific
determination. If your site requires a property-specific determination, then you must
attach the information requested in the Brownfields FAQ at:
http://www.epa.gov/brownfields/publications/fy2009faqs.pdf
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Property Ownership Eligibility:
EPA grant funding may not be used to pay for response costs at a brownfield site for which
the recipient of the grant is potentially liable under CERCLA §107. The following items are
intended to help EPA ensure that you are not liable under CERCLA for response costs at the
site designated in your proposal, or determine, if necessary, that your site is eligible for
funding as a petroleum site. Please respond to the following items fully and in the order
that they appear (note that based on your responses, EPA may need to obtain additional
information to make this determination).
e. CERCLA § 107 Liability. Affirm that you are not potentially liable for
contamination at the site under CERCLA §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.
f. Enforcement Actions. 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 substances 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 substances at the site.
g. Information on Liability and Defenses/Protections Where Applicant Does NOT
Own the Site. If you, the applicant, do not own the site to be assessed, please:
i) Affirm that you did not arrange for the disposal of hazardous substances at the site
or transport hazardous substances to the site, and that you did not cause or
contribute to any releases of hazardous substances at the site.
ii) Describe your relationship with the owner and the owner's role in the work to be
performed.
iii) Indicate how you will gain access to the site.
h. Information on Liability and Defenses/Protections Where Applicant Owns the
Site or Will Own the Site During the Performance of the Grant. If you, the
applicant, own the site to be assessed or will own the site at some point during the
performance of the grant, please respond to the following:
i) Information on the Property Acquisition. To save space, you may combine
responses to the following into one response, though please be sure to answer
each item fully. Describe:
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• How you acquired or will acquire ownership (e.g., by negotiated purchase
from a private individual, by purchase or transfer from another governmental
unit, by foreclosure of real property taxes, by eminent domain, or other
(describe));
• The date you acquired or will acquire the property;
• The name and identity of the party from whom you acquired or will acquire
ownership (i.e., the transferor); and
• All familial, contractual, corporate, or financial relationships or affiliations
you have or had with all prior owners or operators (or other potentially
responsible parties) of the property (including the person or entity from which
you acquired the property).
ii) Timing and/or Contribution Toward Hazardous Substances Disposal. Identify
whether 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. Affirm that you have not, at any
time, arranged for the disposal of hazardous substances at the site or transported
hazardous substances to the site.
iii) Pre-Purchase Inquiry. Describe any inquiry by you or others into the previous
ownership, uses of the property, and environmental conditions conducted prior to
taking ownership. Please include in your description:
• The types of site assessments performed (e.g., ASTM El527-05 Phase I or
equivalent), the dates of each assessment, and the entity for which they were
performed (state whether the assessment was performed specifically for you,
or if not, the name of the party that had the assessment performed and that
party's relationship to you).
• Who performed the assessments and identify his/her qualifications to perform
such work.
• If your Phase I assessment was conducted more than 180 days prior to the date
you plan to purchase the property, affirm that you will conduct the appropriate
updates within 180 days of purchase and that you will update certain aspects
of the Phase I in order to take advantage of the bona fide prospective
purchaser provision.
iv) Post-Acquisition Uses. Describe all uses to which the property has been put since
you acquired ownership (or the uses that you anticipate once you acquire the
property) through the present, including any uses by persons or entities other than
you. Please provide a timeline with the names of all current and prior users during
the time of your ownership; the dates of all uses; the details of each use, including
the rights or other reason pursuant to which the use was claimed or taken (e.g.,
lease, license, trespass); and your relationship to the current and prior users.
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v) Continuing Obligations.l Describe in detail the specific appropriate care that you
exercised (or if you have yet to acquire the property, that you will exercise upon
acquiring the property) with respect to hazardous substances found at the site by
taking reasonable steps2 to:
• Stop any continuing releases;
• Prevent any threatened future release; and
• Prevent or limit exposure to any previously released hazardous substance.
Please confirm your commitment to:
• Comply with all land-use restrictions and institutional controls;
• Assist and cooperate with those performing the assessment and 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.
i. Petroleum Sites. (Disregard this item if you do not have a petroleum site.)
Non-tribal applicants must provide the information required for a petroleum site
eligibility determination (listed below) to your state, so that the state can make the
necessary determination on petroleum site eligibility. You must provide EPA with a
copy of the state determination letter as an attachment to your proposal. If the state
does not make the determination before the proposal due date or is unable to make the
determination, please attach a copy of the request you sent to the state. (Note: You
must provide EPA with the date you requested your state to make the petroleum site
determination. 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 information required for a petroleum site eligibility
determination (listed below) as an attachment to your proposal. EPA will make the
petroleum site eligibility determinations for tribes.
1 Applicants that own contaminated land should be aware that some CERCLA liability protections
require that the site owner 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 with, 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, see EPA's Common Elements
Reference Sheet at http://www.epa.gov/compliance/resources/policies/cleanup/superfund/common-elem-
ref.pdf.
2 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. The steps taken to
prevent or limit exposure to previously released hazardous substance may depend, for example, on such
things as the location of the site in relation to the public and whether the public has been known to use (or
even trespass on) the site.
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Information required for a petroleum site eligibility determination:
i) Current and Immediate Past Owners. Identify the current and immediate past
owner of the site. For purposes of petroleum eligibility determinations in these
guidelines only, the current owner is the entity that will own the site on June 30,
2009.
ii) Acquisition of Site. Identify when and by what method the current owner
acquired the property (e.g., purchase, tax foreclosure, donation, eminent
domain).
iii) No Responsible Party for the Site. Identify whether the current and immediate
past owner (which includes, if applicable, the applicant) (1) dispensed or
disposed of petroleum or petroleum product, or exacerbated the existing
petroleum contamination at the site; and (2) took reasonable steps with regard to
the contamination at the site.
iv) Assessed 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.
v) 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.
vi) Judgments, Orders, or Third Party Suits. Provide information that no responsible
party (including the applicant) is identified for the site through, either:
• 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
• 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
• 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.
vii) Subject to RCRA. Identify whether the site is subject to any order under section
9003(h) of the Solid Waste Disposal Act.
viii) 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 iii) or vi) 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. For more information, see Appendix 2,
Section 2.3.2.
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SECTION IV - PROPOSAL SUBMISSION INFORMATION
IV.A. How to Obtain a Proposal Package
Electronic copies of these guidelines can be obtained from the EPA brownfields website
(http://www.epa.gov/brownfields/applicat.htm), or through www.grants.gov. Hard copies may be
requested by contacting your Regional Brownfields Coordinator listed in Appendix 1.
In order to maintain the integrity of the competition process, EPA staff cannot meet with
individual applicants to discuss draft proposals, provide informal comments on draft proposals,
or provide advice to applicants on how to respond to ranking criteria. EPA's limitations on staff
involvement with grant applicants are described in EPA's Assistance Agreement Competition
Policy (EPA Order 5700.5A1). However, EPA staff will respond to questions regarding
threshold eligibility criteria, administrative issues related to the submission of the proposal, and
requests for clarification about the announcement.
IV.B. Due Date and Mailing Instructions
Proposals are due November 14, 2008. Applicants may submit their proposals through the U.S.
Postal Service, commercial delivery service, or electronically through www.grants.gov. Only one
method should be used for the submission of the original, complete proposal as described in
IV.C. below.
1. Hard Copy Submissions
Proposals sent through the U.S. Postal Service or a commercial delivery service must be
postmarked by November 14, 2008 Two copies of the complete proposal are required.
Mail one complete, original proposal to:
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.)
A second complete copy of the proposal must be mailed to the appropriate EPA Regional
Brownfields Coordinator listed in Appendix 1.
Proposals postmarked by the USPS/commercial delivery service after November 14,
2008 will not be considered.
2. Electronic Submissions
Proposals sent electronically through grants.gov must be received by grants.gov by 11:59
p.m. Eastern Time on November 14, 2008. Proposals received after 11:59 p.m. Eastern
Time on November 14, 2008 will not be considered. Refer to Appendix 3 for specific
instructions on the use ofgrants.gov. In the event that an applicant experiences
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difficulties transmitting its proposal(s) through grants.gov, please refer to the procedures
in Appendix 3. Note: There is a registration process to complete for electronic
submission via grants.gov, which may take a week or more to complete.
In addition to electronic submission through grants.gov, a complete copy of the proposal
should be mailed to the appropriate EPA Regional Brownfields Coordinator listed in
Appendix 1.
If you have not received a confirmation of receipt from EPA (not from grants.gov) within 30
days of the proposal deadline, please contact Becky Brooks at 202-566-2762 or
brooks.becky@epa.gov. Failure to do so may result in your proposal not being reviewed.
IV.C. Content and Form of Proposal Submission
Refer to section LA. for information on the number of assessment grants and amount of funding
that may be requested. Applicants must submit separate proposals for community-wide and site-
specific assessment grants. Each proposal must stand on its own merits based on the responses
given to the relevant criteria for that grant type and must not reference responses to criteria in
another proposal.
Pages exceeding stated page limits will not be copied or evaluated. The page limits indicated for
the Transmittal Letter and Narrative Proposal do not include required attachments described in
items c-i in the Proposal Content section below. Only required attachments are allowed- no
other attachments will be considered.
Upon receipt, proposals will be reviewed for content and threshold eligibility issues and copied
for distribution to evaluators. Do not include binders, spiral binding, or color printing. All
proposal materials must be in English. Photos and graphics will not be considered. The narrative
proposal and transmittal letter must be typed, on letter-sized paper, with a font size no smaller
than 12 point. Applicants are responsible for submitting a complete proposal, as described below,
by the due date.
1. Proposal Content: Refer to the sections indicated for detailed instructions on what to
include in your proposal.
a. Transmittal Letter (2-page limit)- See No. 2 below
b. The Narrative Proposal, which includes the responses to applicable threshold and all
ranking criteria (18-page limit)- See No. 3 below
c. Letter from the state or tribal environmental authority (see section III.C.2.)
d. Documentation of applicant eligibility if other than city, county, state, or tribe (see
section III.C.l.)
e. Letters of support from all community-based organizations identified in the
community engagement and partnerships ranking criteria (see section V.B.3.)
f. Justification for requested waiver of the $200,000 limit for a site-specific assessment,
if applicable (see section I.A.2.).
g. Property-specific determination request, if applicable (see section III.C.3.d.)
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h. Letters of commitment from assessment coalition members, if applicable (see section
III.C.l.)
i. Petroleum eligibility determination information, if applicable (see section IILC.S.i.)
2. Transmittal Letter: The transmittal letter shall identify the applicant and a contact for
communication with EPA. The transmittal letter, including the applicant
identification information, shall not exceed two pages. Any pages submitted over the
page limit will not be considered. The transmittal letter must be written on your
organization's official letterhead, and signed by an official with the authority to commit
your organization to the proposed project. Applicants are to submit separate transmittal
letters for each proposal they submit. Each transmittal letter must also include:
a. 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 EPA for the proper expenditure of funds.
b. Funding Requested:
i) Grant type: Indicate Assessment
ii) Federal Funds Requested: $ and whether you are requesting a waiver for a
site-specific proposal (please refer to funding limitations for each grant type)
iii) Contamination: Hazardous Substances, Petroleum, or both
Note: if both, provide a breakdown of the amount of funding you are requesting
by contaminant type (e.g., $200,000 hazardous substances and $200,000
petroleum)
iv) Community-wide, Site-specific, or Coalition
c. Location: City, county, and state or reservation, tribally owned lands, tribal fee lands,
etc., of the brownfields community(ies) that you propose to serve. For assessment
grant coalitions, list all jurisdictions covered under the proposal.
d. For site-specific proposals, please provide the property name and complete site
address, including zip code.
e. Contacts:
i) Project Director: Provide name, phone/fax numbers, email address, and mailing
address of the Project Director assigned to this proposed project. This person
should be the main point of contact for the project, and should be the person
responsible for the project's day-to-day operations. The Project Director may be
contacted if other information is needed.
ii) Chief Executive/Highest Ranking Elected Official: Provide the name, phone/fax
numbers, email address, and mailing address of the applicant's Chief Executive or
highest ranking elected official. For example, if your organization is a municipal
form of government, provide this information for the Mayor or County
Commissioner. Otherwise, provide this information for your organization's
Executive Director or President. These individuals may be contacted if other
information is needed.
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f. Date Submitted: The date your proposal is submitted to EPA via U.S. Postal Service,
commercial delivery service, or electronically through grants.gov.
g. Project Period: The project period must not exceed three years for assessment grants.
h. Population:
i) Provide the general population of your jurisdiction and the jurisdictions of any
coalition partners.
ii) If you are not a municipal form of government, provide the population of the
target area addressed by this proposal. Tribes must provide the number of
tribal/non-tribal members affected. Your jurisdiction's population can be found at:
http://www.census.gov
3. Narrative Proposal: The narrative proposal includes all applicable responses to threshold
criteria (see section III.C.) and responses to all ranking criteria (see section V.B.). The
narrative proposal shall not exceed 18 pages. Any pages submitted over the page limit
will not be evaluated. The narrative proposal must be clear, concise, and specifically
address all of the applicable threshold and ranking criteria. Responses to the criteria must
include the criteria number and title but need not restate the entire text of the criteria.
Proposals must provide sufficient detail to allow for an evaluation of the merits of the
proposal. 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.
IV.D. Intergovernmental Review
As appropriate for your state, applicants are encouraged to contact their State Intergovernmental
Review Office early to start the required intergovernmental review process. The review process
will be needed if you are selected to receive a grant. This effort is separate from the threshold
criteria related to a state environmental letter attachment (see section III.C.2). Contact your
Regional Brownfields Coordinator listed in Appendix 1 for assistance.
IV.E. Use of Funds to Make Subawards, Contract Services, or Fund Partnerships
EPA awards funds to one eligible applicant as the recipient even if other eligible applicants are
named as partners or co-applicants or members of a coalition or consortium. The recipient is
accountable to EPA for the proper expenditure of funds.
Funding may be used to provide subgrants or subawards of financial assistance, which includes
using subawards or subgrants to fund partnerships, provided the recipient complies with
applicable requirements for subawards or subgrants including those contained in 40 CFR Parts
30 or 31, as appropriate. Applicants must compete contracts for services and products,
including consultant contracts, and conduct cost and price analyses to the extent required by the
procurement provisions of the regulations at 40 CFR Parts 30 or 31, as appropriate. The
regulations also contain limitations on consultant compensation. Applicants are not required to
identify subawardees/subgrantees and/or contractors (including consultants) in their
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proposal/application. However, if they do, the fact that an applicant selected for award has
named a specific subawardee/subgrantee, contractor, or consultant in the proposal/application
EPA selects for funding does not relieve the applicant of its obligations to comply with
subaward/subgrant and/or competitive procurement requirements as appropriate. Please note
that applicants may not award sole source contracts to consulting, engineering or other firms
assisting applicants with the proposal solely based on the firm's role in preparing the
proposal/application.
Successful applicants cannot use subgrants or subawards to avoid requirements in EPA grant
regulations for competitive procurement by using these instruments to acquire commercial
services or products from for-profit organizations to carry out its assistance agreement. The
nature of the transaction between the recipient and the subawardee or subgrantee must be
consistent with the standards for distinguishing between vendor transactions and subrecipient
assistance under Subpart B Section .210 of OMB Circular A-133 , and the definitions of
subaward at 40 CFR 30.2(ff) or subgrant at 40 CFR 31.3, as applicable. EPA will not be a party
to these transactions. Applicants acquiring commercial goods or services must comply with the
competitive procurement standards in 40 CFR Part 30 or 40 CFR Part 31.36 and cannot use a
subaward/subgrant as the funding mechanism.
IV.F. Evaluation of Subawardees and Contractors
Section V of the announcement describes the evaluation criteria and evaluation process that will
be used by EPA to make selections under this announcement. During this evaluation, except for
those criteria that relate to the applicant's own qualifications, past performance, and reporting
history, the review panel will consider, if appropriate and relevant, the qualifications, expertise,
and experience of the following:
(i) an applicant's named subawardees/subgrantees identified in the proposal if the
applicant demonstrates in the proposal that if it receives an award that the
subaward/subgrant will be properly awarded consistent with the applicable regulations in
40 CFR Parts 30 or 31. For example, applicants must not use subawards/subgrants to
obtain commercial services or products from for profit firms or individual consultants.
(ii) an applicant's named contractor(s), including consultants, identified in the proposal if
the applicant demonstrates in its proposal that the contractor(s) was selected in
compliance with the competitive Procurement Standards in 40 CFR Part 30 or 40 CFR
31.36 as appropriate. For example, an applicant must demonstrate that it selected the
contractor(s) competitively or that a proper non-competitive sole-source award consistent
with the regulations will be made to the contractor(s), that efforts were made to provide
small and disadvantaged businesses with opportunities to compete, and that some form of
cost or price analysis was conducted. EPA may not accept sole source justifications for
contracts for services or products that are otherwise readily available in the commercial
marketplace.
EPA will not consider the qualifications, experience, and expertise of named
subawardees/subgrantees and/or named contractor(s) during the proposal evaluation process
unless the applicant complies with these requirements.
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IV.G. Confidential Information
Proposals and applications received by EPA may be subject to the Freedom of Information Act;
therefore, in accordance with 40 CFR 2.203, applicants may claim all or a portion of their
proposal package as confidential business information. EPA will evaluate confidentiality claims
in accordance with 40 CFR Part 2. Applicants must clearly mark proposals/applications or
portions thereof 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
IV.H. Management Fees
When formulating budgets for proposals/applications, applicants must not include management
fees or similar charges in excess of the direct costs or at the rate provided for by the terms of the
agreement negotiated with EPA. The term "management fees or similar charges" refers to
expenses added to the direct costs in order to accumulate and reserve funds for ongoing business
expenses, unforeseen liabilities, or for other similar costs that are not allowable under EPA
assistance agreements. Management fees or similar charges may not be used to improve or
expand the project funded under this agreement, except to the extent authorized as a direct cost
of carrying out the scope of work.
SECTION V - PROPOSAL REVIEW INFORMATION
V.A. Review and Selection Process
Timely submitted proposals initially will be reviewed by the appropriate EPA Regional Office to
determine compliance with the applicable threshold criteria for assessment grants (section III.C).
The threshold criteria review is pass/fail. Applicants deemed ineligible for funding consideration
as a result of the threshold criteria review will be notified within 15 calendar days of the
ineligibility determination. All proposals that pass the threshold criteria review will then be
evaluated by national evaluation panels chosen for their expertise in the range of activities
associated with the National Brownfields Program. The national evaluation panels will be
composed of EPA staff and other federal agency representatives. Regional Offices will not
participate on national evaluation panels that consider applicants originating within their Region,
with the exception of providing input for the "Programmatic Capability" criterion. National
evaluation panels will base their evaluations solely on the responses to the applicable ranking
criteria and will assign a total point score to each proposal.
EPA Regions will provide a score and information to the evaluation panels on an applicant's
(originating from their region) response to the "Programmatic Capability" ranking criterion. This
information may take into account the Regional Office's experience, if any, with the applicant's
performance on grants managed by the Region. When 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 and prior brownfields
grantees (e.g., to verify and/or supplement the information provided by the applicant).
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Completed evaluations will then be referred to the 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, the availability of funds,
and, if and as appropriate, consideration of the other factors described in Section V.C.
V.B. Ranking Criteria for Assessment Grants
Respond to the ranking criteria below. If your proposal passes the threshold criteria review (see
section III.C.), your responses to the ranking criteria below will be evaluated and scored by
national evaluation panels.
1. Community Need
Under this criterion, proposals will be evaluated based on the quality and extent of the
applicant's description of the health, welfare, environmental, and financial needs of the
targeted community as it is affected by the presence of brownfields. Responses should
clearly identify the sources of information used in this section. [20 Points]
a. Health, Welfare, and Environment [10 Points]
i) Describe the effect brownfields currently have on your targeted community by
providing information on the number and size of the brownfields and the health,
welfare, and environmental impacts of these sites. [5 Points]
ii) Provide information describing the health and welfare of sensitive populations
such as minorities, children, and women of child-bearing age in the targeted
community. Provide any information or data showing that residents of the
targeted community are disproportionately impacted by environmental problems.
[5 Points]
b. Financial Need [10 Points]
i) Describe the economic impact of brownfields on the targeted community. Provide
information about that community such as rates of poverty, household income,
unemployment rate, or other widely available demographic information that
demonstrates the economic needs of the targeted community's residents. [5
Points]
ii) Describe factors such as fiscal condition or population size that limit your ability
to draw on other sources of funding for assessment of brownfield sites. If you
already have a brownfields grant(s) from EPA, describe why you need additional
funding. [5 Points]
2. Project Description and Feasibility of Success
Under this criterion, proposals will be evaluated based on the feasibility of the project to
be funded under this grant. Specifically, proposals will be evaluated on the extent and
quality to which the applicant demonstrates a reasonable approach to the project,
sufficient resources to complete the project, and a capability to complete the project in a
timely manner. Proposals that budget the majority of grant funds for conducting site
assessments will be viewed more favorably than those that focus on inventory or
planning activities. For coalitions, you must assess a minimum of five sites under the
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grant. Refer to Section VIE., Brownfields Programmatic Requirements, to read EPA
expectations of projects funded with brownfields assessment grants. [35 Points]
a. Project Description [5 Points]
i) Describe the project you are proposing to be funded under this grant.
b. Budget for EPA Funding and Leveraging Other Resources [10 Points]
i) Use the table format below to identify specific tasks for which EPA funding will
be used. Show the costs (by budget category) associated with each task. In
addition to the budget table, describe each task in detail, including the basis for
the estimated cost as well as the projected outputs where possible (e.g., conduct
Phase 1 assessments on five sites at a cost of $2,500 each for a total of $12,500).
(Refer to section ID. for a definition and examples of "outputs.")
Do not include tasks for activities or costs that are ineligible uses of funds under
EPA's assessment grant (e.g., land acquisition, building demolition that is not
necessary to assess contamination at the site, building or site preparation, or
administrative costs, such as indirect costs). Please refer to the Brownfields FAQ
at: http://www.epa.gov/brownfields/publications/fy2009faqs.pdffor additional
examples of ineligible uses of funds. For questions not covered by the FAQ,
contact your Regional Coordinator.
Reminder on additional use of grant funds (refer to section IB.): A local
government (does not include state or tribal governments) may use up to 10
percent of its grant funds for health monitoring of populations, monitoring and
enforcement of institutional control(s), or other related program development and
implementation activities. [5 Points]
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
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1 Travel to brownfields-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 31.36, or for
non-profits, with 40 CFR 30.40 through 30.48.
ii) Leveraging. If assessments determine that additional work (e.g., assessment or
cleanup) may be required, describe the funding or resources (public and private)
you have or will seek to complete the additional work. Describe other sources of
funding or resources that you have or are seeking to ensure the successful
revitalization of brownfield sites assessed with this grant. [5 Points]
Programmatic Capability [20 Points]
If you have ever received an EPA brownfields grant, please respond to item i. If you
have never received an EPA brownfields grant, but have received other federal or
non-federal assistance agreements (an assistance agreement is a grant or cooperative
agreement and not a contract) please respond to item ii. If you have never received
any type of federal or non-federal assistance agreements please indicate this in your
proposal and you will receive a neutral score [10 Points] for this factor. [Failure to
indicate this may result in zero points for this factor.] In evaluating an applicant's
response to this factor, in addition to the information provided by the applicant, EPA
may consider relevant information from EPA files or from other federal or non-
federal grantors to verify or supplement information provided by the applicant.
i) Currently or Has Ever Received an EPA Brownfields Grant
• Identify the EPA Brownfields grant(s) you currently have or have received in
the past. Please provide information on no more than five of your most recent
grants. Demonstrate how you successfully managed the grant(s), and
successfully performed all phases of work under the previous or existing
grant(s) by providing information on:
- Funds Expenditure: the balance of grant funds not drawn down (funds
remaining).
Compliance with grant requirements: information regarding your
compliance with the work plan, schedule, terms and conditions, timely
reporting (e.g., quarterly reports, financial status reports, ACRES, and any
other required submittals), and reporting on whether you were making
progress towards achieving the expected results under the grants and if not
whether you explained why not.
- Accomplishments: Describe your success using EPA grant funds to
assess, clean up, and redevelop brownfield sites.
• Describe your staff expertise/qualifications or the system(s) you have in place
to acquire the requisite expertise and resources required to perform the
proposed project.
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• Describe any adverse audit findings. If you have had problems with the
management of your brownfi elds grants (e.g., compliance reporting,
expenditure of funds, etc.) please describe how you corrected, or are
correcting, the problems.
ii) Has Not Received an EPA Brownfields Grant but has received other federal or
non-federal assistance agreements
• Identify current and/or prior federally and non-federally funded assistance
agreements received. Please provide information on no more than five of your
most recent assistance agreements. Describe your history of successfully
managing these agreements and performing the agreements including meeting
and complying with reporting requirements, submitting final acceptable
technical reports, and reporting on whether you were making progress towards
achieving the results under those agreements and if not whether you explained
why not.
• Describe your ability to manage the brownfields grant you are applying for
and your ability to successfully perform all phases of work under this grant.
• Describe your staff expertise/qualifications or the system(s) you have in place
to acquire the requisite expertise and resources required to perform the
proposed project.
• Describe any adverse audit findings. If you have had problems with the
administration of any grants (e.g., compliance reporting, expenditure of funds
etc), please describe how you have corrected, or are correcting, the problems.
3. Community Engagement and Partnerships
Under this criterion, proposals will be evaluated based on: 1) the applicant's plan for
engaging the targeted community in the project to be funded under this grant; 2) the
extent to which the applicant has identified and established relationships with the partners
necessary to achieve the project's goals; and 3) the extent to which the support letters
provided by community-based organizations involved with the project demonstrate
specific and valuable commitments to the project. [Refer to Section IV.E. and IV.F. for
requirements related to financial transactions with community based organizations.] [20
Points]
a. Discuss your plan for involving the affected community (e.g., neighborhood
organizations, citizens' groups, borrowers, redevelopers, and other stakeholders) in
site selection for assessments, cleanup decisions, or reuse planning, including
activities that have already occurred. Describe your plan for communicating the
progress of your project to citizens, including plans for communicating in languages
commonly used in the community. [5 Points]
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b. Describe your efforts and/or plans to develop partnerships with your local/state/tribal
environmental and health agencies and other relevant governmental agencies to
ensure your brownfields project is successful. [5 Points]
c. Provide a description of, and role of, the key community-based organizations
involved in your project. These organizations may include, but are not limited to,
local citizen or business groups, environmental or civic organizations, educational
institutions, and local labor organizations. [Note: Community-based organizations do
not include local government departments, the local planning
department/district/office, local contractors, the mayor's office, or other elected
officials.] Attach letters from all community-based organizations mentioned that
describe their roles and affirm any referenced commitments. [10 Points]
4. Project Benefits
Under this criterion, proposals will be evaluated on the extent to which the project's
anticipated outcomes promote general welfare through the improvement of the public
health and safety, economy, and environment of the targeted community and how these
outcomes will contribute to your overall community "vision" for the revitalization of
brownfield sites. Consideration will be given to how public health issues are addressed
during the project, the anticipated benefits of redevelopment, and the incorporation of
sustainable practices. [Refer to section ID. for an explanation of outcomes.] [25 Points]
a. Welfare and/or Public Health [ 10 Points]
Describe the environmental, social, and/or public health benefits anticipated from the
redevelopment of sites assessed under this grant. Describe how nearby and sensitive
populations in your targeted community will be protected from contaminants during
assessment work conducted on brownfield sites under this grant.
b. Economic Benefits and/or Greenspace [5 Points]
Explain how the grant will produce:
i) Economic benefits, such as increased employment and expanded tax base,
through the redevelopment of sites assessed under this grant. Provide quantitative
estimates where feasible; and/or
ii) Other non-economic benefits associated with sites to be reused for greenspace
or other not-for-profit activities. Greenspace includes areas redeveloped for uses
such as parks, recreation areas, greenways, or environmental buffers. Other not-
for-profit activities include the work of governmental or charitable organizations.
c. Environmental Benefits from Infrastructure Reuse/Sustainable Reuse [5 Points]
Describe any anticipated environmental benefits, beyond the assessment and
remediation of contaminants, associated with the sustainable redevelopment of sites
assessed under this grant, including the use of existing infrastructure, such as utilities
and public transit.
d. Describe your plan for tracking and measuring your progress towards achieving the
expected project outcomes, including those identified in Section ID. [5 Points]
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V.C. Other Factors
In making final selection recommendations, EPA's Selection Official may consider the following
factors if, and as, appropriate:
• Fair distribution of funds between urban and non-urban areas;
• A balanced distribution of funds among EPA's ten Regions;
• Fair distribution of funds between new applicants and previous brownfields grant
recipients;
• Compliance with the twenty-five percent statutory petroleum funding allocation;
• The benefits of promoting the long-term availability of funds under the RLF grants;
• Whether the applicant is a federally recognized Indian tribe or United States territory;
• The need to provide funding to address specific types of contamination identified in the
Brownfields law such as whether a site is mine-scarred or contaminated with controlled
substances; and
• The needs of communities aversely affected by natural disasters.
V.D. Proposal Checklist for Assessment Grants.
Before you submit your proposal(s) for assessment grants, please ensure the following
documents are included in your package submitted to EPA and EPA's contractor.
S# Transmittal Letter (2 -page limit)
rf The Narrative Proposal, which includes the responses to applicable threshold and all
ranking criteria (18-page limit)
rf Letter from the state or tribal environmental authority (see section III.C.2.)
i*
I*
Documentation of applicant eligibility if other than city, county, state, or tribe (see
section III.C.l.)
Letters of Support from all community-based organizations identified in the
community engagement and partnerships ranking criteria (see section V.B.3.)
rf Justification for requested waiver of the $200,000 limit for a site-specific assessment,
if applicable (see section LA. 2.).
rf Property-specific determination request, if applicable (see section IILC.S.d.)
I*
i*
Letters of commitment from assessment coalition members, if applicable (see section
III.C.l.)
Petroleum eligibility determination information, if applicable (see section IILC.S.i.)
SECTION VI - AWARD ADMINISTRATION INFORMATION
VI.A. Award Notices
EPA Regions will notify applicants who fail threshold eligibility requirements within 15 calendar
days of the Agency's determination of ineligibility. EPA will notify applicants who have not
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been selected for award based on the ranking criteria and other factors within 15 calendar days of
EPA's final decision on selections for this competition.
EPA anticipates notification to successful applicants will be made via telephone or electronic or
postal mail by Spring 2009. The notification will be sent to the original signer of the proposal or
the project contact listed in the proposal. This notification, which informs the applicant that its
proposal has been selected and is being recommended for award, is not an authorization to begin
work. The successful applicant must prepare a work plan and submit application forms, which
must be approved by EPA, before the grant can officially be awarded. The award notice, signed
by an EPA grants officer, is the authorizing document and will be provided through postal mail.
The time between notification of selection and award of a grant can take up to 90 days or longer.
VLB. 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.
2. Approved cooperative agreements will include terms and conditions that will be binding
on the grant recipient. Terms and conditions specify what grantees must do to ensure that
grant-related and Brownfields Program-related requirements are met. 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
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.
VI.C. Reporting Requirements
During the life of the cooperative agreement, recipients are required to submit progress reports to
the EPA Project Officer within 30 days after each reporting period. The reporting period (i.e..,
quarterly, annually) is set forth in the terms and conditions of the cooperative agreement. These
reports shall cover work status, work progress, difficulties encountered, an accounting of
financial expenditures, preliminary data results, anticipated activities, and any changes of key
personnel involved with the project. Additionally, recipients will be required to report site-
specific accomplishments on Property Profile Forms and preferably submit them electronically
to EPA's ACRES reporting system.
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At the end of the cooperative agreement, a final project report also is required. The final report
will summarize accomplishments, expenditures, outcomes, outputs, lessons learned, and any
other resources leveraged during the project and how they were used.
VI.D. Disputes
Disputes related to this competition will be resolved in accordance with the dispute resolution
procedures published in 70 FR (Federal Register) 3629, 3630 (January 26, 2005), which can be
found at http://www.epa.gov/ogd/competition/resolution.htm. Copies of these procedures also
may be requested by contacting the Brownfields Coordinator identified in Appendix 1 of this
announcement.
VI.E. Brownfields Programmatic Requirements
Brownfields grantees must comply with all applicable federal and state laws to ensure that the
assessment and cleanup protects human health and the environment. Brownfields grantees also
must comply with the program's technical requirements, which may include, but are not limited
to, the following:
1. Quality Assurance (QA) Requirements
When environmental samples are collected as part of any brownfields cooperative agreement
(e.g., assessment and site characterization, cleanup verification sampling, post-cleanup
confirmation sampling), recipients shall submit to EPA for approval a Quality Assurance
Project Plan (QAPP) prior to the collection of environmental samples. The QAPP must
document quality assurance practices sufficient to produce data adequate to meet project
objectives and minimize data loss. Compliance with the Quality Assurance requirements is
an eligible use of grant funds for all three grant types.
2. Historic Properties or Threatened and Endangered Species
If historic properties or threatened or endangered (T&E) species may be impacted by the
assessment or cleanup of a site, the requirements of the National Historic Preservation Act
(NHPA) or the Endangered Species Act (ESA) may apply, respectively. Grantees are
required to consult with EPA prior to conducting any on-site activity (such as invasive
sampling or cleanup) that may affect historic properties or T&E species to ensure that the
requirements of Section 106 of NHPA and Section 7(a)(2) of the ESA are met. Assessment
grantees should plan for these consultation requirements.
3. Collection of Post-Grant Information
Under the Government Performance and Results Act, EPA reports on the many benefits of
brownfields funding. One such measure provides information on additional resources
leveraged as a result of using brownfields grant funds. These leveraged, non-EPA funds may
include additional cleanup funds or redevelopment funding from other federal agencies, state,
tribal, and local governments, or private organizations. As many of these activities occur
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beyond the grant period, please note that EPA may contact you well after the grant period of
performance to collect this information.
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Appendix 1
Regional Brownfields Coordinators
REGION & STATES
ADDRESS/PHONE NUMBER/EMAIL
EPA Region 1
Diane Kelley
Kelley.Diane@epa.gov
CT, ME, MA,
NH, Rl, VT
One Congress Street
Suite 1100
Boston, MA 02114-2023
Phone (617) 918-1424
Fax (617) 918-1291
EPA Region 2
Ramon Torres
Torres.Ramon@epa.gov
NJ, NY, PR, VI
290 Broadway
18th Floor
New York, NY 10007
Phone (212) 637-4309
Fax (212) 637-4360
EPA Region 3
Tom Stolle
Stolle.Tom@epa.gov
DE, DC, MD,
PA, VA, WV
1650 Arch Street
Mail Code 3HS51
Philadelphia, PA 19103
Phone (215) 814-3129
Fax (215) 814-5518
EPA Region 4
Mike Norman
Norman.Michael@epa.gov
AL, FL, GA,
KY, MS, NC,
SC, TN
Atlanta Federal Center
61 Forsyth Street, S.W.
10TH FL
Atlanta, GA 30303-8960
Phone (404) 562-8792
Fax (404) 562-8439
EPA Region 5
Deborah Orr
Orr.Deborah@epa.gov
IL, IN, Ml, MN,
OH, Wl
77 West Jackson Boulevard
Mail Code SE-4J
Chicago, IL 60604-3507
Phone (312) 886-7576 Fax (312) 886-7190
EPA Region 6
Monica Chapa Smith
Smith.Monica@epa.gov
AR, LA, NM,
OK, TX
First Interstate Bank Tower at Fountain Place
1445 Ross Avenue, Suite 1200 (6SF-VB)
Dallas, TX 75202-2733
Phone (214) 665-6780 Fax (214) 665-6660
EPA Region 7
Susan Klein
Klein.Susan@epa.gov
I A, KS, MO,
NE
901 N. 5th Street
Kansas City, KS66101
Phone (913) 551-7786
Fax (913) 551-8688
EPA Region 8
Dan Heffernan
Heffernan.Daniel@epa.gov
CO, MT, ND,
SD, UT, WY
1595 Wynkoop Street (EPR-B)
Denver, CO 80202-1129
Phone (303) 312-7074 Fax (303) 312-6065
EPA Region 9
Debbie Schechter
Schechter.Debbie@epa.gov
AZ, CA, HI,
NV, AS, GU
75 Hawthorne Street, SFD 9-1
San Francisco, CA 94105
Phone (415) 972-3093 Fax (415) 947-3520
EPA Region 10
Susan Morales
Morales.Susan@epa.gov
AK, ID, OR,
WA
1200 Sixth Avenue, Suite 900
Mailstop: ECL-112
Seattle, WA 98101
Phone (206) 553-7299 Fax (206)553-0124
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Appendix 2
Information on Sites Eligible for
Brownfields Funding Under CERCLA §104(k)
2.1 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.
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.
2.2 General Definition of Brownfield Site
The Brownfields 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."
Brownfield sites include all "real property," including residential, as well as
commercial and industrial properties.
2.3 Additional Areas Specifically Eligible for Funding
The Brownfields Law also identifies three additional 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.
2.3.1 Contamination by Controlled Substance
Sites eligible for funding include real property, including residential property, that is
contaminated by a controlled substance. A "controlled substance" is defined under the
Controlled Substances Act as "a drug or other substance, or immediate precursor, included in
schedule I, II, III, IV, or V of part B of this title (21 USC Section 812). The term does not
include distilled spirits, wine, malt beverages, or tobacco..." For example, sites eligible for
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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).
2.3.2 Contamination by Petroleum or Petroleum Product
Petroleum-contaminated sites must meet certain requirements to be eligible for brownfields
funding. 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."
For a petroleum-contaminated site(s) that otherwise meets the definition of a brownfield 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.
3. The site will not be assessed, investigated, or cleaned up by a person that is potentially
liable for cleaning up the site.
4. The site must not be subject to a corrective action order under the Resource Conservation
and Recovery Act (RCRA) §9003(h).
Site-specific assessment or cleanup grant proposals for petroleum-contaminated sites 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.
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 this section.
Note: A petroleum eligibility 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). EPA's
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).
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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.
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 the 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 cleanup of 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.1
*For purposes of the grant program and these guidelines only, the current owner is the entity that
will own the property on June 30, 2009. 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 is not eligible for funding.
1 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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If there is a responsible party for the site, the applicant should explain in its application what
steps it took to determine a responsible party's Financial status, and why the information
presented indicates that the responsible party is not viable. A state making the "viable
responsible party" determination for the applicant may use the standards contained in this
Appendix or its own standard. If a state is not making the determination or a tribe is the
applicant, EPA will follow the standard set forth in this Appendix. Note that any viability
determination made by EPA is for purposes of the CERCLA Section 104(k) grant program only.
EPA will consider a party to be viable if the party is financially capable of satisfying obligations
under federal or state law to conduct the activity (i.e., assessment, investigation, or cleanup)
identified in the grant.
Generally, EPA will consider ongoing businesses or companies (corporations, LLCs,
partnerships, etc.) and government entities to be viable. EPA will generally deem a defunct or
insolvent company and an individual responsible party to be not viable. EPA will apply these
assumptions to its petroleum grant viability determinations, unless there is information
suggesting that the assumption is not appropriate in a particular case (e.g., if there is information
that an individual has adequate financial resources to address contamination at a site, or if there
is information indicating an ongoing business is not, in fact, viable). An applicant should indicate
if one of the above assumptions applies and provide support for the assertion. In circumstances
not covered by one of the above assumptions, the applicant should explain why the responsible
party is not viable.
An applicant seeking to determine the financial status (i.e., the viability) of a responsible party
should consider consulting the following resources and any other resources it may deem to be
useful to make this determination:
1. Responsible Party: Ask the responsible party for its financial information (tax returns,
bank statements, financial statements, insurance policies designed to address
environmental liabilities, etc.), especially if the responsible party is still associated with
the site or is the applicant, and, therefore, will receive the benefit of the grant. An
applicant that is a responsible party and claiming it is not viable should provide
conclusive information, such as an INDIPAY or MUNIPAY analysis, on its inability to
pay for the assessment or cleanup.
2. Federal, State, and Local Records: Federal, state, and local (i.e., county and city)
records often provide information on the status of a business. An applicant that is a state
or local government should at the very least search its own records for information on a
responsible party. Examples of such resources include regulatory records (e.g., state
hazardous waste records), Secretary of State databases, and property/land records.
3. Public and Commercial Financial Databases: Applicants also may obtain financial
data from publicly available and commercial sources. Listed below are examples of
sources for financial data that applicants may consider. Please note that some commercial
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sources may charge fees; EPA does not endorse the use of any specific sources, and EPA
will accept reliable data from other sources as part of a proposal for funding.
Examples of sources: Lexis/Nexus, Dun & Bradstreet reports, Hoover's Business
Information, Edgar Database of Corporate Information, Thomas Register of American
Manufacturers, The Public Register, Corporate Annual Reports, internet search engines
(Google, Ask).
"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 or owned the property during the
dispensing or disposal 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 Resource Conservation and Recovery
Act (RCRA)"
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 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.
2.3.3 Mine-Scarred Lands
Mine-scarred lands are eligible for brownfields funding. 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.
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.
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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.
2.4 Sites Not Eligible for Brownfields Funding
The following three types of properties are not eligible for brownfields funding under the
Brownfields Law, even on a property-specific basis. Applicants should not include these types of
sites in the funding proposals.
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. Facilities owned by, or under the custody or control of, the federal
government are not eligible for brownfields funding. EPA's view is that this exclusion
may not extend to:
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 United States
government.
Note that land held in trust by the United States government for an Indian tribe is not excluded
from funding eligibility. In addition, 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.
2.5 Particular Classes of Sites Eligible for Brownfields Funding Only With Property-
Specific Determinations
The following special classes of property are generally ineligible brownfield sites unless EPA
makes a "Property-Specific Determination":
• Properties subject to planned or ongoing removal actions under CERCLA.
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• 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 United States 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 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 cleanup from the LUST trust fund.
EPA's approval of Property-Specific Determinations 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. Property-Specific Determination requests should be attached to your proposal and do
not count in the 18-page limit. See the Brownfields FAQ at:
http://www.epa.gov/brownfields/publications/fy2009faqs.pdffor more information on how to
prepare and submit a Property-Specific Determination.
2.5.1 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 Engineering
Evaluation/Cost Analysis approval memo; EPA mobilizes onsite; EPA issues a notice of federal
interest to one or more potentially responsible parties (PRPs), which in emergencies may be
made verbally; or EPA takes other actions that are consistent with a removal.
Once a removal action is complete, a property is eligible for brownfields funding without having
to obtain a property-specific funding determination. EPA's view is that, solely for the purposes
of eligibility to receive brownfields funding, 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). 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.
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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 brownfields funds and any
additional site assessment activities should be conducted in coordination with the OSC for the
site.
2.5.2 Facilities to which a permit has been issued by the United States or an authorized
state under the Resource Conservation and Recovery 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 cleanup of the property will further the goals established for
property-specific funding determinations as described in the Brownfields FAQ at:
http://www.epa.gov/brownfields/publications/fy2009faqs.pdf
In some cases, a facility may not have a permit or order because it is not in compliance with
federal or state environmental laws requiring that it obtain a permit or the facility has failed to
notify EPA of its 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 its 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 the Brownfields FAQ at:
http://www.epa.gov/brownfields/publications/fv2009faqs.pdf
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2.5.3 RCRA Sites
RCRA Facilities that are Eligible for Funding
EPA's view is that the following types of RCRA facilities are eligible for brownfields funding
and do not require Property-Specific Determinations:
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.
RCRA Facilities That Require Property-Specific Determinations
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.
2.5.4 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 with a Property-Specific Determination.
2.5.5 Sites Contaminated with PCBs
The Brownfields Law excludes from funding eligibility portions of facilities where there has
been a release of PCBs that are subject to remediation under TSCA.
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EPA's 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 EPA's 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. However, 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 will require a Property-
Specific Determination to be eligible for brownfields funding, including:
• 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 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
(40CFR761.50(b)(3));
Penalty for violation of TSCA remediation requirements;
Superfund removal action; or
Remediation required under RCRA §3004(u) or §3004(v).
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 cleanup or remediation specifically
addressing the remediation of PCBs at brownfield sites.
2.5.6 LUST Trust Fund Sites
The Brownfields Law requires a Property-Specific Determination for funding at 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
UST sites where money is being spent on actual assessment and/or cleanup of UST/petroleum
contamination.
However, in cases where the state agency has used LUST trust fund money for state program
oversight activities on an UST site, but has not expended LUST trust funds for specific
assessment and/or cleanup activities at the site, the site would be eligible for brownfields funding
and does not need a Property-Specific Determination. 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
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enable the creation of, preservation of, or addition to greenspace (see guidance on documenting
eligibility for property-specific funding determinations provided in the Brownfields FAQ at:
http://www.epa.gov/brownfields/publications/fy2009faqs.pdf).
Examples of sites receiving LUST trust fund monies that EPA 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 cleanup of
petroleum contamination, but the site still needs some cleanup 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
cleanup that will contribute to economic revitalization of the site.
2.6 Eligible Response Sites/Enforcement Issues
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(39)(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.
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
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
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ongoing or anticipated environmental enforcement actions related to the brownfield site for
which funding is sought.
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Appendix 3
Grants.gov Proposal Submission Instructions
General Proposal Instructions
The electronic submission of your proposal must be made by an official representative of your
institution who is registered with Grants.gov and is authorized to sign applications for federal
assistance. For more information, go to http://www.grants.gov and click on "Get Registered" on
the left side of the page. 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 Authorized Organization Representative (AOR) and ask that individual to
begin the registration process as soon as possible.
To begin the proposal process under this grant announcement, go to http://www.grants.gov and
click on the "Apply for Grants" tab on the left side of the page. Then click on "Apply Step 1:
Download a Grant Application Package" to download the compatible Adobe viewer and obtain
the application package To apply through grants.gov you must use Adobe Reader
applications and download the compatible Adobe Reader version (Adobe Reader
applications are available to download for free on the Grants.gov website. For more
information on Adobe Reader please visit the Help section on grants.gov at
http://www.grants.gov/help/help .j sp or http://www.grants.gov/aboutgrants/program status.j sp).
Once you have downloaded the viewer, you may retrieve the application package by entering the
Funding Opportunity Number, EPA-OSWER-OBLR-08-07, or the CFDA number that applies to
the announcement (CFDA 66.818), in the appropriate field. You may also be able to access the
proposal package by clicking on the Application button at the top right of the synopsis page for
this announcement on http://www.grants.gov (to find the synopsis page, go to
http://www.grants.gov and click on the "Find Grant Opportunities" button on the left side of the
page and then go to Search Opportunities and use the Browse by Agency feature to find EPA
opportunities).
Proposal Submission Deadline: Your organization's AOR must submit your complete
proposal package, as described below and in Section IV.C of the announcement, electronically to
EPA through Grants.gov (http://www.grants.gov) no later than November 14, 2008. Please
submit all proposal materials described below.
Proposal Materials
The following forms and documents are required to be submitted under this
announcement:
I. Application for Federal Assistance (SF-424)
II. Budget Information for Non-Construction Programs (SF-424A)
III. Narrative Proposal including transmittal letter. See section IV.C. for details on the
content of the narrative proposal and transmittal letter and the associated page limits.
IV. Required Attachments-See Section IV.C of announcement.
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The proposal package must include all of the following materials:
I. Standard Form (SF) 424, Application for Federal Assistance
Complete the form. There are no attachments. Please be sure to include organization fax number
and email address in Block 5 of the Standard Form SF 424.
Please note that the organizational Dun and Bradstreet (D&B) Data Universal Numbering
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.
II. Standard Form SF 424A - Budget Information
Complete the form. There are no attachments.
The total amount of federal funding requested for the project period should be shown on line 5(e)
and on line 6(k) of SF-424A. If indirect costs are included, the amount of indirect costs should be
entered on line 6(j). The indirect cost rate (i.e.., a percentage), the base (e.g., personnel costs and
fringe benefits), and the amount should also be indicated on line 22.
III. Narrative Proposal and Transmittal Letter
The documents should be readable in PDF, MS Word or Word Perfect WP6/7/8 for Windows
and consolidated into a single file. See Section IV.C for details on the content of the narrative
proposal and transmittal letter.
IV. Other Attachments Form - For Required Attachments.
Use the "Other Attachments Form" to attach a copy of required attachments. (See Section IV.C
of the Announcement for more details of the required attachments.)
Application Preparation and Submission Instructions
Documents I through IV listed under Proposal Materials above should appear in the
"Mandatory Documents" box on the Grant Application Package page.
For documents I and II, 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 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 III, you will need to attach electronic files. Prepare your narrative proposal
(including transmittal letter) as described in section IV.C. of the announcement and save the
document to your computer as an MS Word, PDF, or WordPerfect file. When you are ready to
attach it 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
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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."
To attach the required attachments (document IV), use the "Other Attachments Form." After
attaching the documents, please remember to highlight the "Other Attachments Form" and click
"Move Form to Submission List".
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 webpage. 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. Please use the
following format when saving your file: "Applicant Name-FY09-Assoc Prog Supp-lst
Submission" or "Applicant Name-FY09-Assoc Prog Supp-Back-up Submission." If it becomes
necessary to submit an amended package at a later date, then the name of the 2nd submission
should be changed to "Applicant Name-FY09-Assoc Prog Supp-2nd Submission."
Once your proposal 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.
In the "Application Filing Name" box, your AOR should enter your organization's name
(abbreviate where possible), the fiscal year (e.g., FY09), and the grant category (e.g., Assoc Prog
Supp). 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 http://www.grants.gov/help/help.j sp or contact EPA's grants.gov contact.
Proposal packages submitted through grants.gov will be time/date stamped electronically.
TRANSMISSION DIFFICULTIES
If transmission difficulties that result in a late transmission, no transmission, or rejection of the
transmitted proposal are experienced, follow the guidance below. EPA may decide to review the
proposal if it is clearly demonstrated that these transmission difficulties were due solely as a
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result of problems associated with the transfer to Grants.gov. The decision regarding acceptance
of the proposal for review will be made by EPA and provided to the applicant within ten working
days of the request. All e-mails, as described below, are to be sent to brooks.becky@epa.gov
with the Applicant Name in the subject line.
(1) Late transfer or no transmission due to electronic submission problems: Should electronic
submission problems result in the proposal being transferred to Grants.gov after 11:59 p.m.
Eastern Time on the solicitation closing date, send an e-mail documenting the problem, include
the Grants.gov "case number" and attach the entire proposal.
(2) Grants.gov rejection of proposal: If a notification is received from Grants.gov stating that
the proposal has been rejected for reasons other than late submittal, immediately send an
email which includes the notice provided by Grants.gov documenting rejection and attach the
entire proposal.
If you have not received a confirmation of receipt from EPA (not from grants.gov) within 30
days of the proposal deadline, please contact Becky Brooks at 202-566-2762 or
brooks.becky@epa.gov. Failure to do so may result in your proposal not being reviewed.
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