United States
Environmental Protection
Agency
Office of Brownfields
and Land Revitalization
(5150T)
EPA-560-F-22-042
March 2022
Funding Guidance for FY 2022 Section 128(a) State and Tribal Response Program with
funding provided by the Bipartisan Infrastructure Investment and Jobs Act
The passage of the Bipartisan Infrastructure Investment and Jobs Act ("Infrastructure Law")1 in November 2021,
delivered the single- largest investment in U.S. brownfields infrastructure ever. Blighted and polluted sites in
communities across America will be assessed, cleaned up, and made available for safe reuse, spurring job creation and
economic opportunity in areas that need it most. One of U.S. Environmental Protection Agency's (""EPA's") top
priorities is uplifting underserved communities, Tribal Nations, and communities across the country that have endured
deeply-rooted public health and environmental challenges.
The Infrastructure Law invests $1.5 billion over five federal fiscal years (FY22-FY26) through the EPA's Brownfields
Program to scale-up community-led brownfields revitalization. Of that $1.5 billion, "$300 million [is] to carry out
section 128 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980," (""CERCLA").
This amounts to approximately $60 Million per year, in cooperative agreements for states and tribes to build response
program capacity, oversee brownfields cleanups, and conduct site assessment and cleanup activities. The Infrastructure
Law did not alter the underlying statutory authority for the CERCLA Section 128(a) Program, but simply provided
crucial additional funds to support it.
CERCLA Section 128(a)2 authorizes a noncompetitive grant program to establish or enhance state3 and tribal4
response programs. These CERCLA Section 128(a) response program grants (hereinafter referred to as "Section
128(a)") are funded with Categorical State and Tribal Assistance Grant ("STAG") appropriations and awarded in the
form of a cooperative agreement, which is a type of assistance agreement that is used when there is substantial federal
involvement with the recipient during the performance of an activity or project. Section 128(a) cooperative agreements
are awarded and administered by EPA regional offices.
EPA's Office of Brownfields and Land Revitalization ("Brownfields Program" or "OBLR") issued the FY22 Section
128(a) Funding Guidance on October 1, 2021, for funding that would be provided by EPA's Annual Appropriation Act
and finalized the allocation of those funds on February 24, 2022. Cooperative Agreement Recipients were notified of
their FY22 Section 128(a) Annual Appropriation allocation amounts prior to the issuance of this Funding Guidance.
Due to the passage of the Infrastructure Law, EPA is now issuing this Funding Guidance to provide information
and instruction to states and tribes requesting FY22 Section 128(a) funding provided by the Infrastructure
Law.5
For additional information about the Section 128(a) Program, check out the Section 128(a) Fact Sheet at
https://www.epa.gov/svstem/files/documents/2021-ll/final-section-128a-fact-sheet nov 2021 O.pdf or go to
https://www.epa.gov/brownfields/state-and-tribal-response-program-grants. For more information on the
Infrastructure Law and Brownfields, see https://www.epa.gov/brownfields/bipartisan-infrastructure-law-historic-
investment-brownfields.
1 https://www.wliitehouse.gov/bipartisan-infrastructure-law/
2 42 USC 9628(a).
3The term "state" is defined in this document as defined in CERCLA §101(27).
4The term "Indian tribe" is defined in this document as it is defined in CERCLA §101(36). Intertribal consortia, as defined in the Federal Register
Notice at 67 FR 67181, Nov. 4,2002, are also eligible for funding under CERCLA § 128(a).
5 The Agency may waive any provision of this guidance that is not required by statute, regulation, Executive Order or overriding Agency
policies.
Introduction
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The Catalogue of Federal Domestic Assistance (https://www.cfda.gov/) listing for Section 128(a) cooperative
agreements is 66.817.
FY22 Section 128(a) Infrastructure Law Funds Highlights
Requests for funding will be accepted from March 30. 2022 until June 3. 2022. and should be sent to the EPA
Regional Office contact listed at the end of this Guidance. Requests that EPA receives after June 3, 2022, will
not be considered for FY 2022 Section 128(a) Infrastructure Law funding.
EPA will accept only one request from each eligible state or tribe.
Requests for funding must include the information listed in Sections VII and VIII of this guidance. States or
tribes that do not submit the request in the appropriate manner may not be eligible to receive funds.
EPA will consider funding requests up to a maximum of $2 Million TOTAL for FY22 Section 128(a) funding
per CAR. This maximum amount includes the FY22 funding that a CAR has already been allocated for FY22
Section 128(a) Annual Appropriation funds. CARs were notified of their FY22 Section 128(a) Annual
Appropriation allocation amounts prior to the issuance of this Funding Guidance.
Please note that demand for this program is high and not all requests will be fully awarded. EPA anticipates
that it may allocate approximately $57.9 million in Section 128(a) Infrastructure Law funds under this
FY22 Funding Guidance.
For planning purposes, EPA anticipates that the Infrastructure Law funds allocated pursuant to this Funding
Guidance will be awarded in the first quarter of the federal fiscal year 2023 (around November/December 2022).
Section 128(a) cooperative agreements are awarded and administered by EPA regional offices; please contact your
regional EPA Project Officer for more specific timing on cooperative agreement awards. EPA also anticipates
issuing the Funding Guidance for FY 2023 Section 128(a) Annual Appropriation and Infrastructure Law funds in
late September 2022.
Section 128(a) Infrastructure Law funds may not be comingled with other sources of funding, and EPA will award
the funds separately from other grant awards.
Section 128(a) Infrastructure Law funds will not be eligible to be included in state and tribal Performance
Partnership Grants ("PPGs") under 40 CFR Part 35 Subparts A and B. This restriction is intended to ensure that
Section 128 recipients will be able to effectively track, account for, and report on the use of Infrastructure Law
funding.
EPA expects that funding awarded to cooperative agreement recipients will advance the Administration's
Justice40 priorities. EPA will award this funding in accordance with the Biden Administration's Justice40
Initiative, which promises to deliver at least 40 percent of the overall benefits from key federal investments to
disadvantaged communities.
EPA will place special emphasis on reviewing a cooperative agreement recipient's use of prior Section 128(a)
funding in making allocation decisions. Unexpended balances are subject to 40 CFR 35.118 and 40 CFR 35.518 to
the extent consistent with this guidance.
Once EPA makes final determinations with respect to funding requests and allocations of funds, the state or tribe
will work with the appropriate EPA regional office to negotiate a cooperative agreement, which includes a final
work plan and budget.
Starting Monday, April 4, 2022, the new Unique Entity ID from SAM.gov will be the official, government-wide
identifier used for federal awards. States and tribes requesting funds are required to provide a free SAM.gov-issued
Unique Entity Identifier (UEI), not their DUNS number. Please see the RAIN-2021-G01 for information about
EPA's implementation of the upcoming Government-wide transition from DUNS to UEI.
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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 5
A. Distinguishing the "survey and inventory" element from the "public record"
B. Making the public record easily accessible
C. Long-term maintenance of the public record
VI. USE OF FUNDING 6
A. Overview
B. Uses related to establishing a state or tribal response program
C. Uses related to enhancing a state or tribal response program
D. Uses related to site-specific activities
E. Uses related to activities at "non-brownfield" sites
VII. GENERAL PROGRAMMATIC GUIDELINES FOR SECTION 128(a) GRANT FUNDING REQUESTS 10
A. One application per state or tribe
B. Maximum funding request
C. Define the state or tribal response program
D. Separate cooperative agreements for Infrastructure Funds
E. Separate cooperative agreements for the capitalization ofRLFs using Section 128(a) funds
F. Authority to manage a RLF program
G. Section 128(a) cooperative agreements funded with Infrastructure Law money MAY NOT be part of a Performance
Partnership Grant ("PPG")
H. Project period
I. Demonstrating the four elements
J. Establishing and maintaining the public record
K. Demonstration of significant utilization of prior years' funding
L. Allocation system and process for distribution of funds
VIII. INFORMATION TO BE SUBMITTED WITH THE FUNDING REQUEST 14
A. Funding Requests for entities that received Section 128(a) funding in previous years
B. Funding Requests for Entities that have never received CERCLA 128(a) funding
IX. TERMS AND REPORTING 15
A. Progress reports
B. Reporting of program activity levels ("PALs")
C. Reporting of public record
D. Updating the State Brownfields and Voluntary Response Programs Report in ACRES
E. Cooperative Agreement Award administration information
REGIONAL STATE AND TRIBAL BROWNFIELDS CONTACTS 21
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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 of contaminated
properties. In enacting CERCLA Section 128(a),6 Congress recognized the value of state and tribal response programs
in cleaning up and reusing brownfield sites. Section 128(a) strengthens EPA's partnerships with states and tribes and
recognizes their response programs' critical role in overseeing cleanups.
The passage of the Bipartisan Infrastructure Investment and Jobs Act ("Infrastructure Law")7 in November 2021,
provided additional appropriations for EPA's CERCLA Section 128(a) program but did not change any requirements
in the statute.
This funding is intended for states and tribes that have the required management and administrative capacity within
their government 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 funded with appropriations made available to
EPA under the Infrastructure Law.
II. ELIGIBILITY FOR FUNDING
To be eligible for Section 128(a) funding, a State or Indian Tribe (as defined by CERCLA Section 101(27) and
101(36), respectively) must:
1. demonstrate that it has a response program that includes, or is taking reasonable steps to include, the four
elements of a response program enumerated in CERCLA Section 128(a)(2) and described in Section IV of
this guidance; or be a party to a voluntary response program Memorandum of Agreement ("VRP MOA")
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 cost shares ("matching funds") for Section 128(a) cooperative agreements,
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
expended in accordance with CERCLA section 104(k)(3).
IV. THE FOUR ELEMENTS - SECTION 128falf21
Section 128(a) recipients that do not have a VRP MOA with EPA must demonstrate that their response program
includes, or is taking reasonable steps to include, the four elements enumerated in CERCLA Section 128(a)(2) and
described below. Achievement of the four elements should be viewed as a priority. CERCLA Section 128(a)
authorizes funding for activities necessary to establish or enhance the four elements and to establish and maintain the
public record requirement.
The four elements of a response program enumerated in CERCLA Section 128(a)(2) are described below:
6Section 128(a) was added to CERCLA in 2002 by the Small Business Liability Relief and Brownfields Revitalization Act (Brownfield
Amendments).
7 https://www.whitehouse.gov/bipartisan-infrastructure-law/
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1. Timely survey and inventory ofbrownfield 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 ofbrownfield 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" ofbrownfield sites. However, at a minimum, the state or tribe must develop and/or maintain a
system or process that can provide a reasonable estimate of the number, likely location, and general
characteristics ofbrownfield sites within their state or tribal lands. Inventories may 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 CERCLA Section 104(k)(2)
Brownfields Assessment cooperative agreement recipients conduct inventories ofbrownfield 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
action 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.8 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 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; 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 residesmay 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 MOAs) must establish and
maintain a public record system, as described below, to enable meaningful public participation9 (refer to Section IV.3
above). Specifically, per CERCLA Section 128(b)(1)(C), states and tribes must:
8States 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.
9 CERCLA §128(b)(l)(C).
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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 of CERCLA Section 128(a)(2)(C) differs from the
"timely survey and inventory" element in CERCLA Section 128(a)(2)(A) described in the "Four Elements"
Section IV. 1. above. The public 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.10 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 they are able to do so.
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. Lona-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.11
VI. USE OF FUNDING
A. Overview
CERCLA Section 128(a)(1)(B) provides that states and tribes may use Section 128(a) 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
10 For further information on data quality requirements for latitude and longitude information, please see the EPA's data standards web site
available at https://www.epa.gov/sites/production/files/2015-06/documents/latlongstandard-v2a 10022014.pdf.
"States 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-policv .
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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 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;
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 CERCLA section 104(k)(3), with one exception:
although non-competitive supplemental funding for RLFs established under CERCLA 128(a) is
authorized, the source of the funding would be the CERCLA 128(a) appropriation rather than the
CERCLA 104(k) appropriation. Requirements include a 20 percent cost share (in the form of money,
labor, material, or services from a non-federal source in compliance with 2 CFR 200.306) on the amount
of Section 128(a) funds used for the RLF, the 5% limitation on eligible administrative costs, 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 Section 128(a), "establish" includes activities necessary to build the 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 Section 128(a), "enhance" includes related 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 (training examples include ASTM standards for
conducting Limited Transaction Screens, Environmental Phase I and Phase lis). 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 to increase awareness about
brownfields, building a sustainable brownfields program, federal brownfields technical assistance 1(e.g.,
holding workshops to assist communities in applying for federal Brownfields grant funding, attending health
12 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/brownfields-technical-
assistance-training-and-research.
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fairs and cleanup days to inform individuals how to identify hazards in their own living areas, abandoned
buildings and among dumping areas), 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 sitesOther enhancement uses may be allowable as well.
D. Uses related to site-specific activities
1. Eligible uses of funds for site-specific activities
Site-specific assessment and cleanup activities must establish or enhance the response program and
be tied to the four elements. Site-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, and prioritize sites based on need.14 Furthermore, states and tribes that
perform site-specific activities should plan to directly engage with and involve affected
communities. For example, a Community Involvement Plan ("CIP") 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. CARs should describe in their requests whether, and if so, how, site-specific work will address
environmental justice ("EJ") concerns in underserved communities and/or climate change
impacts.15 While CARS are not required to utilize it, EPA's EJSCREEN is a helpful
environmental justice mapping and screening tool that provides a nationally consistent dataset and
approach for combining environmental and demographic indicators.16 Data from other EJ-focused
geospatial mapping tools or other sources (e.g. studies, census, etc.) could also be included to
provide information on impacted communities and populations.
c. Absent EPA Project Officer approval, no more than $250,000 per site assessment can be funded
with Section 128(a) funds, and no more than $250,000 per site cleanup can be funded with
13 For more information about EPA's Brownfields Environmental Workforce Development and Job Training Program, please visit:
https://www.epa.gov/brownfields/brownfields-iob-training-it-grants.
14 An example of prioritizing sites based on need can be focusing on environmental justice. EPA defines environmental justice as
the fair treatment and meaningful involvement of all people regardless of race, color, national origin, or income with respect to the
development, implementation, and enforcement of environmental laws, regulations, and policies. EPA has this goal for all
communities and persons across the nation. Environmental justice will be achieved when everyone enjoys the same degree of
protection from environmental and health hazards and equal access to the decision-making process to have a healthy environment
in which to live, learn, and work. For more information, please visit https://www.epa. gov/environmentaliustice.
15 Goal 1 of EPA's FY 2022-2026 Strategic Plan is "Tackle the Climate Crisis." Climate change exacerbates existing pollution
problems and environmental stressors impacting the nation's land, air, and water and the people who depend on them.
Overburdened and underserved communities and individuals are particularly vulnerable to these impacts, including low-income
communities and communities of color, children, the elderly, Tribes, and indigenous peoples.
16 Visit https://www.epa.gov/eiscreen to access EPA's EJSCREEN Tool and for additional information on EJSCREEN, general
guidance on how to use the tool, understanding results, technical information, and more resources. CARs can also contact their
EPA Technical Assistance to Brownfields Communities (TAB) Provider for guidance on using EJSCREEN.
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Section 128(a) funds. This per-site cap includes the FY22 funding that a CAR has already been
allocated from FY22 Section 128(a) Annual Appropriation funds; it does not add an additional
$250,000 on top of the $200,000 cap from the previous award. If the CAR's existing FY22
workplan for annual appropriated funds addresses a site assessment or cleanup and has reached
the previous cap of $200,000, the CAR may add $50,000.
d. Absent EPA Project Officer approval, the state/tribe may not use funds awarded under this
agreement to assess and/or cleanup sites owned or operated by the recipient or (in the case of
tribes) held in trust by the United States Government for the recipient; and
e. Assessments and cleanups cannot be conducted at sites where the state is a potentially responsible
party ("PRP") pursuant to CERCLA Section 107, except when the state acquired the property
before January 11, 2002, and has not caused or contributed to a release or threatened release of a
hazardous substance at the property.
Subawards are defined at 2 CFR 200.1 and may not be awarded to for-profit organizations. If the recipient
plans on making any subawards under the cooperative agreement, then it becomes a pass-through entity
for the purposes of EPA's "Establishing and Managing Subawards" General Term and Condition and
EPA's Subaward Policy. As the pass-through entity, the recipient must report on its subaward monitoring
activities under 2 CFR 200.332(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 PRPs
(pursuant to CERCLA Section 107) at the site for which the assessment or cleanup activities are proposed
to be conducted, except when the subrecipient acquired the property before January 11, 2002, and has not
caused or contributed to a release or threatened release of a hazardous substance at the property.
2. Limitations on the amount of funds used for site-specific activities and waiver process
a. States and tribes may use FY22 Section 128(a) Infrastructure 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 75% of the total amount of FY22
Section 128(a) funding.17 This 75% cap includes the FY22 funding that a CAR has already
been allocated from FY22 Section 128(a) Annual Appropriation funds. CARs were notified of
their FY22 Section 128(a) Annual Appropriation allocation amounts prior to the issuance of this
Funding Guidance.
b. In order to exceed the 75% site-specific funding limit, a state or tribe must submit a written waiver
request to the EPA Project Officer; waiver requests 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, and how these activities
establish or enhance the response program and are tied to the four elements;
how the affected community will be (or has been) involved in prioritization and planning
of site work, especially those sites where there is a potential or known significant
environmental impact to the community;
whether (and if so, how) such work will benefit a community with environmental justice
concerns; and
an explanation of how this shift in funding will not negatively impact the state or tribe's
core programmatic capacity (i.e., the ability to establish/enhance the four required elements
17 Oversight of assessment and cleanup activities performed by responsible parties (other than the state or tribe) does not count
toward the 75% limit. The 75% cap also does not include personnel or supplies/equipment purchased in support of site-specific
work.
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of a response program) and how the core program activities will be maintained in spite of an
increase in site-specific work. CARs 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 75% limit on using 128(a) funds for site-specific activities.
c. The EPA Project Officer will review the waiver request and make a recommendation to EPA's
Office of Brownfields and Land Revitalization ("OBLR"). OBLR will review waiver requests
based on the information in the written justification, the EPA PO recommendation, and other
information available to the Agency. Waivers will be approved on a very limited basis. The EPA
Project Officer will inform the CAR 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 or 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, as 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), subject to the Brownfields RLF
requirements described above.
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 CERCLA 104(k) 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.
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 EPA Project Officer 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 Section 128(a) is awarded through a cooperative agreement18 between EPA and a state or a
tribe (the Cooperative Agreement Recipient ("CAR")). The Brownfields 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
("CFR") at 2 CFR Part 200 and any applicable EPA regulations at 2 CFR Part 1500, as well as applicable provisions of
40 CFR Part 35 Subparts A and B. Under these regulations, the CAR 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 CAR is the legal entity even if only a particular component of the entity is designated in the cooperative
18 A cooperative agreement is an agreement with 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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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
EPA will accept one funding request from each eligible state or tribe.
B. Maximum funding request
EPA will consider funding requests up to a maximum of $2 Million TOTAL for FY22 Section 128(a)
funding per CAR. This maximum amount includes the FY22 funding that a CAR has already been
allocated for FY22 Section 128(a) Annual Appropriation funds. CARs were notified of their FY22 Section
128(a) Annual Appropriation allocation amounts prior to the issuance of this Funding Guidance.
Please note that demand for this program is high and not all requests will be fully awarded. EPA anticipates
that it may allocate approximately $57.9 million in Section 128(a) Infrastructure Law funds under this Funding
Guidance.
For planning purposes, EPA anticipates that the Infrastructure Law funds allocated pursuant to this Funding
Guidance will be awarded in the first quarter of the federal fiscal year 2023 (around November/December
2022). Section 128(a) cooperative agreements are awarded and administered by EPA regional offices; please
contact your regional EPA Project Officer for more specific information on your region's cooperative
agreement award timing.
EPA also anticipates issuing the Funding Guidance for FY 2023 Section 128(a) Annual Appropriation and
Infrastructure Law funds in late September 2022.
C. Define the state or tribal response program
CARs must define in their work plan the Section 128(a) response program(s) to which the funds will be
applied and may designate a component of the state or tribe that will be EPA's primary point of contact.
When EPA funds the Section 128(a) cooperative agreement, CARs 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 Infrastructure Funds
Due to the budget accounting, tracking, and reporting requirements for the Infrastructure Law, Section 128(a)
cooperative agreements funded with Infrastructure Law money must be awarded separately from Section
128(a) cooperative agreements funded with Annual Appropriated funds.
A CAR's two FY22 workplans must clearly delineate what activities will be funded by Annual Appropriation
funds versus Infrastructure Law funds. Please work closely with your EPA Project Officer to ensure that there
is no overlap or duplication of work funded by the two sources of funding.
E. Separate cooperative agreements for the capitalization ofRLFs using Section
128(g) funds
If a portion of the Section 128(a) grant funds requested will be used to capitalize a revolving loan fund
("RLF") 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). CARs 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").
F. Authority to mgngge g RLFprogrgm
If a CAR chooses to use its Section 128(a) funds to capitalize a RLF program, the CAR 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
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point of contact for the Section 128(a) cooperative agreement does not have this authority, it must be able to
demonstrate that another agency within that state or tribe has the authority to manage the RLF and is willing to
do so.
G. Section 128fa) cooperative agreements funded with Infrastructure Law money
MAY NOT be part of a Performance Partnership Grant ("PPG")
Due to the budget accounting, tracking, and reporting requirements for the Infrastructure Law, Section 128(a)
cooperative agreements funded with Infrastructure Law money, are ineligible for inclusion in PPGs. This
restriction is intended to ensure that Section 128 recipients will be able to effectively track, account for, and
report on the use of Infrastructure Law funding.
H. Project period
EPA regional offices will determine the project period for each cooperative agreement. Depending on the EPA
regional office's cooperative agreement policies, cooperative agreements may be for multiple years. CARs are
encouraged to discuss this potential option with their regional EPA Project Officer.
Notwithstanding this potential overall structure, each cooperative agreement must still have an annual budget
period tied to an annual work plan, because CARs must still submit annual funding requests to receive
additional funds added to the agreement. While not prohibited, pre-award costs are subj ect to 40 CFR 35.113
and 40 CFR 35.513.
/. Demonstrating the four elements
As part of the annual work plan negotiation process, CARs that do not have VRP MOAs must demonstrate
that their program includes, or is taking reasonable steps to include, the four elements described in Section IV.
EPA will not fund a CAR's annual work plan 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 CAR provides to support
its work plan, on progress reports, or on EPA's review of the CAR's response program.
CARs that have a FY22 Section 128(a) Annual Appropriation workplan must not duplicate the specific
activities already covered in their initial FY22 award. CARs may reference their existing FY22 workplan to
demonstrate satisfaction of Section 128(a) requirements to eliminate overlap or redundancy in their second
FY22 workplan, for example: demonstration that its response program includes, or is taking reasonable steps
to include, the four elements of a response program enumerated in CERCLA Section 128(a)(2), or satisfaction
of the public record requirement in CERCLA Section 128(b)(1)(C).
CARs should work closely with your EPA Project Officer to ensure that there is no overlap or duplication of
work utilizing the two funding sources.
L Establishing gnd maintaining the public record
Prior to funding a CAR'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.19 Specifically, for:
CARs that received initial funding prior to FY21: Requests for FY22 funds will not be accepted from
states or tribes that fail to demonstrate, by the June 3, 2022, request deadline, that they established and
are maintaining a public record. (Note, this would potentially impact any CAR that had a term and
condition placed on their FY21 cooperative agreement that prohibited drawdown of FY21 funds prior
to meeting the public record requirement). CARs in this situation will not be prevented from drawing
down their prior year funds once the public record requirement is met; and
CARs that received initial funding in FY 21: By the time of the actual FY 22 award, the CAR 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 FY22 cooperative agreement that
prohibits the drawdown of FY22 funds until the public record requirement is met).
19 This public record requirement applies to the CAR's response program(s) that utilized the Section 128(a) funding.
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K. Demonstration of significant utilization of prior years'funding
CARs should be aware that EPA and its Congressional appropriations committees place significant emphasis
on the utilization of prior years' funding. Unused funds awarded prior to FY21 will be considered in the
allocation process.
L. Allocgtion system gnd process for distribution of funds
EPA regional offices will work with interested CARs to develop their preliminary work plans and funding
requests. After the June 3, 2022, request deadline, EPA's regional offices will submit summaries of CAR
requests and allocation recommendations to OBLR.
Regional offices may take multiple factors into account when determining recommended allocation amounts,
including, but not limited to the depth and breadth of the CAR's program, and the 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.).
EPA expects that funding awarded to CARs will advance the Administration's Justice40 priorities, and EPA
will award this funding in accordance with the Justice40 Initiative,20 which promises to deliver at least 40
percent of the overall benefits from key federal investments to historically overburdened and underserved
communities.
After receipt of the regional recommendations, OBLR will consolidate requests and make decisions on the
final funding allocations.
Final cooperative agreement work plans and budgets will be negotiated with the regional office once final
allocation determinations are made.
Unless approved with the award of this cooperative agreement, the CAR must receive written approval by
EPA's Award Official or Grants Management Officer of a final workplan within 60 calendar days following
the date of the award. The CAR must receive documentation of written EPA approval of the final workplan by
EPA's Project Officer or program manager prior to expenditure of federal funds under this cooperative
agreement. Unless the EPA Award Official, or Grants Management Officer grants a waiver, no funds may be
drawn down without an EPA approved final workplan. If the recipient fails to obtain EPA approval of the final
workplan within 60 days of award, EPA may terminate this agreement under 2 CFR § 200.340.
The general schedule and process is illustrated below (dates are estimates and subject to change):
March-May June July Aug-Oct
20 Justice40 Initiative information can be found at: https://www.whitehouse.gov/briefing-room/statements-
releases/2021/01/27/fact-sheet-president-biden-takes-executive-actions-to-tackle-the-climate-crisis-at-home-and-abroad-create-
iobs-and-restore-scientific-integritv-across-federal-government/. For more information on Environmental Justice, see
https://www.epa.gov/environmentaliustice.
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VIII. INFORMATION TO BE SUBMITTED WITH THE FUNDING REQUEST
A. Funding Requests for entities that received Section 128(a) funding in previous years
All CARs requesting FY22 Section 128(a) Infrastructure Funds must submit a summary of the planned use of
the funds to their regional brownfields contact listed on the last page of this guidance.
1. Each funding request must include the following:
a. Prepare a draft work plan and budget for your FY22 Section 128(a) Infrastructure funding request. The
funding requested should be reasonably expended in one year. As early as possible in the process, the
CAR should work with their EPA Project Officer to ensure that the funding amount requested, and
related activities, are reasonable. Please also contact your regional brownfields contact or visit
https://www.epa.gov/brownfields/state-and-tribal-response-program-grant-funding-guidance-resources
for a sample draft work plan.
b. CARs who do not have a MOA with EPA: Include in your funding request and/or draft workplan an
explanation of how your program includes, or is taking reasonable steps to include, the four elements
described in Section V. As noted in Section VII.I. above, this demonstration of the four elements is
part of the annual work plan negotiation process.
c. CARs that have a FY22 Section 128(a) Annual Appropriation workplan must not duplicate the
specific activities already covered in their initial FY22 award. CARs may reference their existing
FY22 workplan to demonstrate satisfaction of Section 128(a) requirements to eliminate overlap or
redundancy in their second FY22 workplan, for example: demonstration that its response program
includes, or is taking reasonable steps to include, the four elements of a response program enumerated
in CERCLA Section 128(a)(2), or satisfaction of the public record requirement in CERCLA Section
128(b)(1)(C). A CAR's two FY22 workplans must clearly delineate what activities will be funded by
Annual Appropriation funds versus Infrastructure Law funds. Please work closely with your EPA
Project Officer to ensure that there is no overlap or duplication of work utilizing the two funding
sources.
d. CARs should describe in their requests whether, and, if so, how, the requested funding will address EJ
concerns21 in underserved communities and/or climate change impacts.22
2. Programmatic Capability - fOnly Include if Specifically Requested by Region]
a. EPA Regions may request demonstration of Programmatic Capability if the returning CAR has
experienced key staff turnover or has open programmatic review findings.
b. The CAR's corresponding EPA Region will notify returning recipients if the information below is
required; if so, it must be included with your funding request.
i. 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.
21 The EPA describes environmental justice ("EJ") as the fair treatment and meaningful involvement of all people regardless of
race, color, national origin, or income with respect to the development, implementation and enforcement of environmental laws,
regulations and policies. Fair treatment means no group of people should bear a disproportionate share of the negative
environmental consequences resulting from industrial, governmental, and commercial operations or policies. For purposes of this
funding guidance, the term "underserved community" refers to a community with environmental justice concerns and/or
vulnerable populations, including low-income citizens, communities of color, and tribal and Indigenous peoples.
22 Goal 1 of EPA's FY 2022-2026 Strategic Plan is "Tackle the Climate Crisis." Climate change exacerbates existing pollution
problems and environmental stressors impacting the nation's land, air, and water and the people who depend on them.
Overburdened and underserved communities and individuals are particularly vulnerable to these impacts, including low-income
communities and communities of color, children, the elderly, Tribes, and indigenous peoples.
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ii. 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.
iii. Discuss how this response program fits into your current environmental program(s). If you
do not have an environmental program, describe your process to develop, or interest to
start one.
iv. 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.
B. Funding Requests for Entities that have never received CERCLA 128(a) funding
All 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.
1. Each fundina request should include the following:
a. Describe your plan to establish a response program, why it is a priority for your state or tribe, and why
CERCLA 128(a) funding will be beneficial to your program. If your tribe is already supported by a
tribal consortium 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 expended 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.
c. For budget planning purposes, EPA recommends that you assume funding sufficient to support 0.5
staff to establish a response program and travel to attend regional and national trainings or
brownfields-related events.
d. Please contact your regional brownfields contact or visit https://www.epa.gov/brownfields/state-and-
tribal-rcsponsc-program-grant-funding-guidancc-rcsources for sample draft work plans.
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 do not 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
Once EPA makes final determinations with respect to funding requests and allocations of funds, the CAR will work
with the appropriate EPA regional office to negotiate a cooperative agreement, which includes a final work plan and
budget. A cooperative agreement is an assistance agreement that is used when there is substantial federal involvement
with the recipient during the performance of an activity or project. EPA awards cooperative agreements for those
projects in which it expects to have substantial interaction with the CAR throughout the CAR's performance of the
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project.
Cooperative agreements between EPA and CARs will include programmatic and administrative terms and conditions
and will outline EPA's substantial involvement with the CAR during the period of performance, including technical
assistance and collaboration on program development and prior approvals for 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.
Due to the additional budget accounting, tracking, and reporting associated with Infrastructure Law funds, CARs
should anticipate additional reporting requirements associated with cooperative agreements funded with
Infrastructure Law funds. As of the issuance of this Funding Guidance, the Agency is awaiting final guidance from
the Office of Management and Budget regarding Infrastructure Law tracking and reporting requirements. EPA
encourages CARs to work with their regional EPA Project Officer to stay informed on the latest information and
potential additional terms and conditions for their cooperative agreements.
A. Progress reports
In accordance with 2 CFR 200.329 and related EPA-specific regulations, CARs must provide progress reports
meeting the terms and conditions of their negotiated cooperative agreement. CAR costs for complying with
reporting requirements are an eligible expense under the Section 128(a) cooperative agreement. At a
minimum, progress reports must include both a narrative discussion and performance data relating to the
CAR's accomplishments and environmental outputs associated with the approved budget and work plan.
Reports must also provide an accounting of Section 128(a) Infrastructure funding. If applicable, the CAR must
include information on activities related to establishing or enhancing the four statutory elements of the CAR's
response program. All CARs must provide information related to establishing or, if already established,
maintaining the public record.
Depending upon the activities included in the CAR's work plan, the CAR will also need to report on the
following:
1. Interim and final progress reports. Reports must prominently display the following information, as
reflected in the current EPA strategic plan: Strategic Plan Goal 6: Safeguard and Revitalize Communities;
Strategic Plan 6.1: Clean Up and Restore Land for Productive Uses and Healthy Communities; and Work
Plan Commitments and Timeframes. EPA's strategic plan can be found on the internet at
https: //www .epa. gov/planandbudget/strategicplan.
2. Reporting for Non-MOA states and tribes. All CARs without a VRP MOA must report activities related to
establishing or enhancing the four elements of its response program. For each element CARs 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 CAR 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 will be
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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.
CARs 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/or and cleanup in compliance with the Programmatic Terms and Conditions of their
CERCLA Section 128(a) cooperative agreements.
In addition, per CERCLA Section 128(a)(2)(C)(ii), CARs must report how they will provide the affected
community with prior notice and opportunity for meaningful participation on proposed cleanup plans and
site activities. For example, EPA expects that CARs will seek public input regarding the priority of sites to
be addressed and to solicit input from local 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.
CARs 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 CARs 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. CARs 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.
7. EPA Regional Office discretion to request additional information
EPA's regional offices may also request that additional information be added to the progress reports, as
appropriate, to properly document activities described by the cooperative agreement work plan. EPA regions
may allow CARs 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 outputs and outcomes of Section 128(a) funding to states and tribes.
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B. Reporting of program activity levels f'PALs")
All CARs must report a summary of the previous federal fiscal year's work (October 1 through September
30), known as Program Activity Levels ("PALs"). CARs who receive Section 128(a) Annual Appropriated
funds and Section 128(a) Infrastructure funds will report PALs on the typical annual schedule (one submission
due with their FY23 Section 128(a) funding request in December 2022).
For FY22, CARs must report PALs information either directly in EPA's Assessment. Cleanup and
Redevelopment Exchange System ("ACRES") database OR by filling out the form found
at https://www.epa.gov/brownfields/program-activitv-levels-pals-reporting-form and providing it to the
appropriate EPA Regional Office along with the CAR's FY23 funding request in mid-December.
Beginning in FY23, CARs will only be able to provide PALs information directly into ACRES.
For detailed instructions on how to report PALs in ACRES, please see the quick reference guide at
https://www.epa.gov/brownfields/brownfields-grantee-reporting-using-assessment-cleanup-and-
redevelopment-exchange.
C. Reporting of public record
All CARs must report information related to establishing, or if already established, maintaining a public
record, as specified in the terms and conditions of their cooperative agreement and Section VII.I of this
guidance. To meet this reporting requirement, a CAR needs to demonstrate that the public record: a) exists, b)
is up-to-date, and c) is adequate. CARs can refer to an existing public record (e.g., website or other public
database) to meet the public record requirement.
A public record must, as appropriate, include the following information:
1. 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.
2. 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
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size of the site in acres.
D. Updating the State Brownfields and Voluntary Response Programs Report in
ACRES
State CARs must update their state response program information in ACRES at least once a year (and
may update more frequently if changes in their response program warrant an additional update), so
that EPA has accurate, up-to-date information to share with the public in the form of a State
Brownfields and Voluntary Response Program Report. EPA expects that this annual update will
occur when states are already in the ACRES database performing other required ACRES reporting,
thereby reducing the administrative burden.
For detailed instructions on how to update your state brownfields information in ACRES, please see
the quick reference guide at
E. Cooperative Agreement Award administration information
1. Subaward and executive compensation reporting
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 Unique Entity Identifier ("UEI") Requirements
All EPA funding opportunities (competitive and non-competitive) will begin using UEI-compatible grant
application packages. As explained in the U.S. General Services Administration's ("GSA") Unique Entity
Identifier Update, beginning April 2022 DUNS numbers will no longer be used as a UEI and only the
SAM.gov-created UEI will be accepted.
3. Please see the RAIN-2021-G01 for information about EPA's implementation of the upcoming
Government-wide transition from DUNS to UEI.
If an applicant fails to comply with these requirements, it will affect their ability to receive the
award.
To learn more about SAM, go to SAM.gov or https://www.sam.gov/portal/public/SAM/.
4. Submitting an application via Grants.gov
a. If Section 128(a) funding is allocated to a requestor, 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
https://www.epa.gov/grants/how-applv-grants.
b. Recipients should only submit their final work plan via Grants.gov. The draft work plan due on
June 3, 2022, should not be submitted via Grants.gov. The draft work plan should be emailed to the
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regional contact listed at the end of this guidance.
c. When the EPA Project Officer informs you when to submit your final work plan in Grants.gov, it must
be submitted using the "Workspace" feature. Information on the Workspace feature can be found at
Grants.gov Workspace Overview Page.
5. 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 cooperative assistance agreement will include terms
and conditions related to this requirement.
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REGIONAL STATE AND TRIBAL BROWNFIELDS CONTACTS
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1
CT, ME, MA, NH,
M, VT
Amy Jean McKeown
5 Post Office Square, Suite 100 (OSRR07-2)
Boston, MA 02109-3912
Phone (617) 918-1248 Fax (617) 918-1294
mckeown.amyjean@epa.gov
AmyJean McKeown
5 Post Office Square, Suite 100 (OSRR07-2)
Boston, MA 02109-3912
Phone (617) 918-1248 Fax (617) 918-1294
mckeown.amyjean@epa.gov
2
NJ, NY, PR, VI
Terry Wesley
290 Broadway, 25th Floor
New York, NY 10007-1866
Phone (212) 637-5027
wesley.terry@epa.gov
Terry Wesley
290 Broadway, 25th Floor
New York, NY 10007-1866
Phone (212) 637-5027
wesley.terry@epa.gov
3
DE, DC, MD, PA,
VA, WV
Mike Taurino
1650 Arch Street (3HS51)
Philadelphia, PA 19103
Phone (215) 814-3371 Fax (215) 814-3274
taurino.michael@epa.gov
Mike Taurino
1650 Arch Street (3HS51)
Philadelphia, PA 19103
Phone (215) 814-3371 Fax (215) 814-3274
taurino ,michael@epa. gov
4
AL, FL, GA, KY,
MS, NC, SC, TN
Cindy Nolan
61 Forsyth Street, S.W, 10TH FL (9T25)
Atlanta, GA 30303-8960
Phone (404) 562-8425 Fax (404) 562-8788
nolan.cindyj @epa.gov
Cindy Nolan
61 Forsyth Street, S.W, 10THFL (9T25)
Atlanta, GA 30303-8909
Phone (404) 562-8425 Fax (404) 562-8788
nolan.cindyj@epa.gov
5
IL, IN, MI, MN,
OH, WI
Keary Cragan
77 West Jackson Boulevard (SB-5J)
Chicago, IL 60604-3507
Phone (312) 353-5669 Fax (312) 692-2161
cragan.keary@epa.gov
Rosita Clarke
77 West Jackson Boulevard (SB-5 J)
Chicago, IL 60604-3507
Phone (312) 886-7251 Fax (312) 697-2075
clarke.rosita@epa.gov
6
AR, LA, NM, OK,
TX
Ana Esquivel
1201 Elm Street, Suite 500
Dallas, Texas 75270-2102
Phone (214) 665-3163 Fax (214) 665-6660
esquivel. ana@epa. gov
Elizabeth Reyes
1201 Elm Street, Suite 500
Dallas, Texas 75270-2102
Phone (214) 665-2194 Fax (214) 665-6660
reyes.elizabeth@epa.gov
7
IA, KS, MO, NE
Susan Klein
11201 Renner Boulevard (LCRD/BSPR)
LenexaKS 66219
Phone (913)551-7786
klein. susan@epa. gov
Jennifer Morris
11201 Renner Boulevard ((LCRD/BSPR)
LenexaKS 66219
Phone (913)551-7341
morris.jennifer@epa.gov
8
CO, MT, ND, SD,
UT, WY
Christina Wilson
1595 Wynkoop Street (8LCR-BR)
Denver, CO 80202-1129
Phone (303)312-6706
wilson. christina@epa. gov
Melisa Devincenzi
1595 Wynkoop Street (8LCR-BR)
Denver, CO 80202-1129
Phone (303)312-6377
devincenzi.melisa@epa.gov
9
AZ, CA, HI, NY,
AS, GU, MP
Jose Garcia, Jr.
600 Wilshire Blvd, Suite 1460
Los Angeles, CA 90017
Phone (213) 244-1811 Fax (213) 244-1850
garcia.jose@epa.gov
Jose Garcia, Jr.
600 Wilshire Blvd, Suite 1460
Los Angeles, CA 90017
Phone (213) 244-1811 Fax (213) 244-1850
garcia.jose@epa.gov
10
AK, ID, OR, WA
Madison Sanders-Curry
1200 Sixth Ave, Suite 155 (mail code 15-H04)
Seattle, WA 98101
Phone (206 553-1889 Fax 206 553-8581
sanders-curry.madison@epa.gov
Madison Sanders-Curry
1200 Sixth Ave, Suite 155 (mail code 15-H04)
Seattle, WA 98101
Phone (206) 553-1889 Fax (206) 553-8581
sanders-curry ,madison@epa. gov
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