Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) or Superfund, Section 128(a); Notice of Grant Funding Guidance for State and Tribal Response Programs for FY2015, 71754-71764 [2014-28464]

Download as PDF tkelley on DSK3SPTVN1PROD with NOTICES 71754 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices 370) to the State Emergency Response Commission (SERC) or Tribal Emergency Response Commission (TERC), Local Emergency Planning Committee (LEPC) or Tribal Emergency Planning Committee (TEPC) and the local fire department (LFD) with jurisdiction over their facility. This is a one-time requirement unless a facility becomes subject to the regulations or has updated information on the hazardous chemicals that were already submitted by the facility. EPCRA Section 312 requires owners and operators of facilities subject to OSHA HCS to submit an inventory form (for those chemicals that exceed the thresholds, specified in 40 CFR part 370) to the SERC (or TERC), LEPC (or TEPC), and LFD with jurisdiction over their facility. This inventory form, Tier II (Emergency and Hazardous Chemical Inventory Form), is to be submitted on March 1 of each year and must include the inventory of hazardous chemicals present at the facility in the previous calendar year. On July 13, 2012, EPA finalized revisions to the Tier II inventory form to add some new data elements which would be useful for local emergency planners and responders. The ICR No. 2436.02 was approved by OMB for the burden hours and costs incurred with these revisions. In this renewal for ICR 1352.13, the burden hours and costs estimated will be merged with the burden estimated for ICR No. 2436.02 since the authority for collection of information is under Sections 311 and 312 of EPCRA. Form Numbers: Tier II Emergency and Hazardous Chemical Inventory Form, EPA Form No. 8700–30. Respondents/affected entities: Entities potentially affected by this ICR are manufacturers and non-manufacturers required to have available a Material Safety Data Sheet (or Safety Data Sheet) under the OSHA HCS. Respondent’s obligation to respond: Mandatory (Sections 311 and 312 of EPCRA). Estimated number of respondents: 393,552. Frequency of response: Annual. Total estimated burden: 4,006,632 hours (per year). Burden is defined at 5 CFR 1320.03(b). Total estimated cost: $6,389,900 (per year), includes annualized capital or operation & maintenance costs. Changes in Estimates: There is no increase in burden in this renewal. However, the burden hours and costs estimated for the revisions to the Tier II inventory form finalized on July 13, 2012 is merged with the burden estimated for complying with Sections VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 311 and 312 of EPCRA. The ICR number for the revisions to the Tier II inventory form is ICR No. 2436.02. The authority for ICR No. 1352.13 and 2436.02 is Sections 311 and 312 of EPCRA. Dated: November 24, 2014. Reggie Cheatham, Acting Director, Office of Emergency Management. and tribes which apply during fiscal year 2015. ADDRESSES: Mailing addresses for EPA Regional Offices and EPA Headquarters can be located at www.epa.gov/ brownfields and at the end of this Notice. FOR FURTHER INFORMATION CONTACT: ENVIRONMENTAL PROTECTION AGENCY EPA’s Office of Solid Waste and Emergency Response, Office of Brownfields and Land Revitalization, (202) 566–2745 or the applicable EPA Regional Office listed at the end of this Notice. SUPPLEMENTARY INFORMATION: [FRL–9920–02–OSWER] I. General Information [FR Doc. 2014–28448 Filed 12–2–14; 8:45 am] BILLING CODE 6560–50–P Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) or Superfund, Section 128(a); Notice of Grant Funding Guidance for State and Tribal Response Programs for FY2015 Environmental Protection Agency (EPA). ACTION: Notice. AGENCY: The Environmental Protection Agency (EPA) will begin to accept requests, from December 8, 2014 through January 31, 2015, for grants to supplement State and Tribal Response Programs. This notice provides guidance on eligibility for funding, use of funding, grant mechanisms and process for awarding funding, the allocation system for distribution of funding, and terms and reporting under these grants. EPA has consulted with state and tribal officials in developing this guidance. 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 and a public record. Another goal is to provide funding for other activities that increase the number of response actions conducted or overseen by a state or tribal response program. This funding is not intended to supplant current state or tribal funding for their response programs. Instead, it is to supplement their funding to increase their response capacity. For fiscal year 2015, EPA will consider funding requests up to a maximum of $1.0 million per state or tribe. Subject to the availability of funds, EPA regional personnel will be available to provide technical assistance to states and tribes as they apply for and carry out these grants. DATES: This action is effective as of December 8, 2014. EPA expects to make non-competitive grant awards to states SUMMARY: PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 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 state 1 and tribal 2 response programs. CERCLA 128(a) response program grants are funded with categorical 3 State and Tribal Assistance Grant (STAG) appropriations. Section 128(a) cooperative agreements are awarded and administered by the EPA regional offices. Generally, these response programs address the assessment, cleanup, and redevelopment of brownfields sites and other sites with actual or perceived contamination. This document provides guidance that will enable states and tribes to apply for and use fiscal year 2015 section 128(a) funds.4 The Catalogue of Federal Domestic Assistance 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 brownfield 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. 1 The term ‘‘state’’ is defined in this document as defined in CERCLA section 101(27). 2 The 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). 3 Categorical 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. E:\FR\FM\03DEN1.SGM 03DEN1 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices tkelley on DSK3SPTVN1PROD with NOTICES Requests for funding will be accepted from December 8, 2014 through January 31, 2015. Requests EPA receives after January 31, 2015 will not be considered for FY2015 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 at the end 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 FY2015. Requests submitted by the January 31, 2015 request deadline are preliminary; final cooperative agreement work plans and budgets will be negotiated with the regional offices once final funding allocation determinations are made. As in previous years, 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 package. For more information, please go to www.grants.gov. II. Background State and tribal response programs oversee assessment and cleanup activities at brownfields sites across the country. The depth and breadth of state and tribal response programs vary. Some focus on CERCLA related activities, while others are multifaceted, addressing sites regulated by both CERCLA and the Resource Conservation and Recovery Act (RCRA). Many state programs also offer accompanying financial incentive programs to spur cleanup and redevelopment. In enacting CERCLA section 128(a),5 Congress recognized the accomplishments of state and tribal response programs in cleaning up and redeveloping brownfields sites. Section 128(a) provides EPA with an opportunity to strengthen its partnership with states and tribes, and 5 Section 128(a) was added to CERCLA in 2002 by the Small Business Liability Relief and Brownfields Revitalization Act (Brownfield Amendments). VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 recognizes the response programs’ critical role in overseeing cleanups enrolled in their response programs. This funding is intended for those 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 response program establishes and maintains a public record of sites addressed. Subject to the availability of funds, EPA regional personnel will be available to provide technical assistance to states and tribes as they apply for and carry out section 128(a) cooperative agreements. III. 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 V of this guidance; or be a party to a voluntary response program Memorandum of Agreement (VRP MOA) 6 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). IV. 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) under CERCLA section 104(k)(3). There is a 20% cost share requirement for 128(a) funds used to capitalize a RLF. V. The Four Elements—Section 128(a) 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. Achievement of the four elements should be viewed as a priority. Section 128(a) authorizes funding for activities necessary to establish and enhance the 6 States or tribes that are parties to VRP MOAs and that maintain and make available a public record are automatically eligible for section 128(a) funding. PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 71755 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 brownfields sites in state or tribal land. EPA’s goal in funding activities under 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 brownfields 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 brownfields 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 brownfields 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 those 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 brownfields 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. EPA’s goal in funding activities under this element is to have state and tribal response programs that include oversight and enforcement authorities or other mechanisms, and resources that are adequate 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 the necessary response (this E:\FR\FM\03DEN1.SGM 03DEN1 71756 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices includes operation and maintenance and/or long-term monitoring activities). 3. Mechanisms and resources to provide meaningful opportunities for public participation.7 EPA’s goal in funding activities under 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, including the 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 brownfields 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 a cleanup plan, and verification and certification that cleanup is complete. EPA’s goal in funding activities under 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. 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 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 brownfields sites regardless of planned or completed actions at the site. B. Making the Public Record Easily Accessible 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, in order to receive funds. The public record should be made available to provide a mechanism for meaningful public participation (refer to Section V.3 above). Specifically, under section 128(b)(1)(C), states and tribes must: 1. Maintain and update, at least annually or more often as appropriate, a record that includes the name and location of sites at which response 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 the public record, as well as other information, such as information from the ‘‘survey and inventory’’ element, available to the public via the internet or other means. 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.8 States and tribes should 7 States and tribes establishing this element may find useful information on public participation on EPA’s community involvement Web site at http:// www.epa.gov/superfund/community/policies.htm. 8 For further information on data quality requirements for latitude and longitude information, please see EPA’s data standards Web site available at http://iaspub.epa.gov/sor_internet/ VI. Public Record Requirement tkelley on DSK3SPTVN1PROD with NOTICES actions have been completed during the previous year; 2. maintain and update, at least annually or more often as appropriate, a 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 that will be responsible for oversight, monitoring, and/or maintenance of the institutional and engineering controls; and how the responsible entity is implementing those activities (see Section VI.C). Section 128(a) funds may be used to maintain and make available a public record system that meets the requirements discussed above. VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 PO 00000 Frm 00017 Fmt 4703 Sfmt 4703 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.9 VII. 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 includes the four elements outline 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 VI of this guidance; • operation, maintenance and longterm monitoring of institutional controls and engineering controls; registry/datastds/findadatastandard/epaapproved/ latitudelongitude. 9 States and tribes may find useful information on institutional controls on the EPA’s institutional controls Web site at http://www.epa.gov/superfund/ policy/ic/index.htm. E:\FR\FM\03DEN1.SGM 03DEN1 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices • 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 and 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 areas, and communities with limited experience working with government agencies. EPA will not provide section 128(a) funds solely for assessment or cleanup of specific brownfields 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 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 (can be in the form of a contribution 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 contained in 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. tkelley on DSK3SPTVN1PROD with NOTICES B. Uses Related to ‘‘Establishing’’ a State or Tribal Response Program Under CERCLA 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. VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 C. Uses Related to ‘‘Enhancing’’ a State or Tribal Response Program in their reuse plans and clean up remedies, as appropriate.12 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 a state or tribal response program. The exact ‘‘enhancement’’ uses 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 response programs, e.g., RCRA or Underground Storage Tanks (USTs). As another example, states and tribal response programs enhancement activities can include outreach to local communities (e.g., distressed, environmental justice, rural, tribal, etc.) to increase their awareness about brownfields, building a sustainable brownfields program, federal brownfields technical assistance opportunities 10 (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, state and tribal response programs enhancement activities can include facilitating the participation of the state and local agencies (e.g., transportation, water, other infrastructure) in implementation of brownfields projects. Another example of program enhancement activities can be for states and tribes to assist local communities to collaborate with local workforce development entities or Brownfields job training recipients on the assessment and cleanup of brownfield sites.11 Other ‘‘enhancement’’ uses may be allowable as well. Note: EPA anticipates states and tribes will work with their EPA Brownfields Area-Wide Planning, Cleanup, and Revolving Loan Fund recipients to incorporate changing climate conditions 71757 D. Uses Related to Site-Specific Activities 10 EPA expects states and tribes will familiarize themselves with US EPA’s brownfields technical assistance opportunities for brownfields communities. For more information on technical assistance opportunities, please visit: http:// www.epa.gov/brownfields/tools/index.htm. 11 For more information about EPA’s Brownfields Environmental Workforce Development and Job Training Program, please visit: http://www.epa.gov/ brownfields/job.htm. PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 1. Eligible Uses of Funds for SiteSpecific Activities Site-specific assessment and cleanup activities should establish and/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 activities 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 sitespecific funding to perform assessment (e.g., phase II, supplemental assessments and cleanup planning) and cleanup activities that will lead more quickly to the reuse and redevelopment of sites, particularly sites located in distressed, environmental justice, rural or tribal communities. Furthermore, states and tribes that perform sitespecific activities should plan to directly engage with and involve the targeted community in the project. For example, a Community Relations Plan (CRP) could be developed to provide reasonable notice to the public 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 12 For more information about EPA’s Climate Adaptation Plan, please visit: http://www.epa.gov/ climatechange/impacts-adaptation/fedprograms.html. E:\FR\FM\03DEN1.SGM 03DEN1 71758 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices pursuant to CERCLA section 107, except: • At brownfields 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 that the date of acquisition of the property was on or before January 11, 2002. Subgrants 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 that the date of acquisition of the property was on or before January 11, 2002. tkelley on DSK3SPTVN1PROD with NOTICES 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 but the amount recipients may request for site-specific assessments and cleanups may not generally exceed 50% of the total amount of funding.13 In order for EPA to consider a waiver, the total amount of the site-specific request may not exceed the recipient’s total funding level for the previous 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 sitespecific 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 site response program. EPA recognizes the role of response programs to develop and provide capacity in distressed, environmental justice, rural or tribal communities, and encourages 13 Oversight of assessment and cleanup activities performed by responsible parties (other than the state or tribe) does not count toward the 50% limit. VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 prioritization 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 four elements of a response program) and how related 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; • as 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 VII.A Overview of Funding for more information). EPA Headquarters will approve waivers based on the information in the justification and other information available to the Agency. The EPA will inform recipients whether the waiver is approved. 3. Uses Related to Site-Specific Activities at Petroleum Brownfields 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 VII.D.1) for all site-specific activities, the costs of site-specific assessments and cleanup activities at petroleum contaminated brownfields sites, defined at CERCLA section 101(39)(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 brownfields sites contaminated by petroleum to the extent allowed under CERCLA section 104(k)(3). 4. Additional Examples of Eligible SiteSpecific Activities Other eligible uses of funds for sitespecific related 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 PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 • entering data into the ACRES database E. Uses Related to Activities at ‘‘NonBrownfields’’ Sites Costs incurred for activities at nonbrownfields sites, e.g., oversight, may be eligible and allowable if such activities are included in the state’s or tribe’s work plan. 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. Direct assessment and cleanup activities may only be conducted on eligible brownfields sites, as defined in CERCLA section 101(39). VIII. General Programmatic Guidelines for 128(a) Grant Funding Requests Funding authorized under CERCLA section 128(a) is awarded through a cooperative agreement 14 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 15 as well as applicable provisions of 40 CFR part 35 Subparts A and B. Under these regulations, the cooperative agreement recipient for section 128(a) grant program is the government to which a cooperative agreement is awarded and which is accountable for the use of the funds provided. The cooperative agreement recipient is the entire 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 40 CFR 35.118 and 40 CFR 35.518 to the extent consistent with this guidance. EPA allocates funds to state and tribal response programs under 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 14 A cooperative agreement is an agreement to a state/tribe that includes substantial involvement by EPA on activities described in the work plan which may include technical assistance, collaboration on program priorities, etc. 15 EPA’s regulations will take effect December 26, 2014 (2 CFR 200.110). E:\FR\FM\03DEN1.SGM 03DEN1 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices states or tribes. EPA will accept only one application from each eligible state or tribe. B. Maximum Funding Request For Fiscal Year 2015, 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 FY15 states and tribal individual funding amounts will be less than the FY14 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 will be EPA’s primary point of contact for negotiations on their proposed work plan. 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 of RLFs 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 may, 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). tkelley on DSK3SPTVN1PROD with NOTICES 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 loans, 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 VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 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 (PPG) States and tribes may include section 128(a) cooperative agreements in their PPG 69 FR 51,756 (2004). Section 128(a) funds used to capitalize an RLF 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 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, preaward 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 MOAs must demonstrate that their program includes, or is taking reasonable steps to include, the four elements described in Section V. EPA will not fund, in future years, 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 EPA’s review of the state or tribal response program. I. 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 VI and below, exists and is being maintained.16 Specifically for: • States or tribes that received initial funding prior to FY14: Requests for FY15 funds will not be accepted from states or tribes that fail to demonstrate, by the January 31, 2015 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 FY14 cooperative 16 For purposes of 128(a) funding, the state’s or tribe’s public record applies to that state’s or tribe’s response program(s) that utilized the section 128(a) funding. PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 71759 agreement that prohibited drawdown of FY14 funds prior to meeting 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 FY14: By the time of the actual FY15 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 FY15 cooperative agreement that prohibits the drawdown of FY15 funds until the public record requirement is met). J. Demonstration of Significant Utilization 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 FY14 will be considered in the allocation process. Existing balances of cooperative agreement funds as reflected in EPA’s Financial Data Warehouse could support 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. The recipient should obtain concurrence from the Region on the amount of unspent funds requiring justification by the deadline for this request for funding. K. Allocation System and Process for Distribution of Funds After the January 31, 2015, request deadline, EPA’s Regional Offices will submit summaries of state and tribal requests to EPA Headquarters. Before submitting requests to EPA Headquarters, 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 the state or tribal program; scope of the perceived need for the funding, e.g., size of state or tribal jurisdiction or the proposed work plan balanced against capacity of the program, amount of E:\FR\FM\03DEN1.SGM 03DEN1 71760 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices 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): IX. Information To Be Submitted With the Funding Request B. Demonstration of Significant Utilization of Prior Years’ Funding A. Summary of Planned Use of FY15 Funding States and tribes that received section 128(a) funds prior to FY14 must provide the amount of the prior years’ funding including funds that recipients 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 under 40 CFR 35.420 and 40 CFR 35.737. The recipient should include a detailed explanation and justification of prior year funds that remain in EPA’s Financial Data Warehouse as unspent balances. The recipient should obtain concurrence from the Region on the amount of unspent funds requiring explanation by the January 31, 2015 deadlines for submitting funding requests. C. Optional: Explanation of Overall Program Impacts of any Funding Reductions Please explain the programmatic effects of a reduction (to your current funding amount) on significant activities of your response program. Specifically, at what amount (e.g., percentage of your current funding level) would your response program experience core programmatic impacts such as a reduction in staff, a decrease in oversight activities, or other impacts to the environment and health of the communities the program serves, etc.? An EPA Region may require that this information be submitted as part of the request for funding in order to fully understand the individual program impacts associated with decreased funding. These impacts will be considered as part of the decision for the final allocation. FY14 Awarded FY15 Requested Establish or enhance the four elements: ..................... 1. Timely survey and inventory of brownfields sites; $XX,XXX ........................ $XX,XXX ........................ 2. Oversight and enforcement authorities or other mechanisms; ........................ ........................ 3. Mechanisms and resources to provide meaningful opportunities for public participation; tkelley on DSK3SPTVN1PROD with NOTICES Funding use ........................ ........................ VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 Summary of intended use (EXAMPLE USES) 1. Examples: • inventory and prioritize brownfields sites. • institutional control (IC)/engineering control (EC) tracking. 2. Examples: • develop/enhance ordinances, regulations, procedures for response programs. 3. Examples: • develop a community involvement process. • community outreach. • issue public notices of site activities. E:\FR\FM\03DEN1.SGM 03DEN1 EN03DE14.027</GPH> All states and tribes requesting FY15 funds must submit (to their regional brownfields contact) a summary of the planned use of the funds with associated dollar amounts. Please provide the request in the chart below. The amount of funding requested should be an amount that can be reasonably spent in one year. It is likely that the FY15 state and tribal individual funding amounts will be less than the FY14 individual funding amounts. 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. Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices FY14 Awarded Funding use FY15 Requested 4. Mechanisms or approval of a cleanup plan and verification and certification that cleanup is complete. ........................ ........................ Establish and maintain the public record ..................... XX,XXX XX,XXX Enhance the response program ................................... XX,XXX XX,XXX Site-specific activities (amount requested should be incidental to the workplan, see Section VI.D for more information on what activities should be considered when calculating site specific activities). XX,XXX XX,XXX Environmental insurance .............................................. XX,XXX XX,XXX Revolving loan fund ...................................................... XX,XXX XX,XXX Total funding .......................................................... XXX,XXX XXX,XXX X. 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 sitespecific activities. Each of the subsections below summarizes the basic terms and conditions, and related reporting that will be required if a cooperative agreement with EPA is awarded. tkelley on DSK3SPTVN1PROD with NOTICES A. Progress Reports In accordance with 2 CFR 200.328 and any EPA specific regulations, state and tribes must provide progress reports as provided in the terms and conditions of the cooperative agreement negotiated with EPA regional offices. State and tribal costs for complying with reporting requirements are an eligible expense under the section 128(a) cooperative agreement. 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 and VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 Summary of intended use (EXAMPLE USES) • develop a process to seek public 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 areas, and communities with limited experience working with government agencies to prioritize sites to be addressed. 4. Examples: • develop/update cleanup standards. • review cleanup plans and verify completed actions. • maintain public record. • create web site for public record. • disseminate public information on how to access the public record. • provide oversight of site assessments and cleanups. • attend training and conferences on brownfields cleanup technologies & other brownfields topics. • update and enhance program management activities. • negotiate/oversee contracts for response programs. • enhance program management & tracking systems. • perform site assessments and cleanups. • develop QAPPs. • establish eligibility of target sites. • prepare Property Profile Forms/input data into ACRES database for these sites. • review potential uses of environmental insurance. • manage an insurance risk pool. • create a cleanup revolving loan fund. Performance Partnership Grant? Yes b No b environmental outputs associated with the approved budget and workplan. 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’s 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’s or tribe’s work plan, an EPA regional office may request that a progress report include: 1. Reporting interim and final progress reports. Reports must prominently display the following three relevant Essential Elements 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://www.epa.gov/ planandbudget/strategicplan.html. 2. Reporting for Non-MOA states and tribes. All recipients without a VRP PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 71761 MOA must report activities related to establishing or enhancing the four elements of the state’s or tribe’s response program. For each element state/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: Æ Legal authorities and mechanisms (e.g., statutes, regulations, orders, agreements); and Æ policies and procedures to implement legal authorities; and other mechanisms; • a 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; E:\FR\FM\03DEN1.SGM 03DEN1 tkelley on DSK3SPTVN1PROD with NOTICES 71762 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices • a narrative description of how these authorities or other mechanisms, and resources, are adequate to ensure that: Æ A response action will protect human health and the environment; and be conducted in accordance with applicable federal and state law; 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 • a narrative description and copy of appropriate documents demonstrating the exercise of oversight and enforcement authorities by the response program at a brownfields site. 3. Reporting for site-specific assessment or cleanup activities. Recipients with work plans that include funding for brownfields site assessment or cleanup must input information required by the OMB-approved Property Profile Form into the Assessment Cleanup and Redevelopment Exchange System (ACRES) database for each site assessment and cleanup. In addition, recipients must report how they provide the affected community with prior notice and opportunity for meaningful participation as 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 sitespecific related activities must include a description of the site-specific activities and the number of sites at which the activity was conducted. For example: • 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 RLF. Recipients with work plans that include funding for VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 revolving loan fund (RLF) 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: • Number and description of insurance policies purchased (e.g., type of coverage provided; dollar limits of coverage; any buffers or deductibles; category and identity of insured persons; premium; first dollar or umbrella; site specific or blanket; occurrence or claims made, etc.); • the number of sites covered by the insurance; • the amount of funds spent on environmental insurance (e.g., amount dedicated to insurance program, or to insurance premiums); and • the amount of claims paid by insurers to policy holders. The regional offices may also request that information be added to the progress reports, as appropriate, to properly document activities described by the cooperative 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 January 31, 2015, a summary of the previous federal fiscal year’s work (October 1, 2013 through September 30, 2014). The following information must be submitted to your regional project officer: • Environmental programs where CERCLA 128(a) funds are used to support capacity building (general program support, non-site-specific work). Indicate as appropriate from the following: lBrownfields lUnderground Storage Tanks/Leaking Underground Storage Tanks lFederal Facilities lSolid Waste lSuperfund lHazardous Waste Facilities lVCP (Voluntary Cleanup Program, Independent Cleanup Program, etc.) lOther;llllllll • number of properties (or sites) enrolled in a response program during FY14; • number of properties (or sites) where documentation indicates that PO 00000 Frm 00023 Fmt 4703 Sfmt 4703 cleanup work is complete and all required institutional controls (IC’s) 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; And below are three new questions that are optional for the FY14 reporting period but will be required starting in FY15. • Estimated total number of properties (or sites) in your brownfields inventory; • Please provide a brief narrative explaining how you ensure that cleanup remedies (including engineering controls and institutional controls) are still protective in the future; 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 FY14? 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. For example: 1. Timely survey and inventory— estimated number of brownfields sites in the state or on tribal land; 2. oversight and enforcement authorities/mechanisms—number of active cleanups and percentage that received oversight; percentage of active cleanups not in compliance with the cleanup workplan and that received communications from recipient regarding non-compliance; 3. public participation—percentage of sites in the response program where public meetings/notices were conducted regarding the cleanup plan and/or other site activities; number of site assessments requests, and responses to such requests; and 4. cleanup approval/certification mechanisms—total number of ‘‘no further action’’ letters or total number of certificates of completions. [NOTE: This reporting requirement may include activities not funded with CERCLA Section 128(a) funding, because such information may be helpful to EPA when evaluating whether recipients have met or are taking reasonable steps to meet the four elements of a response program pursuant to CERCLA Section 128(a)(2).] E:\FR\FM\03DEN1.SGM 03DEN1 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices C. Reporting of Public Record All recipients must report, as specified in the terms and conditions of their cooperative agreement, and in Section VIII.I of this guidance, information related to establishing, or if already established, maintaining the public record, described above. States and tribes can refer to an already existing public record, e.g., Web site or other public database to meet the public record requirement. Recipients reporting may only be required to demonstrate that the public record a) exists and is up-to-date, and b) is adequate. A public record may 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 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 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 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: 71763 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 it has an active Federal award or an application or proposal under consideration by an agency, and 3. Provide its DUNS number in each application or proposal it submits 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 Web site at: http:// www.dnb.com. If an applicant fails to comply with these requirements, it will, should it be selected for award, affect their ability to receive the award. Please note that the CCR 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. 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 implementing this requirement. REGIONAL STATE AND TRIBAL BROWNFIELDS CONTACTS Region State Tribal 1—CT, ME, MA, NH, RI, VT James Byrne, 5 Post Office Square, Suite 100 (OSRR07–2), Boston, MA 02109–3912, Phone (617) 918–1389 Fax (617) 918–1291. John Struble, 290 Broadway, 18th Floor, New York, NY 10007–1866, Phone (212) 637–4291 Fax (212) 637– 3083. Michael Taurino, 1650 Arch Street (3HS51), Philadelphia, PA 19103, Phone (215) 814–3371 Fax (215) 814–3015. Nicole Comick-Bates, 61 Forsyth Street, S.W, 10TH FL (9T25), Atlanta, GA 30303–8909, Phone (404) 562– 9966 Fax (404) 562–8788. Jan Pels, 77 West Jackson Boulevard (SE–7J), Chicago, IL 60604–3507, Phone (312) 886–3009 Fax (312) 692–2161. Amber Perry, 1445 Ross Avenue, Suite 1200 (6SF), Dallas, TX 75202–2733, Phone (214) 665–3172 Fax (214) 665–6660. Susan Klein, 11201 Renner Boulevard (SUPRSTAR), Lenexa KS 66219, Phone (913) 551–7786 Fax (913) 551–9786. Christina Wilson, 1595 Wynkoop Street (EPR–B), Denver, CO 80202–1129, Phone (303) 312–6706 Fax (303) 312–6065. AmyJean McKeown, 5 Post Office Square, Suite 100 (OSRR07–2), Boston, MA 02109–3912, Phone (617) 918–1248 Fax (617) 918–1291. Phillip Clappin, 290 Broadway, 18th Floor, New York, NY 10007–1866, Phone (212) 637–4431 Fax (212) 637–3083. 2—NJ, NY, PR, VI ............... 3—DE, DC, MD, PA, VA, WV. 4—AL, FL, GA, KY, MS, NC, SC, TN. 5—IL, IN, MI, MN, OH, WI ... tkelley on DSK3SPTVN1PROD with NOTICES 6—AR, LA, NM, OK, TX ...... 7—IA, KS, MO, NE .............. 8—CO, MT, ND, SD, UT, WY. VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 PO 00000 Frm 00024 Fmt 4703 Sfmt 4703 Cindy J. Nolan, 61 Forsyth Street, S.W, 10TH FL (9T25), Atlanta, GA 30303–8909, Phone (404) 562– 8425 Fax (404) 562–8788. Rosita Clarke-Moreno, 77 West Jackson Boulevard (SE–7J), Chicago, IL 60604–3507, Phone (312) 886– 7215 Fax (312) 697–2075. Amber Perry, 1445 Ross Avenue, Suite 1200 (6SF), Dallas, TX 75202–2733, Phone (214) 665–3172 Fax (214) 665–6660. Jennifer Morris, 11201 Renner Boulevard (SUPRSTAR), Lenexa KS 66219, Phone (913) 551– 7341 Fax (913) 551–9798. Barbara Benoy, 1595 Wynkoop Street (8EPR–SA), Denver, CO 80202–1129, Phone (303) 312–6760 Fax (303) 312–6962. E:\FR\FM\03DEN1.SGM 03DEN1 71764 Federal Register / Vol. 79, No. 232 / Wednesday, December 3, 2014 / Notices REGIONAL STATE AND TRIBAL BROWNFIELDS CONTACTS—Continued Region State Tribal 9—AZ, CA, HI, NV, AS, GU Eugenia Chow, 75 Hawthorne St. (SFD–6–1), San Francisco, CA 94105, Phone (415) 972–3160 Fax (415) 947–3520. Mary K. Goolie, 222 West 7th Avenue #19 (AOO), Anchorage, AK 99513 Phone ((907) 271–3414 Fax ( 907) 271–3424. Jose Garcia, Jr., 600 Wilshire Blvd, Suite 1460, Los Angeles, CA 90017, Phone (213) 244–1811 Fax (213) 244–1850. Mary K. Goolie, 222 West 7th Avenue #19 (AOO), Anchorage, AK 99513 Phone ((907) 271–3414 Fax (907) 271–3424. 10—AK, ID, OR, WA ........... tkelley on DSK3SPTVN1PROD with NOTICES XI. Statutory and Executive Order Reviews Under Executive Order 12866 (58 FR 51735, October 4, 1993), this action is not a ‘‘significant regulatory action’’ and is therefore not subject to review under Executive Orders 12866 and 13563 (76 FR 3821, January 21, 2011). Because this action is not subject to notice and comment requirements under the Administrative Procedures Act or any other statute, it is not subject to the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) or Sections 202 and 205 of the Unfunded Mandates Reform Act of 1999 (UMRA) (Pub. L. 104–4). In addition, this action does not significantly or uniquely affect small governments. This action does not create new binding legal requirements that substantially and directly affect Tribes under Executive Order 13175 (63 FR 67249, November 9, 2000). This action does not have significant Federalism implications under Executive Order 13132 (64 FR 43255, August 10, 1999). Because this action has been exempted from review under Executive Order 12866, this action is not subject to Executive Order 13211, entitled Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use (66 FR 28355, May 22, 2001) or Executive Order 13045, entitled Protection of Children from Environmental Health Risks and Safety Risks (62 FR 19885, April 23, 1997). This action does not contain any information collections subject to OMB approval under the Paperwork Reduction Act (PRA), 44 U.S.C. 3501 et seq., nor does it require any special considerations under Executive Order 12898, entitled Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations (59 FR 7629, February 16, 1994). This action does not involve technical standards; thus, the requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) do not apply. The Congressional Review Act, 5 U.S.C. 801 et seq., generally provides that before certain actions may take effect, the agency promulgating the action must VerDate Sep<11>2014 18:42 Dec 02, 2014 Jkt 235001 submit a report, which includes a copy of the action, to each House of the Congress and to the Comptroller General of the United States. Because this final action does not contain legally binding requirements, it is not subject to the Congressional Review Act. Dated: November 25, 2014. Gail Ann Cooper, Deputy Director, Office of Brownfields and Land Revitalization, Office of Solid Waste and Emergency Response. [FR Doc. 2014–28464 Filed 12–2–14; 8:45 am] BILLING CODE 6560–50–P ENVIRONMENTAL PROTECTION AGENCY [FRL–9920–00–ORD; Docket ID No. EPA– HQ–ORD–2014–0859] Notice of Workshop and Call for Information on Integrated Science Assessment for Particulate Matter Environmental Protection Agency (EPA). ACTION: Notice of Workshop; Call for Information. AGENCY: The U.S. Environmental Protection Agency (EPA) Office of Research and Development’s National Center for Environmental Assessment (NCEA) is preparing an Integrated Science Assessment (ISA) as part of the review of the primary and secondary National Ambient Air Quality Standards (NAAQS) for particulate matter (PM). This ISA is intended to update the scientific assessment presented in the Integrated Science Assessment for Particulate Matter (EPA 600/R–08/ 139F), published in December 2009. Interested parties are invited to assist EPA in developing and refining the scientific information base for the review of the PM NAAQS by submitting research studies that have been published, accepted for publication, or presented at a public scientific meeting. EPA is also announcing that a workshop, entitled ‘‘Workshop to Discuss Policy-Relevant Science to Inform EPA’s Review of the Primary and Secondary NAAQS for PM,’’ is being organized by NCEA and EPA Office of SUMMARY: PO 00000 Frm 00025 Fmt 4703 Sfmt 4703 Air and Radiation’s Office of Air Quality Planning and Standards (OAQPS). The workshop will be held February 9– February 11, 2015, in Research Triangle Park, North Carolina. The workshop will be open to attendance by interested public observers on a first-come, firstserved basis up to the limits of available space. DATES: The workshop will be held on February 9–11, 2015. All communications and information submitted in response to the call for information should be received by EPA by February 18, 2015. ADDRESSES: The workshop will be held at U.S. EPA, 109 T.W. Alexander Drive, Research Triangle Park, North Carolina. An EPA contractor, ICF International, is providing logistical support for the workshop. To register, please visit the Web site: https://sites.google.com/site/ pmworkshop2015/. Interested parties can participate in person or via webinar. The pre-registration deadline is February 4, 2015. Please direct questions regarding workshop registration or logistics to Whitney Kihlstrom at (919) 293–1646, or whitney.kihlstrom@icfi.com. For specific questions regarding technical aspects of the workshop see the section of this notice entitled FOR FURTHER INFORMATION CONTACT. Information in response to the call for information may be submitted electronically, by mail, by facsimile, or by hand delivery/courier. Please follow the detailed instructions as provided in the section of this notice entitled SUPPLEMENTARY INFORMATION. FOR FURTHER INFORMATION CONTACT: For details on the period for submission of research information from the public, contact the Office of Research and Development (ORD) Docket at EPA’s Headquarters Docket Center; telephone: 202–566–1752; facsimile: 202–566– 9744; or email: Docket_ORD@epa.gov. For technical information, contact Mr. Jason Sacks, NCEA; telephone: (919) 541–9729; facsimile: (919) 541–1818; or email: sacks.jason@epa.gov or Dr. Scott Jenkins, OAQPS; telephone: (919) 541– 1167; facsimile: (919) 541–0237; or email: jenkins.scott@epa.gov. E:\FR\FM\03DEN1.SGM 03DEN1

Agencies

[Federal Register Volume 79, Number 232 (Wednesday, December 3, 2014)]
[Notices]
[Pages 71754-71764]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-28464]


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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9920-02-OSWER]


Comprehensive Environmental Response, Compensation and Liability 
Act (CERCLA) or Superfund, Section 128(a); Notice of Grant Funding 
Guidance for State and Tribal Response Programs for FY2015

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The Environmental Protection Agency (EPA) will begin to accept 
requests, from December 8, 2014 through January 31, 2015, for grants to 
supplement State and Tribal Response Programs. This notice provides 
guidance on eligibility for funding, use of funding, grant mechanisms 
and process for awarding funding, the allocation system for 
distribution of funding, and terms and reporting under these grants. 
EPA has consulted with state and tribal officials in developing this 
guidance.
    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 and a public record. Another goal is to provide 
funding for other activities that increase the number of response 
actions conducted or overseen by a state or tribal response program. 
This funding is not intended to supplant current state or tribal 
funding for their response programs. Instead, it is to supplement their 
funding to increase their response capacity.
    For fiscal year 2015, EPA will consider funding requests up to a 
maximum of $1.0 million per state or tribe. Subject to the availability 
of funds, EPA regional personnel will be available to provide technical 
assistance to states and tribes as they apply for and carry out these 
grants.

DATES: This action is effective as of December 8, 2014. EPA expects to 
make non-competitive grant awards to states and tribes which apply 
during fiscal year 2015.

ADDRESSES: Mailing addresses for EPA Regional Offices and EPA 
Headquarters can be located at www.epa.gov/brownfields and at the end 
of this Notice.

FOR FURTHER INFORMATION CONTACT: EPA's Office of Solid Waste and 
Emergency Response, Office of Brownfields and Land Revitalization, 
(202) 566-2745 or the applicable EPA Regional Office listed at the end 
of this Notice.

SUPPLEMENTARY INFORMATION:

I. General Information

    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 state 
\1\ and tribal \2\ response programs. CERCLA 128(a) response program 
grants are funded with categorical \3\ State and Tribal Assistance 
Grant (STAG) appropriations. Section 128(a) cooperative agreements are 
awarded and administered by the EPA regional offices. Generally, these 
response programs address the assessment, cleanup, and redevelopment of 
brownfields sites and other sites with actual or perceived 
contamination. This document provides guidance that will enable states 
and tribes to apply for and use fiscal year 2015 section 128(a) 
funds.\4\
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    \1\ The term ``state'' is defined in this document as defined in 
CERCLA section 101(27).
    \2\ The 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).
    \3\ Categorical 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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    The Catalogue of Federal Domestic Assistance 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 brownfield 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.

[[Page 71755]]

    Requests for funding will be accepted from December 8, 2014 through 
January 31, 2015. Requests EPA receives after January 31, 2015 will not 
be considered for FY2015 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 at the end 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 FY2015.
    Requests submitted by the January 31, 2015 request deadline are 
preliminary; final cooperative agreement work plans and budgets will be 
negotiated with the regional offices once final funding allocation 
determinations are made. As in previous years, 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 package. For more information, please go 
to www.grants.gov.

II. Background

    State and tribal response programs oversee assessment and cleanup 
activities at brownfields sites across the country. The depth and 
breadth of state and tribal response 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 state programs also offer accompanying 
financial incentive programs to spur cleanup and redevelopment. In 
enacting CERCLA section 128(a),\5\ Congress recognized the 
accomplishments of state and tribal response programs in cleaning up 
and redeveloping brownfields sites. Section 128(a) provides EPA with an 
opportunity to strengthen its partnership with states and tribes, and 
recognizes the response programs' critical role in overseeing cleanups 
enrolled in their response programs.
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    \5\ Section 128(a) was added to CERCLA in 2002 by the Small 
Business Liability Relief and Brownfields Revitalization Act 
(Brownfield Amendments).
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    This funding is intended for those 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 response program establishes and 
maintains a public record of sites addressed.
    Subject to the availability of funds, EPA regional personnel will 
be available to provide technical assistance to states and tribes as 
they apply for and carry out section 128(a) cooperative agreements.

III. 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 V of this guidance; or be a party to a voluntary 
response program Memorandum of Agreement (VRP MOA) \6\ with EPA;
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    \6\ States or tribes that are parties to VRP MOAs and that 
maintain and make available a public record are automatically 
eligible for section 128(a) funding.
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    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).

IV. 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) under CERCLA section 104(k)(3). 
There is a 20% cost share requirement for 128(a) funds used to 
capitalize a RLF.

V. The Four Elements--Section 128(a)

    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. 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 brownfields sites in state or 
tribal land. EPA's goal in funding activities under 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 brownfields 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 brownfields 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 brownfields 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 
those 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 
brownfields 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. EPA's goal in funding activities under this element is to 
have state and tribal response programs that include oversight and 
enforcement authorities or other mechanisms, and resources that are 
adequate 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 the 
necessary response (this

[[Page 71756]]

includes operation and maintenance and/or long-term monitoring 
activities).
    3. Mechanisms and resources to provide meaningful opportunities for 
public participation.\7\ EPA's goal in funding activities under 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:
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    \7\ States and tribes establishing this element may find useful 
information on public participation on EPA's community involvement 
Web site at http://www.epa.gov/superfund/community/policies.htm.
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    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, including the 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 brownfields 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 a cleanup plan, and verification and 
certification that cleanup is complete. EPA's goal in funding 
activities under 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.

VI. 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, in order to receive funds. The 
public record should be made available to provide a mechanism for 
meaningful public participation (refer to Section V.3 above). 
Specifically, under section 128(b)(1)(C), states and tribes must:
    1. Maintain and update, at least annually or more often as 
appropriate, a 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 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 that will be responsible for oversight, monitoring, and/or 
maintenance of the institutional and engineering controls; and how the 
responsible entity is implementing those activities (see Section VI.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 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 brownfields 
sites regardless of planned or completed actions at the site.

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 the public 
record, as well as other information, such as information from the 
``survey and inventory'' element, available to the public via the 
internet or other means. 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.\8\ 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.
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    \8\ For further information on data quality requirements for 
latitude and longitude information, please see EPA's data standards 
Web site available at http://iaspub.epa.gov/sor_internet/registry/datastds/findadatastandard/epaapproved/latitudelongitude.
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    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.\9\
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    \9\ States and tribes may find useful information on 
institutional controls on the EPA's institutional controls Web site 
at http://www.epa.gov/superfund/policy/ic/index.htm.
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VII. 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 includes the four elements outline 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 VI of this guidance;
     operation, maintenance and long-term monitoring of 
institutional controls and engineering controls;

[[Page 71757]]

     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 and 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 areas, and communities 
with limited experience working with government agencies. EPA will not 
provide section 128(a) funds solely for assessment or cleanup of 
specific brownfields 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 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 (can be in the form of a 
contribution 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 
contained in 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 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 a 
state or tribal response program.
    The exact ``enhancement'' uses 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 response programs, 
e.g., RCRA or Underground Storage Tanks (USTs). As another example, 
states and tribal response programs enhancement activities can include 
outreach to local communities (e.g., distressed, environmental justice, 
rural, tribal, etc.) to increase their awareness about brownfields, 
building a sustainable brownfields program, federal brownfields 
technical assistance opportunities \10\ (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, state and tribal response 
programs enhancement activities can include facilitating the 
participation of the state and local agencies (e.g., transportation, 
water, other infrastructure) in implementation of brownfields projects. 
Another example of program enhancement activities can be for states and 
tribes to assist local communities to collaborate with local workforce 
development entities or Brownfields job training recipients on the 
assessment and cleanup of brownfield sites.\11\ Other ``enhancement'' 
uses may be allowable as well.
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    \10\ EPA expects states and tribes will familiarize themselves 
with US EPA's brownfields technical assistance opportunities for 
brownfields communities. For more information on technical 
assistance opportunities, please visit: http://www.epa.gov/brownfields/tools/index.htm.
    \11\ For more information about EPA's Brownfields Environmental 
Workforce Development and Job Training Program, please visit: http://www.epa.gov/brownfields/job.htm.
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    Note: EPA anticipates states and tribes will work with their EPA 
Brownfields Area-Wide Planning, Cleanup, and Revolving Loan Fund 
recipients to incorporate changing climate conditions in their reuse 
plans and clean up remedies, as appropriate.\12\
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    \12\ For more information about EPA's Climate Adaptation Plan, 
please visit: http://www.epa.gov/climatechange/impacts-adaptation/fed-programs.html.
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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-specific assessments and cleanups can be both eligible and 
allowable if the activities 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 II, supplemental 
assessments and cleanup planning) and cleanup activities that will lead 
more quickly to the reuse and redevelopment of sites, particularly 
sites 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 the targeted 
community in the project. For example, a Community Relations Plan (CRP) 
could be developed to provide reasonable notice to the public 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

[[Page 71758]]

pursuant to CERCLA section 107, except:
     At brownfields 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 that the date of acquisition of the property was on or 
before January 11, 2002.
    Subgrants 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 that 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 but the amount 
recipients may request for site-specific assessments and cleanups may 
not generally exceed 50% of the total amount of funding.\13\ In order 
for EPA to consider a waiver, the total amount of the site-specific 
request may not exceed the recipient's total funding level for the 
previous 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:
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    \13\ 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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     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 site response program. EPA recognizes the role of response 
programs to develop and provide capacity in distressed, environmental 
justice, rural or tribal communities, and encourages prioritization 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 four elements of a response program) and how related 
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;
     as 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 VII.A Overview of Funding for more 
information). EPA Headquarters will approve waivers based on the 
information in the justification and other information available to the 
Agency. The EPA will inform recipients whether the waiver is approved.
3. Uses Related to Site-Specific Activities at Petroleum Brownfields 
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 VII.D.1) 
for all site-specific activities, the costs of site-specific 
assessments and cleanup activities at petroleum contaminated 
brownfields sites, defined at CERCLA section 101(39)(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 brownfields 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 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 ACRES database

E. Uses Related to Activities at ``Non-Brownfields'' Sites

    Costs incurred for activities at non-brownfields sites, e.g., 
oversight, may be eligible and allowable if such activities are 
included in the state's or tribe's work plan. 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. Direct assessment and cleanup 
activities may only be conducted on eligible brownfields sites, as 
defined in CERCLA section 101(39).

VIII. General Programmatic Guidelines for 128(a) Grant Funding Requests

    Funding authorized under CERCLA section 128(a) is awarded through a 
cooperative agreement \14\ 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 \15\ as well as applicable provisions of 40 CFR part 35 
Subparts A and B. Under these regulations, the cooperative agreement 
recipient for section 128(a) grant program is the government to which a 
cooperative agreement is awarded and which is accountable for the use 
of the funds provided. The cooperative agreement recipient is the 
entire 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 40 
CFR 35.118 and 40 CFR 35.518 to the extent consistent with this 
guidance. EPA allocates funds to state and tribal response programs 
under 40 CFR 35.420 and 40 CFR 35.737.
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    \14\ A cooperative agreement is an agreement to a state/tribe 
that includes substantial involvement by EPA on activities described 
in the work plan which may include technical assistance, 
collaboration on program priorities, etc.
    \15\ EPA's regulations will take effect December 26, 2014 (2 CFR 
200.110).
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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

[[Page 71759]]

states or tribes. EPA will accept only one application from each 
eligible state or tribe.

B. Maximum Funding Request

    For Fiscal Year 2015, 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 FY15 states and 
tribal individual funding amounts will be less than the FY14 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 will be EPA's 
primary point of contact for negotiations on their proposed work plan. 
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 of RLFs 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 may, 
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 loans, 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 (PPG)

    States and tribes may include section 128(a) cooperative agreements 
in their PPG 69 FR 51,756 (2004). Section 128(a) funds used to 
capitalize an RLF 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 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 MOAs must demonstrate that their program 
includes, or is taking reasonable steps to include, the four elements 
described in Section V. EPA will not fund, in future years, 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 EPA's review of 
the state or tribal response program.

I. 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 VI and below, exists and is being maintained.\16\ 
Specifically for:
---------------------------------------------------------------------------

    \16\ For purposes of 128(a) funding, the state's or tribe's 
public record applies to that state's or tribe's response program(s) 
that utilized the section 128(a) funding.
---------------------------------------------------------------------------

     States or tribes that received initial funding prior to 
FY14: Requests for FY15 funds will not be accepted from states or 
tribes that fail to demonstrate, by the January 31, 2015 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 FY14 cooperative agreement that 
prohibited drawdown of FY14 funds prior to meeting 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 FY14: By 
the time of the actual FY15 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 FY15 cooperative agreement that prohibits the 
drawdown of FY15 funds until the public record requirement is met).

J. Demonstration of Significant Utilization 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 FY14 will be considered 
in the allocation process. Existing balances of cooperative agreement 
funds as reflected in EPA's Financial Data Warehouse could support 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. The 
recipient should obtain concurrence from the Region on the amount of 
unspent funds requiring justification by the deadline for this request 
for funding.

K. Allocation System and Process for Distribution of Funds

    After the January 31, 2015, request deadline, EPA's Regional 
Offices will submit summaries of state and tribal requests to EPA 
Headquarters. Before submitting requests to EPA Headquarters, 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 the state or tribal program; scope 
of the perceived need for the funding, e.g., size of state or tribal 
jurisdiction or the proposed work plan balanced against capacity of the 
program, amount of

[[Page 71760]]

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):
[GRAPHIC] [TIFF OMITTED] TN03DE14.027

IX. Information To Be Submitted With the Funding Request

A. Summary of Planned Use of FY15 Funding

    All states and tribes requesting FY15 funds must submit (to their 
regional brownfields contact) a summary of the planned use of the funds 
with associated dollar amounts. Please provide the request in the chart 
below. The amount of funding requested should be an amount that can be 
reasonably spent in one year. It is likely that the FY15 state and 
tribal individual funding amounts will be less than the FY14 individual 
funding amounts. 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. Demonstration of Significant Utilization of Prior Years' Funding

    States and tribes that received section 128(a) funds prior to FY14 
must provide the amount of the prior years' funding including funds 
that recipients 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 under 40 CFR 35.420 and 
40 CFR 35.737. The recipient should include a detailed explanation and 
justification of prior year funds that remain in EPA's Financial Data 
Warehouse as unspent balances. The recipient should obtain concurrence 
from the Region on the amount of unspent funds requiring explanation by 
the January 31, 2015 deadlines for submitting funding requests.

C. Optional: Explanation of Overall Program Impacts of any Funding 
Reductions

    Please explain the programmatic effects of a reduction (to your 
current funding amount) on significant activities of your response 
program. Specifically, at what amount (e.g., percentage of your current 
funding level) would your response program experience core programmatic 
impacts such as a reduction in staff, a decrease in oversight 
activities, or other impacts to the environment and health of the 
communities the program serves, etc.? An EPA Region may require that 
this information be submitted as part of the request for funding in 
order to fully understand the individual program impacts associated 
with decreased funding. These impacts will be considered as part of the 
decision for the final allocation.

----------------------------------------------------------------------------------------------------------------
                                                                  FY15         Summary of intended use (EXAMPLE
                Funding use                   FY14  Awarded     Requested                   USES)
----------------------------------------------------------------------------------------------------------------
Establish or enhance the four elements:....         $XX,XXX         $XX,XXX
    1. Timely survey and inventory of        ..............  ..............  1. Examples:
     brownfields sites;                                                       inventory and prioritize
                                                                              brownfields sites.
                                                                                 institutional control
                                                                                 (IC)/engineering control (EC)
                                                                                 tracking.
    2. Oversight and enforcement             ..............  ..............  2. Examples:
     authorities or other mechanisms;                                         develop/enhance
                                                                              ordinances, regulations,
                                                                              procedures for response programs.
    3. Mechanisms and resources to provide   ..............  ..............  3. Examples:
     meaningful opportunities for public                                      develop a community
     participation;                                                           involvement process.
                                                                                 community outreach.
                                                                                 issue public notices of
                                                                                 site activities.

[[Page 71761]]

 
                                                                                 develop a process to
                                                                                 seek public 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 areas, and communities
                                                                                 with limited experience working
                                                                                 with government agencies to
                                                                                 prioritize sites to be
                                                                                 addressed.
    4. Mechanisms or approval of a cleanup   ..............  ..............  4. Examples:
     plan and verification and                                                develop/update cleanup
     certification that cleanup is                                            standards.
     complete.                                                                review cleanup plans and
                                                                              verify completed actions.
Establish and maintain the public record...          XX,XXX          XX,XXX   maintain public record.
                                                                              create web site for public
                                                                              record.
                                                                              disseminate public
                                                                              information on how to access the
                                                                              public record.
Enhance the response program...............          XX,XXX          XX,XXX   provide oversight of site
                                                                              assessments and cleanups.
                                                                              attend training and
                                                                              conferences on brownfields cleanup
                                                                              technologies & other brownfields
                                                                              topics.
                                                                              update and enhance program
                                                                              management activities.
                                                                              negotiate/oversee
                                                                              contracts for response programs.
                                                                              enhance program management
                                                                              & tracking systems.
Site-specific activities (amount requested           XX,XXX          XX,XXX   perform site assessments
 should be incidental to the workplan, see                                    and cleanups.
 Section VI.D for more information on what                                    develop QAPPs.
 activities should be considered when                                         establish eligibility of
 calculating site specific activities).                                       target sites.
                                                                              prepare Property Profile
                                                                              Forms/input data into ACRES
                                                                              database for these sites.
Environmental insurance....................          XX,XXX          XX,XXX   review potential uses of
                                                                              environmental insurance.
                                                                              manage an insurance risk
                                                                              pool.
Revolving loan fund........................          XX,XXX          XX,XXX   create a cleanup revolving
                                                                              loan fund.
                                            --------------------------------
    Total funding..........................         XXX,XXX         XXX,XXX  Performance Partnership Grant? Yes
                                                                              [ballot] No [ballot]
----------------------------------------------------------------------------------------------------------------

X. 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 
required if a cooperative agreement with EPA is awarded.

A. Progress Reports

    In accordance with 2 CFR 200.328 and any EPA specific regulations, 
state and tribes must provide progress reports as provided in the terms 
and conditions of the cooperative agreement negotiated with EPA 
regional offices. State and tribal costs for complying with reporting 
requirements are an eligible expense under the section 128(a) 
cooperative agreement. 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 and environmental outputs 
associated with the approved budget and workplan. 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's 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's or tribe's work 
plan, an EPA regional office may request that a progress report 
include:
    1. Reporting interim and final progress reports. Reports must 
prominently display the following three relevant Essential Elements 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://www.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's or tribe's response program. For each 
element state/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:
    [cir] Legal authorities and mechanisms (e.g., statutes, 
regulations, orders, agreements); and
    [cir] policies and procedures to implement legal authorities; and 
other mechanisms;
     a 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;

[[Page 71762]]

     a narrative description of how these authorities or other 
mechanisms, and resources, are adequate to ensure that:
    [cir] A response action will protect human health and the 
environment; and be conducted in accordance with applicable federal and 
state law; 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
     a narrative description and copy of appropriate documents 
demonstrating the exercise of oversight and enforcement authorities by 
the response program at a brownfields site.
    3. Reporting for site-specific assessment or cleanup activities. 
Recipients with work plans that include funding for brownfields site 
assessment or cleanup must input information required by the OMB-
approved Property Profile Form into the Assessment Cleanup and 
Redevelopment Exchange System (ACRES) database for each site assessment 
and cleanup. In addition, recipients must report how they provide the 
affected community with prior notice and opportunity for meaningful 
participation as 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:
     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 RLF. Recipients 
with work plans that include funding for revolving loan fund (RLF) 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:
     Number and description of insurance policies purchased 
(e.g., type of coverage provided; dollar limits of coverage; any 
buffers or deductibles; category and identity of insured persons; 
premium; first dollar or umbrella; site specific or blanket; occurrence 
or claims made, etc.);
     the number of sites covered by the insurance;
     the amount of funds spent on environmental insurance 
(e.g., amount dedicated to insurance program, or to insurance 
premiums); and
     the amount of claims paid by insurers to policy holders.
    The regional offices may also request that information be added to 
the progress reports, as appropriate, to properly document activities 
described by the cooperative 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 January 31, 2015, a summary of 
the previous federal fiscal year's work (October 1, 2013 through 
September 30, 2014). The following information must be submitted to 
your regional project officer:
     Environmental programs where CERCLA 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 FY14;
     number of properties (or sites) where documentation 
indicates that cleanup work is complete and all required institutional 
controls (IC's) 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;
    And below are three new questions that are optional for the FY14 
reporting period but will be required starting in FY15.
     Estimated total number of properties (or sites) in your 
brownfields inventory;
     Please provide a brief narrative explaining how you ensure 
that cleanup remedies (including engineering controls and institutional 
controls) are still protective in the future; 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 FY14? 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. For example:
    1. Timely survey and inventory--estimated number of brownfields 
sites in the state or on tribal land;
    2. oversight and enforcement authorities/mechanisms--number of 
active cleanups and percentage that received oversight; percentage of 
active cleanups not in compliance with the cleanup workplan and that 
received communications from recipient regarding non-compliance;
    3. public participation--percentage of sites in the response 
program where public meetings/notices were conducted regarding the 
cleanup plan and/or other site activities; number of site assessments 
requests, and responses to such requests; and
    4. cleanup approval/certification mechanisms--total number of ``no 
further action'' letters or total number of certificates of 
completions.

[NOTE: This reporting requirement may include activities not funded 
with CERCLA Section 128(a) funding, because such information may be 
helpful to EPA when evaluating whether recipients have met or are 
taking reasonable steps to meet the four elements of a response 
program pursuant to CERCLA Section 128(a)(2).]


[[Page 71763]]



C. Reporting of Public Record

    All recipients must report, as specified in the terms and 
conditions of their cooperative agreement, and in Section VIII.I of 
this guidance, information related to establishing, or if already 
established, maintaining the public record, described above. States and 
tribes can refer to an already existing public record, e.g., Web site 
or other public database to meet the public record requirement. 
Recipients reporting may only be required to demonstrate that the 
public record a) exists and is up-to-date, and b) is adequate. A public 
record may 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 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 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
    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 it has an active Federal award or an application 
or proposal under consideration by an agency, and
    3. Provide its DUNS number in each application or proposal it 
submits 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 Web site at: http://www.dnb.com.
    If an applicant fails to comply with these requirements, it will, 
should it be selected for award, affect their ability to receive the 
award.
    Please note that the CCR 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. 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 
implementing this requirement.

             Regional State and Tribal Brownfields Contacts
------------------------------------------------------------------------
           Region                     State                Tribal
------------------------------------------------------------------------
1_CT, ME, MA, NH, RI, VT....  James Byrne, 5 Post   AmyJean McKeown, 5
                               Office Square,        Post Office Square,
                               Suite 100 (OSRR07-    Suite 100 (OSRR07-
                               2), Boston, MA        2), Boston, MA
                               02109-3912, Phone     02109-3912, Phone
                               (617) 918-1389 Fax    (617) 918-1248 Fax
                               (617) 918-1291.       (617) 918-1291.
2_NJ, NY, PR, VI............  John Struble, 290     Phillip Clappin, 290
                               Broadway, 18th        Broadway, 18th
                               Floor, New York, NY   Floor, New York, NY
                               10007-1866, Phone     10007-1866, Phone
                               (212) 637-4291 Fax    (212) 637-4431 Fax
                               (212) 637-3083.       (212) 637-3083.
3_DE, DC, MD, PA, VA, WV....  Michael Taurino,
                               1650 Arch Street
                               (3HS51),
                               Philadelphia, PA
                               19103, Phone (215)
                               814-3371 Fax (215)
                               814-3015.
4_AL, FL, GA, KY, MS, NC,     Nicole Comick-Bates,  Cindy J. Nolan, 61
 SC, TN.                       61 Forsyth Street,    Forsyth Street,
                               S.W, 10TH FL          S.W, 10TH FL
                               (9T25), Atlanta, GA   (9T25), Atlanta, GA
                               30303-8909, Phone     30303-8909, Phone
                               (404) 562-9966 Fax    (404) 562-8425 Fax
                               (404) 562-8788.       (404) 562-8788.
5_IL, IN, MI, MN, OH, WI....  Jan Pels, 77 West     Rosita Clarke-
                               Jackson Boulevard     Moreno, 77 West
                               (SE-7J), Chicago,     Jackson Boulevard
                               IL 60604-3507,        (SE-7J), Chicago,
                               Phone (312) 886-      IL 60604-3507,
                               3009 Fax (312) 692-   Phone (312) 886-
                               2161.                 7215 Fax (312) 697-
                                                     2075.
6_AR, LA, NM, OK, TX........  Amber Perry, 1445     Amber Perry, 1445
                               Ross Avenue, Suite    Ross Avenue, Suite
                               1200 (6SF), Dallas,   1200 (6SF), Dallas,
                               TX 75202-2733,        TX 75202-2733,
                               Phone (214) 665-      Phone (214) 665-
                               3172 Fax (214) 665-   3172 Fax (214) 665-
                               6660.                 6660.
7_IA, KS, MO, NE............  Susan Klein, 11201    Jennifer Morris,
                               Renner Boulevard      11201 Renner
                               (SUPRSTAR), Lenexa    Boulevard
                               KS 66219, Phone       (SUPRSTAR), Lenexa
                               (913) 551-7786 Fax    KS 66219, Phone
                               (913) 551-9786.       (913) 551-7341 Fax
                                                     (913) 551-9798.
8_CO, MT, ND, SD, UT, WY....  Christina Wilson,     Barbara Benoy, 1595
                               1595 Wynkoop Street   Wynkoop Street
                               (EPR-B), Denver, CO   (8EPR-SA), Denver,
                               80202-1129, Phone     CO 80202-1129,
                               (303) 312-6706 Fax    Phone (303) 312-
                               (303) 312-6065.       6760 Fax (303) 312-
                                                     6962.

[[Page 71764]]

 
9_AZ, CA, HI, NV, AS, GU....  Eugenia Chow, 75      Jose Garcia, Jr.,
                               Hawthorne St. (SFD-   600 Wilshire Blvd,
                               6-1), San             Suite 1460, Los
                               Francisco, CA         Angeles, CA 90017,
                               94105, Phone (415)    Phone (213) 244-
                               972-3160 Fax (415)    1811 Fax (213) 244-
                               947-3520.             1850.
10_AK, ID, OR, WA...........  Mary K. Goolie, 222   Mary K. Goolie, 222
                               West 7th Avenue #19   West 7th Avenue #19
                               (AOO), Anchorage,     (AOO), Anchorage,
                               AK 99513 Phone        AK 99513 Phone
                               ((907) 271-3414 Fax   ((907) 271-3414 Fax
                               ( 907) 271-3424.      (907) 271-3424.
------------------------------------------------------------------------

XI. Statutory and Executive Order Reviews

    Under Executive Order 12866 (58 FR 51735, October 4, 1993), this 
action is not a ``significant regulatory action'' and is therefore not 
subject to review under Executive Orders 12866 and 13563 (76 FR 3821, 
January 21, 2011). Because this action is not subject to notice and 
comment requirements under the Administrative Procedures Act or any 
other statute, it is not subject to the Regulatory Flexibility Act (5 
U.S.C. 601 et seq.) or Sections 202 and 205 of the Unfunded Mandates 
Reform Act of 1999 (UMRA) (Pub. L. 104-4). In addition, this action 
does not significantly or uniquely affect small governments. This 
action does not create new binding legal requirements that 
substantially and directly affect Tribes under Executive Order 13175 
(63 FR 67249, November 9, 2000). This action does not have significant 
Federalism implications under Executive Order 13132 (64 FR 43255, 
August 10, 1999). Because this action has been exempted from review 
under Executive Order 12866, this action is not subject to Executive 
Order 13211, entitled Actions Concerning Regulations That Significantly 
Affect Energy Supply, Distribution, or Use (66 FR 28355, May 22, 2001) 
or Executive Order 13045, entitled Protection of Children from 
Environmental Health Risks and Safety Risks (62 FR 19885, April 23, 
1997). This action does not contain any information collections subject 
to OMB approval under the Paperwork Reduction Act (PRA), 44 U.S.C. 3501 
et seq., nor does it require any special considerations under Executive 
Order 12898, entitled Federal Actions to Address Environmental Justice 
in Minority Populations and Low-Income Populations (59 FR 7629, 
February 16, 1994). This action does not involve technical standards; 
thus, the requirements of Section 12(d) of the National Technology 
Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) do not apply. 
The Congressional Review Act, 5 U.S.C. 801 et seq., generally provides 
that before certain actions may take effect, the agency promulgating 
the action must submit a report, which includes a copy of the action, 
to each House of the Congress and to the Comptroller General of the 
United States. Because this final action does not contain legally 
binding requirements, it is not subject to the Congressional Review 
Act.

    Dated: November 25, 2014.
Gail Ann Cooper,
Deputy Director, Office of Brownfields and Land Revitalization, Office 
of Solid Waste and Emergency Response.
[FR Doc. 2014-28464 Filed 12-2-14; 8:45 am]
BILLING CODE 6560-50-P