United States
Environmental Protection
Agency
Office of Brownfields
and Land Revitalization
(5150T)
EPA-560-F-15-198
October 2016
Funding Guidance for State and Tribal Response Programs Fiscal Year 2017
Section 128(a) of the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA), as amended, authorizes a noncompetitive $50 million grant program to establish and
enhance state1 and tribal2 response programs. CERCLA section 128(a) response program grants
(https://www.epa.gov/brownfields/brownfields-state-local-tribal-information) are funded with
categorical3 State and Tribal Assistance Grant (STAG) appropriations. Section 128(a)
cooperative agreements are awarded and administered by the U.S. Environmental Protection
Agency (EPA) regional offices. This document provides guidance that will enable states and
tribes to apply for and use Fiscal Year 2017 section 128(a) funds4.
The Catalogue of Federal Domestic Assistance (https://www.cfda.gov/) entry for the section
128(a) state and tribal response program cooperative agreements is 66.817. This grant program is
eligible to be included in state and tribal Performance Partnership Grants under 40 CFR Part 35
Subparts A and B, with the exception of funds used to capitalize a revolving loan fund for
brownfields remediation under section 104(k)(3); or purchase insurance or develop a risk sharing
pool, an indemnity pool, or insurance mechanism to provide financing for response actions under
a state or tribal response program.
Requests for Funding
•	Requests for funding will be accepted from November 1, 2016 - December 31, 2016.
Requests EPA receives after December 31, 2016 will not be consideredfor FY2017 funding.
•	Information that must be submitted with the funding request is listed in Section VIII of this
guidance. States or tribes that do not submit the request in the appropriate manner may forfeit
their ability to receive funds.
•	First time requestors are strongly encouraged to contact their Regional EPA Brownfields
contacts, listed on the last page of this guidance, prior to submitting their funding request.
•	EPA will consider funding requests up to a maximum of $1.0 million per state or tribe for
•	EPA will consider requests submitted by the December 31, 2016, deadline. For those that are
approved, final cooperative agreement work plans and budgets will be negotiated with the
regional offices once final funding allocation determinations are made.
•	EPA will place special emphasis on reviewing a cooperative agreement recipient's use of
prior section 128(a) funding in making allocation decisions, and unexpended balances are
subject to 40 CFR 35.118 and 40 CFR_35.518 to the extent consistent with this guidance.
Also, EPA will prioritize funding for recipients establishing their response programs.
•	States and tribes requesting funds are required to provide a Dun and Bradstreet Data
Universal Numbering System (DUNS) number with their cooperative agreement's final
1-The term "state" is defined in this document as defined in CERCLA section 101(27).
2The term "Indian tribe" is defined in this document as it is defined in CERCLA section 101(36). Intertribal consortia, as defined
in the Federal Register Notice at 67 FR 67181, Nov. 4, 2002, are also eligible for funding under CERCLA section 128(a).
3Categorical grants are issued by the U.S. Congress to fund state and local governments for narrowly defined purposes.
4 The Agency may waive any provision of this guidance that is not required by statute, regulation, Executive Order or overriding
Agency policies.
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package. For more information, please visit wvvvv.grants.gov.

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Table of Contents
I.	BACKGROUND	4
II.	ELIGIBILITY FOR FUNDING	4
III.	MATCHING FUNDS/COST-SHARE	4
IV.	THE FOUR ELEMENTS - SECTION 128(a)(2)	4
V.	PUBLIC RECORD REQUIREMENT	6
A.	Distinguishing the "survey and inventory" element from the "public record"	6
B.	Making the public record easily accessible	7
C.	Long-term maintenance of the public record	7
VI.	USE OF FUNDING	8
A.	Overview	8
B.	Uses related to establishing a state or tribal response program	8
C.	Uses related to enhancing a state or tribal response program	9
D.	Uses related to site-specific activities	9
E.	Uses related to activities at "non-brownfield" sites	13
VII.	GENERAL PROGRAMMATIC GUIDELINES FOR SECTION 128(a) GRANT FUNDING REQUESTS	13
A.	One application per state or tribe	13
B.	Maximum funding request	13
C.	Define the state or tribal response program	13
D.	Separate cooperative agreements for the capitalization of RLFs using Section 128(a) funds	14
E.	Authority to manage a revolving loan fund program	14
F.	Section 128(a) cooperative agreements can be part of a Performance Partnership Grant (PPG)	14
G.	Project period	14
H.	Demonstrating the four elements	14
I.	Establishing and maintaining the public record	15
J. Demonstration of significant utilization of prior years' funding	15
K. Allocation system and process for distribution of funds	15
VIII.	INFORMATION TO BE SUBMITTED WITH THE FUNDING REQUEST	17
A. Summary of planned use of FY17 funding	17
IX.	TERMS AND REPORTING	18
A.	Progress reports	18
B.	Reporting of program activity levels	21
C.	Reporting of public record	22
D.	Award administration information	22
REGIONAL STATE AND TRIBAL BROWNFIELDS CONTACTS	25
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I.	BACKGROUND
State and tribal response programs oversee assessment and cleanup activities at brownfield sites
across the country. The depth and breadth of these programs vary. Some focus on CERCLA
related activities, while others are multi-faceted, addressing sites regulated by both CERCLA and
the Resource Conservation and Recovery Act (RCRA). Many states also offer accompanying
financial incentive programs to spur cleanup and redevelopment. In enacting CERCLA section
128(a)5 Congress recognized the value of state and tribal response programs in cleaning up and
redeveloping brownfield sites. Section 128(a) strengthens EPA's partnerships with states and
tribes, and recognizes the response programs' critical role in overseeing cleanups.
This funding is intended for states and tribes that have the management and administrative
capacity within their government required to administer a federal grant. The primary goal of this
funding is to ensure that state and tribal response programs include, or are taking reasonable
steps to include, certain elements of an environmental response program and that the program
establishes and maintains a public record of sites addressed.
Subject to the availability of funds, EPA regional personnel will provide technical assistance to
states and tribes as they apply for and carry out section 128(a) cooperative agreements.
II.	ELIGIBILITY FOR FUNDING
To be eligible for funding under CERCLA section 128(a), a state or tribe must:
1.	demonstrate that its response program includes, or is taking reasonable
steps to include, the four elements of a response program described in
Section IV of this guidance; or be a party to a voluntary response program
Memorandum of Agreement (VRP MO A) with EPA;
AND
2.	maintain and make available to the public a record of sites at which
response actions have been completed in the previous year and are
planned to be addressed in the upcoming year (see CERCLA section
128(b)(1)(C)).
III.	MATCHING FUNDS/COST-SHARE
States and tribes are not required to provide matching funds for cooperative agreements awarded
under section 128(a), with the exception of section 128(a) funds a state or tribe uses to capitalize
a Brownfields Revolving Loan Fund (RLF), for which there is a 20% cost share requirement.
Section 128(a) funds used to capitalize a RLF must be operated in accordance with CERCLA
section 104(k)(3).
IV.	THE FOUR ELEMENTS - SECTION 128falf21
Section 128(a) recipients that do not have a VRP MO A with EPA must demonstrate that their
response program includes, or is taking reasonable steps to include, the four elements described
5Section 128(a) was added to CERCLA in 2002 by the Small Business Liability Relief and Brownfields Revitalization Act
(Brownfield Amendments).
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below. Achievement of the four elements should be viewed as a priority. Section 128(a)
authorizes funding for activities necessary to establish and enhance the four elements and to
establish and maintain the public record requirement.
The four elements of a response program are described below:
1.	Timely survey and inventory of brownfield sites in state or tribal land. The goal for this
element is to enable the state or tribe to establish or enhance a system or process that will
provide a reasonable estimate of the number, likely locations, and the general
characteristics of brownfield sites in their state or tribal lands.
EPA recognizes the varied scope of state and tribal response programs and will not
require states and tribes to develop a "list" of brownfield sites. However, at a minimum,
the state or tribe should develop and/or maintain a system or process that can provide a
reasonable estimate of the number, likely location, and general characteristics of
brownfield sites within their state or tribal lands. Inventories should evolve to a
prioritization of sites based on community needs, planning priorities, and protection of
human health and the environment. Inventories should be developed in direct
coordination with communities, and particular attention should focus on communities
with limited capacity to compete for and manage a competitive brownfield assessment,
revolving loan, or cleanup cooperative agreement.
Given funding limitations, EPA will negotiate work plans with states and tribes to
achieve this goal efficiently and effectively and within a realistic time frame. For
example, many of EPA's Brownfields Assessment cooperative agreement recipients
conduct inventories of brownfield sites in their communities or jurisdictions. EPA
encourages states and tribes to work with these cooperative agreement recipients to
obtain the information that they have gathered and include it in their survey and
inventory.
2.	Oversight and enforcement authorities or other mechanisms and resources. The goal for
this element is to have state and tribal response programs that include oversight and
enforcement authorities or other mechanisms and resources to ensure that:
a.	a response action will protect human health and the environment and be
conducted in accordance with applicable laws; and
b.	the state or tribe will complete the necessary response activities if the person
conducting the response fails to complete them (this includes operation and
maintenance and/or long-term monitoring activities).
3.	Mechanisms and resources to provide meaningful opportunities for public participation.6
The goal for this element is to have states and tribes include in their response program
mechanisms and resources for meaningful public participation, at the local level,
including, at a minimum:
a. public access to documents and related materials that a state, tribe, or party
6States and tribes establishing this element may find useful information on public participation on the EPA's community
involvement web site at https://www. epa. gov/superfund/superfund-communitv-involvement.
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conducting the cleanup is relying on or developing to make cleanup
decisions or conduct site activities;
b.	prior notice and opportunity for meaningful public comment on cleanup
plans and site activities, including input into the prioritization of sites; and
c.	a mechanism by which a person who is, or may be, affected by a release or
threatened release of a hazardous substance, pollutant, or contaminant at a
brownfield site —located in the community in which the person works or
resides—may request that a site assessment be conducted. The appropriate
state or tribal official must consider this request and appropriately
respond.
4. Mechanisms for approval of cleanup plans and verification and certification that cleanup
is complete. The goal for this element is to have states and tribes include in their response
program mechanisms to approve cleanup plans and to verify that response actions are
complete, including a requirement for certification or similar documentation from the
state, the tribe, or a licensed site professional that the response action is complete.
Written approval by a state or tribal response program official of a proposed cleanup plan
is an example of an approval mechanism.
V. PUBLIC RECORD REQUIREMENT
In order to be eligible for section 128(a) funding, states and tribes (including those with MO As)
must establish and maintain a public record system, as described below, to enable meaningful
public participation (refer to Section IV.3 above). Under section 128(b)(1)(C), states and tribes
must:
1.	maintain and update, at least annually, or more often as appropriate, a public record that
includes the name and location of sites at which response actions have been completed
during the previous year;
2.	maintain and update, at least annually, or more often as appropriate, a public record that
includes the name and location of sites at which response actions are planned in the next
year; and
3.	identify in the public record whether or not the site, upon completion of the response
action, will be suitable for unrestricted use. If not, the public record must identify the
institutional controls relied on in the remedy and include relevant information concerning
the entity responsible for oversight, monitoring, and/or maintenance of the institutional
and engineering controls; and how the responsible entity is implementing those activities
(see Section V.C).
Section 128(a) funds may be used to maintain and make available a public record system that
meets the requirements discussed above.
A. Distinguishing the "survey and inventory" element from the "public
record"
It is important to note that the public record requirement differs from the "timely survey
and inventory" element described in the "Four Elements" section above. The public
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record addresses sites at which response actions have been completed in the previous
year or are planned in the upcoming year. In contrast, the "timely survey and inventory"
element, described above, refers to identifying brownfield sites regardless of planned or
completed actions.
B.	Making the public record easily accessible
EPA's goal is to enable states and tribes to make the public record and other information,
such as information from the "survey and inventory" element, easily accessible. For this
reason, EPA will allow states and tribes to use section 128(a) funding to make such
information available to the public via the internet or other avenues. For example, the
Agency would support funding state and tribal efforts to include detailed location
information in the public record such as the street address and latitude and longitude
information for each site.7 States and tribes should ensure that all affected communities
have appropriate access to the public record by making it available on-line, in-print at
libraries or at other community gathering places.
In an effort to reduce cooperative agreement reporting requirements and increase public
access to the public record, EPA encourages states and tribes to place their public record
on the internet. If a state or tribe places the public record on the internet, maintains the
substantive requirements of the public record, and provides EPA with the link to that site,
EPA will, for purposes of cooperative agreement funding only, deem the public record
reporting requirement met.
C.	Long-term maintenance of the public record
EPA encourages states and tribes to maintain public record information, including data
on institutional controls, on a long-term basis (more than one year) for sites at which a
response action has been completed. Subject to EPA regional office approval, states or
tribes may include development and operation of systems that ensure long-term
maintenance of the public record, including information on institutional controls (such as
ensuring the entity responsible for oversight, monitoring, and/or maintenance of the
institutional and engineering controls is implementing those activities) in their work
plans.8
7For further information on data quality requirements for latitude and longitude information, please see the EPA's data standards
web site available at http://iaspub.epa.gov/sor internet/registrv/datastds/findadatastandard/epaapproved/latitudelongitude
8States and tribes may find useful information on institutional controls on the EPA's institutional controls web site at
https://www.epa.gov/superfund/superfund-institutional-controls-guidance-and-policy,
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VI. USE OF FUNDING
A.	Overview
Section 128(a)(1)(B) describes the eligible uses of cooperative agreement funds by states
and tribes. In general, a state or tribe may use funding to establish or enhance its response
program. Specifically, a state or tribe may use cooperative agreement funds to build
response programs that include the four elements outlined in section 128(a)(2). Eligible
activities include, but are not limited to, the following:
•	developing legislation, regulations, procedures, ordinances, guidance, etc. that
establish or enhance the administrative and legal structure of a response program;
•	establishing and maintaining the required public record described in Section V of
this guidance;
•	operation, maintenance and long-term monitoring of institutional controls and
engineering controls;
•	conducting site-specific activities, such as assessment or cleanup, provided such
activities establish and/or enhance the response program and are tied to the four
elements. In addition to the requirement under CERCLA section 128(a)(2)(C)(ii) to
provide for public comment on cleanup plans and site activities, EPA strongly
encourages states and tribes to seek public input regarding the priority of sites to be
addressed—especially from local communities with health risks related to exposure to
hazardous waste or other public health concerns, those in economically disadvantaged
or remote areas, and those with limited experience working with government
agencies. EPA will not provide section 128(a) funds solely for assessment or cleanup
of specific brownfield sites; site-specific activities must be part of an overall section
128(a) work plan that includes funding for other activities that establish or enhance
the four elements;
•	capitalizing a revolving loan fund (RLF) for brownfields cleanup as authorized
under CERCLA section 104(k)(3). These RLFs are subject to the same statutory
requirements and cooperative agreement terms and conditions applicable to RLFs
awarded under section 104(k)(3). Requirements include a 20 percent match (in the
form of money, labor, material, or services from a non-federal source) on the amount
of section 128(a) funds used for the RLF, a prohibition on using EPA cooperative
agreement funds for administrative costs relating to the RLF, and a prohibition on
using RLF loans or subgrants for response costs at a site for which the recipient may
be potentially liable under section 107 of CERCLA. Other prohibitions relevant to
CERCLA section 104(k)(4) also apply; and
•	purchasing environmental insurance or developing a risk-sharing pool, indemnity
pool, or insurance mechanism to provide financing for response actions under a state
or tribal response program.
B.	Uses related to establishing a state or tribal response program
Under CERCLA section 128(a), establish includes activities necessary to build the

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foundation for the four elements of a state or tribal response program and the public
record requirement. For example, a state or tribal response program may use section
128(a) funds to develop regulations, ordinances, procedures, guidance, and a public
record.
C.	Uses related to enhancing a state or tribal response program
Under CERCLA section 128(a), enhance is related to activities that add to or improve a
state or tribal response program or increase the number of sites at which response actions
are conducted under such programs.
The exact enhancement activities that may be allowable depend upon the work plan
negotiated between the EPA regional office and the state or tribe. For example, regional
offices and states or tribes may agree that section 128(a) funds may be used for outreach
and training directly related to increasing awareness of its response program, and
improving the skills of program staff. It may also include developing better coordination
and understanding of other state or tribal programs, (e.g., programs that address RCRA or
underground storage tanks (USTs)). As another example, states and tribal response
program enhancement activities can also include outreach to local communities (e.g.,
distressed, environmental justice, rural, tribal) to increase awareness about brownfields,
building a sustainable brownfields program, federal brownfields technical assistance
opportunities9 (e.g., holding workshops to assist communities to apply for federal
Brownfields grant funding), and knowledge regarding the importance of monitoring
engineering and institutional controls. Additionally, enhancement activities can include
facilitating the participation of the state and local agencies (e.g., transportation, water,
other infrastructure) in implementation of brownfields projects. States and tribes can also
help local communities collaborate with local workforce development entities or
Brownfields Environmental Workforce Development and Job Training recipients on the
assessment and cleanup of brownfield sites.10 Other enhancement uses may be allowable
as well.
Note: EPA anticipates that states and tribes will work with their EPA Brownfields Area-Wide Planning,
Assessment, Cleanup and Revolving Loan Fund recipients to incorporate changing climate conditions in
their reuse plans and clean up remedies, as appropriate.11
D.	Uses related to site-specific activities
1. Eligible uses of funds for site-specific activities
Site-specific assessment and cleanup activities should establish and/or
enhance the response program and be tied to the four elements. Site-
9	EPA expects states and tribes will familiarize themselves with EPA's brownfields technical assistance
opportunities for brownfields communities. For more information on technical assistance opportunities, please visit:
https ://www.epa. gov/brownfields.
10	For more information about EPA's Brownfields Environmental Workforce Development and Job Training
Program, please visit: https://www.epa.gov/brownfields/types-brownfields-grant-funding.
11	For more information about EPA's Climate Adaptation Plan, please visit:
https://www.epa.gov/greeningepa/climate-change-adaptation-plans.
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specific assessments and cleanups can be both eligible and allowable if the
activity is included in the work plan negotiated between the EPA regional
office and the state or tribe, but activities must comply with all applicable
laws and are subject to the following restrictions:
a.	section 128(a) funds can only be used for assessments or
cleanups at sites that meet the definition of a brownfields
site at CERCLA section 101(39). EPA encourages states
and tribes to use site-specific funding to perform
assessment (e.g. phase I, phase II, supplemental
assessments and cleanup planning) and cleanup activities
that will expedite the reuse and redevelopment of sites,
particularly those located in distressed, environmental
justice, rural or tribal communities. Furthermore, states and
tribes that perform site-specific activities should plan to
directly engage with and involve affected communities.
For example, a Community Relations Plan (CRP) could be
developed to provide reasonable notice about a planned
cleanup, as well as opportunities for the public to comment
on the cleanup. States and tribes should work towards
securing additional funding for site-specific activities by
leveraging resources from other sources such as businesses,
non-profit organizations, education and training providers,
and/or federal, state, tribal, and local governments.
b.	absent EPA approval, no more than $200,000 per site
assessment can be funded with section 128(a) funds, and no
more than $200,000 per site cleanup can be funded with
section 128(a) funds;
c.	absent EPA approval, the state/tribe may not use funds
awarded under this agreement to assess and/or clean up
sites owned or operated by the recipient or held in trust by
the United States Government for the recipient; and
d.	assessments and cleanups cannot be conducted at sites
where the state/tribe is a potentially responsible party
pursuant to CERCLA section 107, except:
•	at brownfield sites contaminated by a controlled
substance as defined in CERCLA section
101(39)(D)(ii)(I); or
•	when the recipient would satisfy all of the elements
set forth in CERCLA section 101(40) to qualify as a
bona fide prospective purchaser except in cases
where the date of acquisition of the property was on
or before January 11, 2002.
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Subawards are defined at 2 CFR 200.92 and may not be awarded to for-
profit organizations. If the recipient plans on making any subawards
under the cooperative agreement then they become a pass-through
entity. As the pass-through entity, the recipient must report on its
subaward monitoring activities under 2 CFR 200.331(d). Additional
reporting requirements for these activities will be included in the
cooperative agreement. In addition, subawards cannot be provided to
entities that may be potentially responsible parties (pursuant to
CERCLA section 107) at the site for which the assessment or cleanup
activities are proposed to be conducted, except:
1.	at brownfields sites contaminated by a controlled substance
as defined in CERCLA section 101(39)(D)(ii)(I); or
2.	when the recipient would satisfy all of the elements set
forth in CERCLA section 101(40) to qualify as a bona fide
prospective purchaser except in cases where the date of
acquisition of the property was on or before January 11,
2002.
2. Limitations on the amount of funds used for site-specific activities and
waiver process
States and tribes may use section 128(a) funds for site-specific activities
that improve state or tribal capacity, however, the amount recipients may
request for site-specific assessments and cleanups may not exceed 50% of
the total amount of funding.12 In order to exceed the 50% site-specific
funding limit, a state or tribe must submit a waiver request. The total
amount of the site-specific request may not exceed the recipient's total
funding level for the prior year. The funding request must include a brief
justification describing the reason(s) for spending more than 50% of an
annual allocation on site-specific activities.
An applicant, when requesting a waiver, must include the following
information in the written justification:
•	total amount requested for site-specific activities;
•	percentage of the site-specific activities (assuming waiver is approved)
in the total budget;
•	site-specific activities that will be covered by this funding. If known,
provide site-specific information and describe how work on each site
contributes to the development or enhancement of your state/tribal
response program. EPA recognizes the role of response programs to
develop and provide capacity in distressed, environmental justice, rural or
12 Oversight of assessment and cleanup activities performed by responsible parties (other than the state or tribe) does
not count toward the 50% limit.
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tribal communities, and encourages prioritizing sites for site-specific
activities in those communities. Further explain how the community will
be (or has been) involved in prioritization of site work and especially
those sites where there is a potential or known significant environmental
impact to the community;
•	an explanation of how this shift in funding will not negatively impact
the core programmatic capacity (i.e., the ability to establish/enhance the
four required elements of a response program) and how the core program
activities will be maintained in spite of an increase in site-specific work.
Recipients must demonstrate that they have adequate funding from other
sources to effectively carry out work on the four elements for EPA to
grant a waiver of the 50% limit on using 128(a) funds for site-specific
activities; and
•	an explanation as to whether the sites to be addressed are those for
which the affected community(ies) has requested work be conducted
(refer to Section VI.A Overview of Funding for more information).
EPA Headquarters will review waiver requests based on the information
in the justification and other information available to the Agency. EPA
will inform recipients whether the waiver is approved.
3.	Uses related to site-specific activities at petroleum brownfield sites
States and tribes may use section 128(a) funds for activities that establish
and enhance response programs addressing petroleum brownfield sites.
Subject to the restrictions listed above (see Section VI.D. 1) for all site-
specific activities, the costs of site-specific assessment and cleanup
activities at petroleum brownfield sites defined in CERCLA section
101(3 9)(D)(ii)(II) are both eligible and allowable if the activity is included
in the work plan negotiated between the EPA regional office and the state
or tribe. Section 128(a) funds used to capitalize a Brownfields RLF may
be used at brownfield sites contaminated by petroleum to the extent
allowed under CERCLA section 104(k)(3).
4.	Additional Examples of Eligible Site-Specific Activities
Other eligible uses of funds for site-specific related work include, but are
not limited to, the following activities:
•	technical assistance to federal brownfields cooperative agreement
recipients;
•	development and/or review of quality assurance project plans
(QAPPs); and
•	entering data into the Assessment Cleanup and Redevelopment
Exchange System (ACRES) database.
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E. Uses related to activities at "non-brownfield"sites
Other uses not specifically referenced in this guidance may also be eligible and
allowable. Recipients should consult with their regional state or tribal contact for
additional guidance. Costs incurred for activities at non-brownfield sites may be
eligible and allowable if such activities are included in the state's or tribe's work plan.
Direct assessment and cleanup activities may only be conducted on eligible brownfield
sites, as defined in CERCLA section 101(39).
VII. GENERAL PROGRAMMATIC GUIDELINES FOR SECTION 128fal GRANT
FUNDING REQUESTS
Funding authorized under CERCLA section 128(a) is awarded through a cooperative
agreement13 between EPA and a state or a tribe. The program administers cooperative
agreements under the Uniform Administrative Requirements, Cost Principles and Audit
Requirements for Federal Awards regulations for all entity types including states, tribes, and
local governments found in the Code of Federal Regulations at 2 CFR Part 200 and any
applicable EPA regulations in Title 2 CFR Subtitle B—Federal Agency Regulations for Grants
and Agreements Chapter 15 as well as applicable provisions of 40 CFR Part 35 Subparts A and
B. Under these regulations, the cooperative agreement recipient for a section 128(a) grant is the
government to which a cooperative agreement is awarded and which is accountable for use of the
funds provided. The cooperative agreement recipient is the legal entity even if only a particular
component of the entity is designated in the cooperative agreement award document. Further,
unexpended balances of cooperative agreement funds are subject to restrictions under 40 CFR
35.118 and 40 CFR 35.518. EPA allocates funds to state and tribal response programs consistent
with 40 CFR 35.420 and 40 CFR 35.737.
A.	One application per state or tribe
Subject to the availability of funds, EPA regional offices will negotiate and enter into
section 128(a) cooperative agreements with eligible and interested states or tribes. EPA
will accept only one application from each eligible state or tribe.
B.	Maximum funding request
For Fiscal Year 2017, EPA will consider funding requests up to a maximum of $1.0
million per state or tribe. Please note the CERCLA 128(a) program's annual budget has
remained relatively the same since 2003 while demand has increased over time. Due to
the increasing number of entities requesting funding, it is likely that the FY17 states and
tribal individual funding amounts will be less than FY16 individual funding amounts.
C.	Define the state or tribal response program
States and tribes must define in their work plan the section 128(a) response program(s) to
which the funds will be applied, and may designate a component of the state or tribe that
13A cooperative agreement is an agreement to a state/tribe that includes substantial involvement by the EPA on activities
described in the work plan which may include technical assistance, collaboration on program priorities, etc.
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will be EPA's primary point of contact. When EPA funds the section 128(a) cooperative
agreement, states and tribes may distribute these funds among the appropriate state and
tribal agencies that are part of the section 128(a) response program. This distribution
must be clearly outlined in their annual work plan.
D.	Separate cooperative agreements for the capitalization ofRLFs using
Section 128(a) funds
If a portion of the section 128(a) grant funds requested will be used to capitalize a
revolving loan fund for cleanup, pursuant to section 104(k)(3), two separate cooperative
agreements must be awarded (i.e., one for the RLF and one for non-RLF uses). States and
tribes must, however, submit one initial request for funding, delineating the RLF as a
proposed use. Section 128(a) funds used to capitalize an RLF are not eligible for
inclusion into a Performance Partnership Grant (PPG).
E.	Authority to manage a revolving loan fund program
If a state or tribe chooses to use its section 128(a) funds to capitalize a revolving loan
fund program, the state or tribe must have the lead authority to manage the program (e.g.,
hold funds, make loans, enter into loan agreements, collect repayment, access and secure
the site in event of an emergency or loan default). If the agency/department listed as the
point of contact for the section 128(a) cooperative agreement does not have this authority,
it must be able to demonstrate that another state or tribal agency does have the authority
to manage the RLF and is willing to do so.
F.	Section 128(a) cooperative agreements can be part of a Performance
Partnership Grant fPPG)
States and tribes may include section 128(a) cooperative agreements in their PPG as
described in 69 Fed. Reg. 51,756 (2004). Section 128(a) funds used to capitalize an RLF
or purchase environmental insurance or develop a risk sharing pool, an indemnity pool,
or insurance mechanism to provide financing for response actions under a state or tribal
response program are not eligible for inclusion in the PPG.
G.	Project period
EPA regional offices will determine the project period for each cooperative agreement.
These may be for multiple years depending on the regional office's cooperative
agreement policies. Each cooperative agreement must have an annual budget period tied
to an annual work plan. While not prohibited, pre-award costs are subject to 40 CFR
35.113 and 40 CFR 35.513.
H.	Demonstrating the four elements
As part of the annual work plan negotiation process, states or tribes that do not have VRP
MO As must demonstrate that their program includes, or is taking reasonable steps to
include, the four elements described in Section IV. EPA will not fund state or tribal
response program annual work plans if EPA determines that these elements are not met
or reasonable progress is not being made. EPA may base this determination on the
information the state or tribe provides to support its work plan, on progress reports, or on
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EPA's review of the state or tribal response program.
/. Establishing and maintaining the public record
Prior to funding a state's or tribe's annual work plan, EPA regional offices will verify and
document that a public record, as described in Section V and below, exists and is being
maintained.14 Specifically, for:
•	states or tribes that received initial funding prior to FY16: Requests for FY17 funds
will not be accepted from states or tribes that fail to demonstrate, by the December
31, 2016 request deadline, that they established and are maintaining a public record.
(Note, this would potentially impact any state or tribe that had a term and condition
placed on their FY16 cooperative agreement that prohibited drawdown of FY16 funds
prior to meeting the public record requirement). States or tribes in this situation will
not be prevented from drawing down their prior year funds once the public record
requirement is met; and
•	states or tribes that received initial funding in FY16: By the time of the actual FY17
award, the state or tribe must demonstrate that they established and maintained the
public record (those states and tribes that do not meet this requirement will have a
term and condition placed on their FY17 cooperative agreement that prohibits the
drawdown of FY17 funds until the public record requirement is met).
L Demonstrgtion of significant utilizgtion of prior years' funding
States and tribes should be aware that EPA and its Congressional appropriations
committees place significant emphasis on the utilization of prior years' funding. Unused
funds prior to FY16 will be considered in the allocation process. Existing balances of
cooperative agreement funds as reflected in EPA's Financial Data Warehouse may result
in an allocation amount below a recipient's request for funding or, if appropriate,
deobligation and reallocation by EPA Regions as provided for in 40 CFR 35.118 and 40
CFR 35.518.
EPA Regional staff will review EPA's Financial Database Warehouse to identify the
amount of remaining prior year(s) funds. The requestor should work, as early as possible,
with both their own finance department and with their Regional Project Officer to
reconcile any discrepancy between the amount of unspent funds showing in EPA's
system and the amount reflected in the recipient's records.
K. Allocation system and process for distribution of funds
After the December 31, 2016 request deadline, EPA's regional offices will submit
summaries of state and tribal requests to EPA Headquarters. Before doing so, regional
offices may take into account additional factors when determining recommended
allocation amounts. Such factors include, but are not limited to, the depth and breadth of
14 For purposes of 128(a) funding, the state or tribe's public record applies to that state or tribe's response program(s) that
utilized the section 128(a) funding.
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the state or tribal program, and scope of the perceived need for funding (e.g., size of state
or tribal jurisdiction or the proposed work plan balanced against capacity of the program,
amount of current year funding, funds remaining from prior years, etc.).
After receipt of the regional recommendations, EPA Headquarters will consolidate
requests and make decisions on the final funding allocations.
EPA regional offices will work with interested states and tribes to develop their
preliminary work plans and funding requests. Final cooperative agreement work plans
and budgets will be negotiated with the regional office once final allocation
determinations are made. Please refer to process flow chart below (dates are estimates
and subject to change):
Nov-Dec	Jan-Mar	April	April-June
Regional
Brownfields
Offices inform
recipient of
funding
amount
Recipient
coordinates with
EPA Regional
Brownfields
Office to develop
funding requests
EPA
Headquarters
and Regional
Brownfields
Office finalize
funding
amounts for
each recipient
Grantee works with
Regional Brownfields
Office to finalize work
plans and budgets, in
order to complete and
submit the cooperative
agreement application
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VIII. INFORMATION TO BE SUBMITTED WITH THE FUNDING REQUEST
A. Summary of planned use ofFYl 7 funding
All states and tribes requesting FY17 funds must submit a summary of the planned use of
CERCLA 128(a) funds. Eligible entities must submit a draft work plan of the funds with
associated dollar amounts to their regional brownfields contact listed on page 29. Please
contact your regional brownfields contact or visit www.epa.gov/brownfields/brownfields-
comprehensive-environmental-response-compensation-and-liability-act-cercla for a
sample draft work plan.
For entities which received CERCLA 128(a) funding in previous years, respond to the
following:
1. Funding Request.
a.	Prepare a draft work plan and budget for your FY17 funding request. The
funding requested should be reasonably spent in one year. The requestor
should work, as early as possible, with their EPA regional program contact to
ensure that the funding amount requested and related activities are reasonable.
b.	In your funding request, include the prior years' funding amount. Include any
funds that you, the recipient, have not received in payments (i.e., funds EPA
has obligated for grants that remain in EPA's Financial Data Warehouse).
EPA will take into account these funds in the allocation process when
determining the recipient's programmatic needs. The recipient should include
a detailed explanation and justification of prior year funds that remain in
EPA's Financial Data Warehouse. The recipient should consult with the
region regarding the amount of unspent funds which require explanation to
ensure they have addressed the full amount of any remaining balance.
c.	If you do not have an MOA with EPA, demonstrate how your program
includes, or is taking reasonable steps to include, the four elements described
in Section VI.
For tribal entities which have never received CERCLA 128(a) funding, respond to the
following:
1. Funding Request.
a.	Describe your plan to establish a response program, why it is a priority for
your tribe, and why CERCLA 128(a) funding will be beneficial to your
program. If your tribe is already supported by a tribal consortia receiving
CERCLA 128(a) funding, explain why additional resources are necessary.
b.	Prepare a draft work plan and budget for your first funding year. The funding
requested should be reasonably spent in one year. For budget planning
purposes, it is recommended that you assume funding sufficient to support 0.5
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staff to establish a response program and some travel to attend regional and
national trainings or events.
2. Programmatic Capability.
a.	Describe the organizational structure you will utilize to ensure sound program
management to guarantee or confirm timely and successful expenditure of
funds, and completion of all technical, administrative and financial
requirements of the program and cooperative agreement.
b.	Include a brief description of the key qualifications of staff to manage the
response program and/or the process you will follow to hire staff to manage
the response program. If key staff is already in place, include their roles,
expertise, qualifications, and experience.
c.	Discuss how this response program fits into your current environmental
program(s). If you don't have an environmental program, describe your
process to develop, or interest to start one.
d.	Describe if you have had adverse audit findings. If you had problems with the
administration of any grants or cooperative agreements, describe how you
have corrected, or are correcting, the problems.
IX. TERMS AND REPORTING
Cooperative agreements for state and tribal response programs will include programmatic and
administrative terms and conditions. These terms and conditions will describe EPA's substantial
involvement including technical assistance and collaboration on program development and site-
specific activities. Each of the subsections below summarizes the basic terms and conditions and
related reporting that will be incorporated into your cooperative agreement.
A. Progress reports
In accordance with 2 CFR 200.328 and any EPA specific regulations, states and tribes
must provide progress reports meeting the terms and conditions of the cooperative
agreement negotiated. State and tribal costs for complying with reporting requirements
are an eligible expense under the section 128(a) cooperative agreement. At a minimum,
state or tribal progress reports must include both a narrative discussion and performance
data relating to the state or tribe's accomplishments and environmental outputs associated
with the approved budget and work plan. Reports should also provide an accounting of
section 128(a) funding. If applicable, the state or tribe must include information on
activities related to establishing or enhancing the four elements of the state or tribe's
response program. All recipients must provide information related to establishing or, if
already established, maintaining the public record. Depending upon the activities
included in the state or tribe's work plan, the recipient may also need to report on the
following:
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1.	Interim andfinal progress reports. Reports must prominently display the
following information, as reflected in the current EPA strategic plan:
Strategic Plan Goal 3: Cleaning Up Communities and Advancing
Sustainable Development; Strategic Plan Objective 3.1: Promote
Sustainable and Livable Communities; and Work plan Commitments and
Timeframes. EPA's strategic plan can be found on the internet at
http://vvvvvv.epa.gov/planandbudget/strategicplan.html.
2.	Reporting for Non-MOA states and tribes. All recipients without a VRP
MOA must report activities related to establishing or enhancing the four
elements of the state or tribe's response program. For each element
states/tribes must report how they are maintaining the element or how they
are taking reasonable steps to establish or enhance the element as
negotiated in individual state/tribal work plans. For example, pursuant to
CERCLA section 128(a)(2)(B), reports on the oversight and enforcement
authorities/mechanisms element may include a:
•	narrative description and copies of applicable documents developed
or under development to enable the response program to conduct
enforcement and oversight at sites. For example:
o legal authorities and mechanisms (e.g., statutes, regulations,
orders, agreements); and
o policies and procedures to implement legal authorities; and
other mechanisms;
•	description of the resources and staff allocated/to be allocated to the
response program to conduct oversight and enforcement at sites as a
result of the cooperative agreement;
•	narrative description of how these authorities or other mechanisms,
and resources, are adequate to ensure that:
o a response action will protect human health and the
environment; and be conducted in accordance with applicable
federal and state laws; and if the person conducting the
response action fails to complete the necessary response
activities, including operation and maintenance or long-term
monitoring activities, the necessary response activities are
completed; and
•	narrative description and copy of appropriate documents
demonstrating the exercise of oversight and enforcement authorities
by the response program at a brownfield site.
3.	Reporting for site-specific assessment or cleanup activities. Recipients
with work plans that include funding for brownfield site assessment or
cleanup must input information required by the OMB-approved Property
Profile Form into the ACRES database for each site assessment and
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cleanup. In addition, recipients must report how they provide the affected
community with prior notice and opportunity for meaningful participation,
per CERCLA section 128(a)(2)(C)(ii), on proposed cleanup plans and site
activities. For example, EPA strongly encourages states and tribes to seek
public input regarding the priority of sites to be addressed and to solicit
input from local communities, especially potential environmental justice
communities, communities with a health risk related to exposure to
hazardous waste or other public health concerns, economically
disadvantaged or remote communities, and communities with limited
experience working with government agencies.
4.	Reporting for other site-specific activities. Recipients with work plans that
include funding for other site-specific related activities must include a
description of the site-specific activities and the number of sites at which
the activity was conducted. For example, the:
•	number and frequency of oversight audits of licensed site professional
certified cleanups;
•	number and frequency of state/tribal oversight audits conducted;
•	number of sites where staff conducted audits, provided technical
assistance, or conducted other oversight activities; and
•	number of staff conducting oversight audits, providing technical
assistance, or conducting other oversight activities.
5.	Reporting required when using funding for an RTF Recipients with work
plans that include funding for a revolving loan fund must include the
information required by the terms and conditions for progress reporting
under CERCLA section 104(k)(3) RLF cooperative agreements.
6.	Reporting environmental insurance. Recipients with work plans that
include funding for environmental insurance must report the:
•	number and description of insurance policies purchased (e.g., name of
insurer, type of coverage provided, dollar limits of coverage, any
buffers or deductibles, category and identity of insured persons,
premium, first dollar or umbrella, whether site specific or blanket,
occurrence or claims made, etc.);
•	number of sites covered by the insurance;
•	amount of funds spent on environmental insurance (e.g., amount
dedicated to insurance program, or to insurance premiums); and
•	amount of claims paid by insurers to policy holders.
The regional offices may also request that additional information be added to the progress
reports, as appropriate, to properly document activities described by the cooperative
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agreement work plan.
EPA regions may allow states or tribes to provide performance data in appropriate
electronic format.
The regional offices will forward progress reports to EPA Headquarters, if requested.
This information may be used to develop national reports on the outcomes of CERCLA
section 128(a) funding to states and tribes.
B. Reporting of program activity levels
States and tribes must report, by December 31, 2016, a summary of the previous federal
fiscal year's work (October 1, 2015 through September 30, 2016). The following
information must be submitted to your regional project officer:
•	environmental programs where CERCLA section 128(a) funds are used to support
capacity building (general program support, non-site-specific work). Indicate as
appropriate from the following:
	Brownfields
	Underground Storage Tanks/Leaking Underground Storage Tanks
	Federal Facilities
	Solid Waste
	Superfund
	Hazardous Waste Facilities
	VCP (Voluntary Cleanup Program, Independent Cleanup Program, etc.)
	Other	;
•	number of properties (or sites) enrolled in a response program during FY16;
•	number of properties (or sites) where documentation indicates that cleanup work is
complete and all required institutional controls are in place, or not required;
•	total number of acres associated with properties (or sites) in the previous bullet;
•	number of properties where assistance was provided, but the property was not
enrolled in the response program (OPTIONAL);
•	date that the public record was last updated;
•	estimated total number of properties (or sites) in your brownfields inventory;
•	number of audits/inspections/reviews/other conducted to ensure engineering
controls and institutional controls are still protective; and
•	Did you develop or revise legislation, regulations, codes, guidance documents or
policies related to establishing or enhancing your Voluntary Cleanup
Program/Response Program during FY16? If yes, please indicate the type and
whether it was new or revised.
EPA may require states/tribes to report specific performance measures related to the four
elements that can be aggregated for national reporting to Congress.
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C.	Reporting of public record
All recipients must report, as specified in the terms and conditions of their cooperative
agreement, and in Section VII.I of this guidance, information related to establishing, or if
already established, maintaining the public record. States and tribes can refer to an
existing public record (e.g., website or other public database to meet the public record
requirement). Recipients' reporting only needs to demonstrate that the public record: a)
exists and is up-to-date; and b) is adequate. A public record must, as appropriate, include
the following information:
A list of sites at which response actions have been completed in the past year, including:
•	date the response action was completed;
•	site name;
•	name of owner at time of cleanup, if known;
•	location of the site (street address, and latitude and longitude);
•	whether an institutional control is in place;
•	type of institutional control(s) in place (e.g., deed restriction, zoning
restriction, local ordinance, state registries of contaminated property, deed
notices, advisories, etc.);
•	nature of the contamination at the site (e.g., hazardous substances,
contaminants or pollutants, petroleum contamination, etc.); and
•	size of the site in acres.
A list of sites planned to be addressed by the state or tribal response program in the
coming year, including:
•	site name and the name of owner at time of cleanup, if known;
•	location of the site (street address, and latitude and longitude);
•	to the extent known, whether an institutional control is in place;
•	type of the institutional control(s) in place (e.g., deed restriction, zoning
restriction, local ordinance, state registries of contaminated property, deed
notices, advisories, etc.);
•	to the extent known, the nature of the contamination at the site (e.g.,
hazardous substances, contaminants, or pollutants, petroleum
contamination, etc.); and
•	size of the site in acres.
D.	Award administration information
1. Subaward and executive compensation reporting
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Applicants must ensure that they have the necessary processes and systems in
place to comply with the subaward and executive total compensation reporting
requirements established under OMB guidance at 2 CFR Part 170, unless they
qualify for an exception from the requirements, should they be selected for
funding.
2. System for Award Management (SAM) and Data Universal Numbering System
(DUNS) Requirements
Unless exempt from these requirements under OMB guidance at 2 CFR Part 25
(e.g., individuals), applicants must:
1.	Be registered in SAM prior to submitting an application or proposal under this
announcement. SAM information can be found at
https://www.sam.gov/portal/public/SAM/;
2.	Maintain an active SAM registration with current information at all times
during which they have an active federal award or an application or proposal
under consideration by an agency; and
3.	Provide their DUNS number in each application or proposal submitted to the
agency. 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 .
If an applicant fails to comply with these requirements, it will affect their ability
to receive the award.
Please note that the Central Contractor Registration (CCR) system has been
replaced by the System for Award Management (SAM). To learn more about
SAM, go to SAM.gov or https://www.sam.gov/portal/public/SAM/ .
3. Submitting an application via Grants.gov
If funding is provided it will be provided through a cooperative agreement award.
All cooperative agreement applications for non-competitive assistance agreement
awards must be submitted using Grants.gov. Below is the information that the
applicant will use to submit their State and Tribal Response Program Grant
applications via grants.gov:
CDFA number: 66.817
Funding Opportunity Number (FON): EPA-CEP-02
To learn more about the Grants.gov submission requirements, go to
http://www.epa.gov/ogd/grants gov submission reciuirement.htm.
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4. Use of funds
An applicant that receives an award under this announcement is expected to
manage assistance agreement funds efficiently and effectively and make sufficient
progress towards completing the project activities described in the work plan in a
timely manner. The assistance agreement will include terms and conditions
related to this requirement.
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REGIONAL STATE AND TRIBAL BROWNFIELDS CONTACTS
REGION
STATE
TRIBAL
1
CT, ME, MA, NH,
Rl, VT
James Byrne
5 Post Office Square, Suite 100 (OSRR07-2)
Boston, MA 02109-3912
Phone (617) 918-1389 Fax (617) 918-1294
AmyJean McKeown
5 Post Office Square, Suite 100 (OSRR07-2)
Boston, MA 02109-3912
Phone (617) 918-1248 Fax (617) 918-1294
2
NJ, NY, PR, VI
John Struble
290 Broadway, 18th Floor
New York, NY 10007-1866
Phone (212) 637-4291 Fax (212) 637-3083
Philip Clappin
290 Broadway, 18th Floor
New York, NY 10007-1866
Phone (212) 637-4431 Fax (212) 637-3083
3
DE, DC, MD, PA,
VA, WV
Mike Taurino
1650 Arch Street (3HS51)
Philadelphia, PA 19103
Phone (215) 814-3371 Fax (215) 814-3274

4
AL, FL, GA, KY,
MS, NC, SC, TN
Nicole Comick Bates
61 Forsyth Street, S.W, 10TH FL (9T25)
Atlanta, GA 30303-8960
Phone (404) 562-9966 Fax (404) 562-8788
Olga Perry
61 Forsyth Street, S.W, 10TH FL (9T25)
Atlanta, GA 30303-8909
Phone (404) 562-8534 Fax (404) 562-8788
5
IL, IN, Ml, MN,
OH, Wl
Jan Pels
77 West Jackson Boulevard (SB-7J)
Chicago, IL 60604-3507
Phone (312) 886-3009 Fax (312) 692-2161
Rosita Clarke-Moreno
77 West Jackson Boulevard (SB-7J)
Chicago, IL 60604-3507
Phone (312) 886-7251 Fax (312) 697-2075
6
AR, LA, NM, OK,
TX
Amber Perry
1445 Ross Avenue, Suite 1200 (6SF)
Dallas, TX 75202-2733
Phone (214) 665-3172 Fax (214) 665-6660
Amber Perry
1445 Ross Avenue, Suite 1200 (6SF)
Dallas, TX 75202-2733
Phone (214) 665-3172 Fax (214) 665-6660
7
IA, KS, MO, NE
Susan Klein
11201 Renner Boulevard (SUPRSTAR)
Lenexa KS 66219
Phone (913) 551-7786 Fax (913) 551-9786
Jennifer Morris
11201 Renner Boulevard (SUPRSTAR)
Lenexa KS 66219
Phone (913) 551-7341 Fax (913) 551-9341
8
CO, MT, ND, SD,
UT, WY
Christina Wilson
1595 Wynkoop Street (EPR-B)
Denver, CO 80202-1129
Phone (303) 312-6706 Fax (303) 312-6065
Barbara Benoy
1595 Wynkoop Street (8EPR-SA)
Denver, CO 80202-1129
Phone (303) 312-6760 Fax (303) 312-6962
9
AZ, CA, HI, NV,
AS, GU, MP
Eugenia Chow
75 Hawthorne St. (SFD-6-1)
San Francisco, CA 94105
Phone (415) 972-3160 Fax (415) 947-3520
Jose Garcia, Jr.
600 Wilshire Blvd, Suite 1460
Los Angeles, CA 90017
Phone (213) 244-1811 Fax (213) 244-1850
10
AK, ID, OR, WA
Mary K. Goolie
222 West 7th Avenue #19 (AOO)
Anchorage, AK 99513
Phone (907) 271-3414 Fax (907) 271-3424
Mary K. Goolie
222 West 7th Avenue #19 (AOO)
Anchorage, AK 99513
Phone (907) 271-3414 Fax (907) 271-3424
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