66.817 - State and Tribal Response Program Grants

Program Number/Title (010):

Federal Agency (030):

Authorization (040):

Objectives (050):

EPA's CERCLA Section 128(a) grant program funds activities that establish or enhance state and tribal response program capacity, capitalize revolving loan funds (RLFs), and support insurance mechanisms. The goal of this funding is to provide financial support to establish and enhance the four elements of an effective state or tribal response program as specified in CERCLA Section 128 and to ensure that states and tribes maintain a public record of sites included in their programs.

Funding Priority - Fiscal Year 2015: In FY 2015, funding will be prioritized as follows: (1) Funding for program development activities to establish or enhance the four elements of a state or tribal response program and to enable states and tribes to comply with the public record requirement, including activities related to institutional controls. (States and tribes that have established one or more of the four elements will not be prejudiced in funding distributions if their work plan includes activities that enhance the four elements. States with Voluntary Cleanup Program Memorandum of Agreement will not be prejudiced in funding distributions if their work plan does not include tasks related to establishing or enhancing the four elements.) (2) Funding for program development activities to enhance the response program or the cleanup capacity of a state or tribal response program. (3) Funding for site-specific activities at eligible brownfields sites. (4) Funding for environmental insurance mechanisms. (5) Funding to capitalize brownfields cleanup RLFs.

Funding Priority - Fiscal Year 2016: In FY 2016, funding will be prioritized as follows: (1) Funding for program development activities to establish or enhance the four elements of a state or tribal response program and to enable states and tribes to comply with the public record requirement, including activities related to institutional controls. (States and tribes that have established one or more of the four elements will not be prejudiced in funding distributions if their work plan includes activities that enhance the four elements. States with Voluntary Cleanup Program Memorandum of Agreement will not be prejudiced in funding distributions if their work plan does not include tasks related to establishing or enhancing the four elements.) (2) Funding for program development activities to enhance the response program or the cleanup capacity of a state or tribal response program. (3) Funding for site-specific activities at eligible brownfields sites. (4) Funding for environmental insurance mechanisms. (5) Funding to capitalize brownfields cleanup RLFs.

Funding Priority - Fiscal Year 2016: In FY 2016, funding will be prioritized as follows: (1) Funding for program development activities to establish or enhance the four elements of a state or tribal response program and to enable states and tribes to comply with the public record requirement, including activities related to institutional controls. (States and tribes that have established one or more of the four elements will not be prejudiced in funding distributions if their work plan includes activities that enhance the four elements. States with Voluntary Cleanup Program Memorandum of Agreement will not be prejudiced in funding distributions if their work plan does not include tasks related to establishing or enhancing the four elements.) (2) Funding for program development activities to enhance the response program or the cleanup capacity of a state or tribal response program. (3) Funding for site-specific activities at eligible brownfields sites. (4) Funding for environmental insurance mechanisms. (5) Funding to capitalize brownfields cleanup RLFs.

Funding Priority - Fiscal Year 2017: In FY 2017, funding will be prioritized as follows: (1) Funding for program development activities to establish or enhance the four elements of a state or tribal response program and to enable states and tribes to comply with the public record requirement, including activities related to institutional controls. (States and tribes that have established one or more of the four elements will not be prejudiced in funding distributions if their work plan includes activities that enhance the four elements. States with Voluntary Cleanup Program Memorandum of Agreement will not be prejudiced in funding distributions if their work plan does not include tasks related to establishing or enhancing the four elements.) (2) Funding for program development activities to enhance the response program or the cleanup capacity of a state or tribal response program. (3) Funding for site-specific activities at eligible brownfields sites. (4) Funding for environmental insurance mechanisms. (5) Funding to capitalize brownfields cleanup RLFs.

Also, in FY17, EPA may solicit proposals and select recipients for a multipurpose cooperative agreement to provide site assessment and technical assistance and maybe cleanup funding to states to help small, rural and distressed communities address local brownfields issues. The total funding amount for the cleanup portion is anticipated to be approximately $750,000 over a three year project period.

Types of Assistance (060):

Uses and Use Restrictions (070):

States and tribes can use Section 128 funding to (1) establish or enhance four statutory elements of a response program, as per CERCLA § 128(a)(2), (2) capitalize a Revolving Loan Fund program for brownfields cleanup, pursuant to CERCLA § 104(k)(3), (3) purchase environmental insurance or develop a risk sharing pool, an indemnity pool, or insurance mechanism to provide financing for response actions under their programs, (4) maintain and update, at least annually, a public record of sites, pursuant to CERCLA § 128(b), that includes the name and location of sites at which response actions have been completed during the previous year and the name and location of sites at which response actions are planned to be addressed in the next year, and (5) conduct limited site-specific activities. "Establish" includes activities necessary to build the foundation for the four elements of a state or tribal response program or may also include activities that keep their program at a level that meets the four elements. "Enhance" is related to activities that add to or improve a state or tribal response program or increase the number of sites at which response actions are conducted under a state or tribal response program. States and tribes may use Section 128(a) funds for activities that establish and enhance their response programs, even if their response programs address petroleum contamination. Restrictions apply to site-specific activities, such as assessment and cleanup. Assessments and cleanups must be conducted at eligible brownfields sites, as defined in CERCLA § 101(39). Grant recipients and sub-recipients are encouraged to adopt and enforce policies that ban text messaging while driving company-owned or -rented vehicles or government-owned vehicles, or while driving privately-owned vehicles when on official government business or when performing any work for or on behalf of the government. Grant recipients and sub-recipients are encouraged to conduct initiatives of the type described in section 3(a) of the Federal Leadership on Reducing Text Messaging While Driving Executive Order that was signed on October 1, 2009.

Eligibility Requirements (080)

Applicant Eligibility (081):

States (as defined in CERCLA Section 101(27) and tribes (as defined in CERCLA Section 101(36) are eligible for funding under Section 128(a). To be eligible to receive funding under CERCLA Section 128(a), a state or tribe must demonstrate that its response program includes, or is taking reasonable steps to include, the four elements of a response program. States or tribes that are parties to voluntary response program memoranda of agreement (MOAs) are automatically eligible for Section 128(a) funding. Additionally, states and tribes, including those with MOAs, must maintain and make available to the public a record of sites at which response actions have been completed in the previous year and are planned to be addressed in the upcoming year in order to qualify for Section 128(a) funding.

Beneficiary Eligibility (082):

Credentials/Documentation (083):

States and tribes must provide documentation that they have met or are making reasonable progress towards meeting the four statutory elements, or have a Voluntary Cleanup Program Memorandum of Agreement with EPA, and have established and are maintaining the public record. States and tribes must define their "Section 128(a) response program", and may designate a component of the state or tribe that will be EPA's primary point of contact for negotiations on their proposed work plan. 2 CFR 200, Subpart E - Cost Principles applies to this program.

Application and Award Process (090)

Preapplication Coordination (091):

Annually, states and tribes will work with the EPA regional offices to develop their work plans and funding requests for the upcoming year. Each cooperative agreement must have an annual budget period tied to an annual work plan. Annual funding guidance provides the requirements for submitting requests. No specific forms are required. Informal assistance is available through regional offices. States are subject to requirements under E.O. 12372, "Intergovernmental Review of Federal Programs" as implemented in 40 CFR Part 29. Tribes are exempt. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. Environmental impact information is not required for this program. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Application Procedures (092):

2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards applies to this program. States and tribes submit requests to EPA regional offices for funding on an annual basis by submitting a proposed work plan. Annual funding guidance provides the information that should be submitted to the regional office. Once initial requests are submitted, EPA headquarters consolidates requests and provides a final allocation based on factors provided in the funding guidance. No specific form is required for submission of request.

Award Procedure (093):

Deadlines (094):

Range of Approval/Disapproval Time (095):

Appeals (096):

Renewals (097):

Assistance Consideration (100)

Formula and Matching Requirements (101):

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

Length and Time Phasing of Assistance (102):

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

Post Assistance Requirements (110)

Reports (111):

No program reports are required. No cash reports are required. States and tribes will provide progress reports under 2 CFR 200 and 1500, in accordance with terms and conditions of the cooperative agreement negotiated with EPA regional offices. At a minimum, state or tribal progress reports must include both a narrative discussion and performance data relating to the state's or tribe's accomplishments with Section 128(a) funding. Depending upon the activities included in the state's or tribe's scope of work, an EPA regional office may request that a progress report include other elements as described in the Grant Funding Guidance for State and Tribal Response Programs. The regional offices may also request other information be added to the progress reports, as appropriate, to properly document activities described by the cooperative agreement work plan. Expenditure information should be provided in the progress reports. Performance monitoring is in accordance with the terms and conditins of the cooperative agreement.

Audits (112):

In accordance with the provisions of 2 CFR 200, Subpart F - Audit Requirements, non-Federal entities that expend financial assistance of $750,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Non-Federal entities that expend less than $750,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503. Grants and cooperative agreements are subject to inspections and audits by the Comptroller General of the United States, the EPA Office of Inspector General, other EPA staff, or any authorized representative of the Federal government. Reviews by the EPA Project Officer and the Grants Specialist may occur each year.

Records (113):

In addition to the statutory public record requirement, states and tribes must comply with record keeping requirements of 2 CFR 200 and 1500 and any applicable requirements under state and tribal laws. Recipients must keep financial records, including all documents supporting entries on accounting records and to substantiate changes in grants, available to personnel authorized to examine EPA recipients grants and cooperative agreements records. All records must be maintained until expiration of three years from the date of submission of the final expenditure report. If questions remain following the 3-year period, such as those raised as a result of an audit or an on-going enforcement action, recipients must retain records until the matter is completely resolved.

Financial Information (120)

Account Identification (121):

Obligations (122):

Range and Average of Financial Assistance (123):

Program Accomplishments (130):

Regulations, Guidelines, and Literature (140):

Information Contacts (150)

Regional or Local Office (151) :

See Regional Agency Offices. EPA Regional Brownfields Coordinators: Region 1: Frank Gardner, Phone: 617-918-1278, Fax: 617-918-1291, gardner.frank@epa.gov: Region 2; Lya Theodoratos, Phone: 212-637-3230, Fax: 212-637-4360, theodoratos.lya@epa.gov; Region 3: Tom Stolle, Phone:215-814-3129, Fax: 215-814-5518, stolle.tom@epa.gov; Region 4: Barbara Alfano, Phone:404-562-8923, Fax: 404-562-8439, alfano.barbara@epa.gov; Region 5: Mike Gifford, Phone: 312-886-7257, Fax: 312-886-7190, gifford.michael@epa.gov; Region 6: Mary Kemp, Phone:214-665-8358, Fax: 214-665-6660, kemp.mary@epa.gov; Region 7: Susan Klein, Phone:913-551-7786, Fax: 913-551-8688, klein.susan@epa.gov; Region 8: Dan Heffernan, Phone:303-312-7074, Fax: 303-312-6955, heffernan.daniel@epa.gov; Region 9: Noemi Emeric-Ford, Phone: 213-244-1821, Fax: 213-244-1850, emeric-ford.noemi@epa.gov; Region 10: Susan Morales, Phone: 206-553-7299, Fax: 206-553-0124, morales.susan@epa.gov.

Headquarters Office (152):

Website Address (153):

Related Programs (160):

Examples of Funded Projects (170):

Fiscal Year 2015: Program development activities to establish the four elements of a state or tribal response program, including conducting an inventory of brownfields sites; developing or enhancing oversight and enforcement mechanisms; establishing mechanisms to approve cleanup plans; and providing opportunities and resources for public involvement. Establishing and maintaining a public record of sites, including making information available on the Internet and maintaining and monitoring institutional controls; capitalizing an RLF for brownfields cleanup; purchasing environmental insurance; developing legislation, regulations, procedures, and guidance that would establish or enhance the administrative and legal structure of their response programs; and undertaking-site specific related activities, such as conducting assessments at selected brownfields sites and auditing completed site cleanups in states that administer a licensed site professional program. Fiscal Year 2016: Program development activities to establish the four elements of a state or tribal response program, including conducting an inventory of brownfields sites; developing or enhancing oversight and enforcement mechanisms; establishing mechanisms to approve cleanup plans; and providing opportunities and resources for public involvement. Establishing and maintaining a public record of sites, including making information available on the Internet and maintaining and monitoring institutional controls; capitalizing an RLF for brownfields cleanup; purchasing environmental insurance; developing legislation, regulations, procedures, and guidance that would establish or enhance the administrative and legal structure of their response programs; and undertaking-site specific related activities, such as conducting assessments at selected brownfields sites and auditing completed site cleanups in states that administer a licensed site professional program. Fiscal Year 2017: No Current Data Available

Criteria for Selecting Proposals (180):

Accessibility Information

Catalog of Federal Domestic Assistance

State and Tribal Response Program Grants

Program Information

Contact Information

General Information