State and Tribal Response Program Grants

EPA's CERCLA Section 128(a) grant program funds activities that establish or enhance state and tribal response program capacity, capitalize revolving loan funds (RLFs), and support insurance mechanisms.

The goals of this funding are to provide financial support for elements of an effective state
or tribal response program as specified in CERCLA Section 128 and to ensure that states and tribes maintain a public record of sites included in their programs.

Funding Priority - Fiscal Year 2008: In FY 2008, funding will be prioritized as follows: (1) Funding for program development activities to establish or enhance the four elements of a state or tribal response program and to enable states and tribes to comply with the public record requirement, including activities related to institutional controls.

(States and tribes that have established one or more of the four elements will not be prejudiced in funding distributions if their work plan includes activities that enhance the four elements.

States with Voluntary Cleanup Program Memorandum of Agreement will not be prejudiced in funding distributions if their work plan does not include tasks related to establishing or enhancing the four elements.) (2) Funding for program development activities to enhance the response program or the cleanup capacity of a state or tribal response program.

(3) Funding for site-specific activities at eligible brownfields sites.

(4) Funding for environmental insurance mechanisms.

(5) Funding to capitalize brownfields cleanup RLFs.
Examples of Funded Projects

Program development activities to establish the four elements of a state or tribal response program, including conducting an inventory of brownfields sites; developing or enhancing oversight and enforcement mechanisms; establishing mechanisms to approve cleanup plans; and providing opportunities and resources for public involvement.

Establishing and maintaining a public record of sites, including making information available on the Internet and maintaining and monitoring institutional controls; capitalizing an RLF for brownfields cleanup; purchasing environmental insurance; developing legislation, regulations, procedures, and guidance that would establish or enhance the administrative and legal structure of their response programs; and undertaking-site specific related activities, such as conducting assessments at selected brownfields sites and auditing completed site cleanups in states that administer a licensed site professional program.


Agency - Environmental Protection Agency

The mission of the Environmental Protection Agency is to protect human health and the environment. Since 1970, EPA has been working for a cleaner, healthier environment for the American people.

Office - EPA Regional State and Tribal Response Program Coordinators: Region 1: Diane Kelley, Phone: (617) 918-1424, Fax: (617) 918-1291, kelley.diane@epa.gpv: Region 2; Ramon Torres, Phone: (212) 637-4309, Fax: (212) 637-4360, dandrea.larry@epa.gov; Region 3: Tom Stolle, Phone: (215) 814-3129, Fax: (215)814-5518, stolle.tom@epa.gov; Region 4: Rosemary Patton, Phone: (404) 562-8866, Fax: (404) 562-8628, patton.rosemary@epa.gov; Region 5: Joseph Dufficy, Phone: 312-886-1960, Fax: (312) 886-7190, dufficy.joseph@epa.gov; Region 6: Monica Smith, Phone: (214)-665-6780, Fax: (214) 665-6660, smith.monica@epa.gov; Region 7: Susan Klein, Phone: (913) 551-7786, Fax: (913) 551-8688, klein.susan@epa.gov; Region 8: Daniel Heffernan, Phone: (303) 312-7074, Fax: (303) 312-6955, russo.rebecca@epa.gov; Region 9: Carolyn Douglas, Phone: 415-972-3092, Fax: (415) 947-3528, douglas.carolyn@epa.gov; Region 10: Susan Morales, Phone: (206) 553-7299, Fax: (206) 553-0124, morales.susan@epa.gov.


Program Accomplishments

In FY 07, 109 requests for funding were received. In FY 08, 110 requests for funding were received. In FY 07, 104 states and tribes were able to establish and enhance their response programs as a result of funding support from this program. In FY 08, 107 states and tribes were able to establish and enhance their response programs as a result of funding support from this program.

Uses and Use Restrictions

States and tribes can use Section 128 funding to (1) establish or enhance four statutory elements of a response program, as per CERCLA Section 128(a)(2), (2) capitalize a Revolving Loan Fund program for brownfields cleanup, pursuant to CERCLA Section 104(k)(3), (3) purchase environmental insurance or develop a risk sharing pool, an indemnity pool, or insurance mechanism to provide financing for response actions under their programs, and (4) maintain and update, at least annually, a public record of sites, pursuant to CERCLA Section 128(b), that includes the name and location of sites at which response actions have been completed during the previous year and the name and location of sites at which response actions are planned to be addressed in the next year; (5) conduct limited site-specific activities; "Establish" includes activities necessary to build the foundation for the four elements of a state or tribal response program or may also include activities that keep their program at a level that meets the four elements.

"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 a state or tribal response program.

States and tribes may use Section 128(a) funds for activities that establish and enhance their response programs, even if their response programs address petroleum-contamination.

Restrictions apply to site-specific activities, such as assessment and cleanup.

Assessments and cleanups must be conducted at eligible brownfields sites, as defined in CERCLA Section 101(39).

Eligibility Requirements

Applicant Eligibility

States (as defined in CERCLA Section 101(27) and tribes (as defined in CERCLA Section 101(36) are eligible for funding under Section 128(a).

To be eligible to receive funding under CERCLA Section 128(a), a state or tribe must demonstrate that its response program includes, or is taking reasonable steps to include, the four elements of a response program.

States or tribes that are parties to voluntary response program memoranda of agreement (MOAs) are automatically eligible for Section 128(a) funding.

Additionally, states and tribes, including those with MOAs, must 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 in order to qualify for Section 128(a) funding.

Beneficiary Eligibility

Beneficiaries include individuals living in recipient states', territories', and tribes' jurisdiction.

Credentials/Documentation

States and tribes must provide documentation that they have met or are making reasonable progress towards meeting the four statutory elements, or have a Voluntary Cleanup Program Memorandum of Agreement with EPA, and have established and are maintaining the public record. States and tribes must define their "Section 128(a) response program", and may designate a component of the state or tribe that will be EPA's primary point of contact for negotiations on their proposed work plan.

Aplication and Award Process

Preapplication Coordination

Annually, states and tribes will work with the EPA regional offices to develop their work plans and funding requests for the upcoming year.

Each cooperative agreement must have an annual budget period tied to an annual work plan.

Annual funding guidance provides the requirements for submitting requests.

No specific forms are required.

Informal assistance is available through regional offices.

States are subject to requirements under E.O.

12372, "Intergovernmental Review of Federal Programs" as implemented in 40 CFR Part 29.

Tribes are exempt.

This program is eligible for coverage under E.O.

12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Application Procedures

States and tribes submit requests to EPA regional offices for funding on an annual basis by submitting a proposed work plan. Annual funding guidance provides the information that should be submitted to the regional office. Once initial requests are submitted, EPA headquarters consolidates requests and provides a final allocation based on factors provided in the funding guidance. No specific form is required for submission of request. Applicants may be able to use http://www.grants.gov to electronically apply for certain grant opportunities under this CFDA.

Award Procedures

EPA regional offices will negotiate and enter into a single cooperative agreement with interested states or tribes. States and tribes may distribute these funds among the appropriate state and tribal agencies to meet their specific needs within their state or tribal agency structures. At least annually, the regional offices must verify that a public record as described above exists for each of the state or tribal response programs that are receiving funding.

Deadlines

EPA will accept requests for funding from December 1, 2007 through January 31, 2008.

Authorization

Comprehensive Environmental Response, Compensation, and Liability Act, Section 128(a), as amended, Public Law 107-118; Small Business Liability Relief and Brownfields Revitalization Act.

Range of Approval/Disapproval Time

120 days from completed negotiation of cooperative agreement.

Appeals

Disputes will be resolved under 40 CFR 30.63 or 40 CFR 31.70, as applicable.

Renewals

Each State and tribal cooperative agreement will be evaluated on an annual basis to ensure that the requirements to receive funding are being met. If funding is not used, it may be carried over into the next budget period.

Assistance Considerations

Formula and Matching Requirements

States and tribes are not required to provide matching funds for grants awarded under Section 128(a). However, if the state or tribe uses Section 128(a) funds to capitalize a Brownfields RLF under CERCLA 104(k)(3), a 20% cost share is required on the amount of Section 128(a) funds used to capitalize an RLF . This program has no statutory formula, but does take into account use of prior years' funding in determining future awards.

Length and Time Phasing of Assistance

EPA regions will evaluate cooperative agreements annually to ensure that requirements to receive funding are being met. EPA regional offices will determine the project period for each cooperative agreement. These may be for multiple years depending on the regional office's grants policies. Each cooperative agreement must have an annual budget period tied to an annual work plan. Funds are awarded on an annual basis and may be drawn down according to regional financial processes.

Post Assistance Requirements

Reports

States and tribes will provide progress reports under 40 CFR 31.40, in accordance with terms and conditions of the cooperative agreement negotiated with EPA regional offices.

As a minimum, state or tribal progress reports must include both a narrative discussion and performance data relating to the state's or tribe's accomplishments with Section 128(a) funding.

Depending upon the activities included in the state's or tribe's scope of work, an EPA regional office may request that a progress report include other elements as described in the Grant Funding Guidance for State and Tribal Response Programs.

The regional offices may also request other information be added to the progress reports, as appropriate, to properly document activities described by the cooperative agreement work plan.

Audits

Grants and cooperative agreements are subject to inspections and audits by the Comptroller General of the United States, the EPA Office of Inspector General, other EPA staff, or any authorized representative of the Federal government. Reviews by the EPA Project Officer and the Grants Specialist may occur each year. In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend $500,000 or more in a year in Federal awards shall have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in OMB Circular No. A-133.

Records

In addition to the statutory public record requirement, states and tribes must comply with record keeping requirements of 40 CFR Part 31 and any applicable requirements under state and tribal laws. Recipients must keep financial records, including all documents supporting entries on accounting records and to substantiate changes in grants, available to personnel authorized to examine EPA recipients grants and cooperative agreements records. All records must be maintained until expiration of three years from the date of submission of the final expenditure report. If questions remain following the three-year period, such as those raised as a result of an audit or an on-going enforcement action, recipients must retain records until the matter is completely resolved.

Financial Information

Account Identification

68-0103-0-1-304.

Obigations

FY 07 $49,300,000; FY 08 $49,800,000; and FY 09 est. $49,300,000.

Range and Average of Financial Assistance

Most fiscal years range from $50,000 to $1,500,000; average approximately $500,000. For FY 08, funding request are limited to a maximum of $1,500,000 per State or tribe.

Regulations, Guidelines, and Literature

40 CFR Part 31; OMB Circular A-87 applies to the program. EPA anticipates that it will annually publish national Grant Funding Guidance for State and Tribal Response Programs. Fiscal Year 2008 guidance may be found at www.epa.gov/brownfields.

Information Contacts

Regional or Local Office

EPA Regional State and Tribal Response Program Coordinators: Region 1: Diane Kelley, Phone: (617) 918-1424, Fax: (617) 918-1291, kelley.diane@epa.gpv: Region 2; Ramon Torres, Phone: (212) 637-4309, Fax: (212) 637-4360, dandrea.larry@epa.gov; Region 3: Tom Stolle, Phone: (215) 814-3129, Fax: (215)814-5518, stolle.tom@epa.gov; Region 4: Rosemary Patton, Phone: (404) 562-8866, Fax: (404) 562-8628, patton.rosemary@epa.gov; Region 5: Joseph Dufficy, Phone: 312-886-1960, Fax: (312) 886-7190, dufficy.joseph@epa.gov; Region 6: Monica Smith, Phone: (214)-665-6780, Fax: (214) 665-6660, smith.monica@epa.gov; Region 7: Susan Klein, Phone: (913) 551-7786, Fax: (913) 551-8688, klein.susan@epa.gov; Region 8: Daniel Heffernan, Phone: (303) 312-7074, Fax: (303) 312-6955, russo.rebecca@epa.gov; Region 9: Carolyn Douglas, Phone: 415-972-3092, Fax: (415) 947-3528, douglas.carolyn@epa.gov; Region 10: Susan Morales, Phone: (206) 553-7299, Fax: (206) 553-0124, morales.susan@epa.gov.

Headquarters Office

David R. Lloyd, Director, Office of Brownfields and Land Revitalization, OSWER, EPA, Washington, DC 20460. Telephone: (202) 566-2777. E-mail: lloyd.davidr@epa.gov. Fax: (202) 566-2757.

Criteria for Selecting Proposals

EPA will not fund this program through competitive grant solicitations. Section 128(a) funds will be allocated to eligible states and tribes in accordance with the national Grant Funding Guidance for State and Tribal Response Programs.



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