Agenda 10/24/2017 Item #16G 110/24/2017
EXECUTIVE SUMMARY
Recommendation to approve the attached Letter of Support and Resolution to partner with the
Southwest Florida Regional Planning Council (SWFRPC), Glades County, and Hendry County to
apply for the FY2018 Environmental Protection Agency (EPA) Brownfield Assessments Grant
through the Southwest Florida Promise Zone Brownfield Coalition.
OBJECTIVE: To participate in a Brownfield Assessment Coalition with the goal of obtaining EPA
grant funding to identify and address potential brownfield sites within the Southwest Florida Promise
Zone (SFPZ), which includes Hendry County, Glades County, and the community of Immokalee.
CONSIDERATIONS: Brownfield areas are lands that are generally idle or underutilized due to actual or
perceived environmental contamination. For purposes of economic development, the Board formally
designated the Immokalee Regional Airport as a Brownfield Area in 2004 through Resolution No. 04-82.
Competitive grants are available to assess possible contamination and, if necessary, develop a cleanup
plan.
On December 13, 2016, Agenda Item 16G3, the Board of County Commissioners (Board) approved
Resolution 2016-272 and a Memorandum of Understanding (MOU) with the SWFRPC to form a
Brownfield Assessment Coalition to apply for grant funds from the EPA Brownfield Assessment Grant
Program to assess and conduct planning for sites within the SWFL Promise Zone that may be
contaminated by hazardous substances.
Although the 2017 grant application package was met favorably by the EPA in terms of overall eligibility,
a grant was not awarded. Accordingly, the SWFRPC has once again requested Collier County’s
participation and a Letter of Support in applying for the FY2018 EPA Brownfields Assessment Grant.
If the grant is awarded, the SWFRPC will administer the program and procure environmental consultants
to perform testing and planning. There is an option for the SWFRPC to provide sub-grants to Collier
County to cover staff time spent on coordinating related activities and other administrative tasks. It will
be the responsibility of Collier County to obtain all required permits, easements and access agreements as
may be necessary to undertake assessments at the Airport.
FISCAL IMPACT: There is no Fiscal Impact associated with this letter of support.
GROWTH MANAGEMENT IMPACT: There is no Growth Management Impact associated with the
Executive Summary.
LEGAL CONSIDERATIONS: This item has been reviewed by the County attorney, is approved as to
form and legality, and requires majority vote for approval. -JAK
RECOMMENDATION: To approve and authorize the Chairman to sign the attached Letter of Support
and Resolution for the Southwest Florida Regional Planning Council’s Brownfield Coalition Assessment
Grant Application and approval submittal of a grant application to the Environmental Protection Agency
through the for Southwest Florida Promise Zone Coalition for technical assistance and brownfield site
assessments.
Prepared by: Justin Lobb, Airports Manager, Airport Authority
16.G.1
Packet Pg. 960
10/24/2017
ATTACHMENT(S)
1. LOS SWFRPC 2018 Brownfield Assessment Application (PDF)
2. Collier County Resolution-2018 Grant App_CAO signature (PDF)
3. Backup Documents 12.13.2016 Item _16G3 - Executed MOU (PDF)
4. [Linked] EPA-OLEM-OBLR-17-07 (PDF)
5. Agenda Item - Brownfield Designation 03.23.2004R (PDF)
16.G.1
Packet Pg. 961
10/24/2017
COLLIER COUNTY
Board of County Commissioners
Item Number: 16.G.1
Doc ID: 3901
Item Summary: Recommendation to approve the attached Letter of Support and Resolution to
partner with the Southwest Florida Regional Planning Council, Glades County, and Hendry County to
apply for the FY2018 Environmental Protection Agency Brownfield Assessments Grant through the
Southwest Florida Promise Zone Brownfield Coalition.
Meeting Date: 10/24/2017
Prepared by:
Title: Operations Coordinator – Airport Authority
Name: Debra Brueggeman
10/09/2017 9:47 AM
Submitted by:
Title: Division Director - Operations Support – Growth Management Department
Name: Gene Shue
10/09/2017 9:47 AM
Approved By:
Review:
Airport Authority Justin Lobb Additional Reviewer Completed 10/09/2017 9:54 AM
Growth Management Department Diane Lynch Level 1 Reviewer Completed 10/09/2017 10:15 AM
Growth Management Operations Support Allison Kearns Additional Reviewer Completed 10/09/2017 10:42 AM
Growth Management Department Gene Shue Additional Reviewer Completed 10/09/2017 10:48 AM
Growth Management Department Thaddeus Cohen Department Head Review Completed 10/09/2017 10:54 AM
Growth Management Department James French Deputy Department Head Review Completed 10/09/2017 4:58 PM
Grants Edmond Kushi Level 2 Grants Review Completed 10/11/2017 3:41 PM
County Attorney's Office Jeffrey A. Klatzkow Level 3 County Attorney's Office Review Completed 10/12/2017 7:55 AM
Office of Management and Budget Valerie Fleming Level 3 OMB Gatekeeper Review Completed 10/12/2017 11:16 AM
Grants Therese Stanley Additional Reviewer Completed 10/13/2017 10:23 AM
County Manager's Office Nick Casalanguida Level 4 County Manager Review Completed 10/16/2017 12:41 PM
Board of County Commissioners MaryJo Brock Meeting Pending 10/24/2017 9:00 AM
16.G.1
Packet Pg. 962
October 24, 2017
Ms. Margaret Wuerstle
Executive Director
Southwest Florida Regional Planning Council
1400 Colonial Boulevard
Suite 1
Fort Myers, FL 33907
Re: Letter of Support for the Southwest Florida Regional Planning Council’s Brownfields Coalition
Assessment Grant Application
Dear Ms. Wuerstle:
Collier County is pleased to partner with The Southwest Florida Regional Council (SWFRPC), Glades
County, and Hendry County to apply for the FY2018 EPA Brownfields Assessment Grant through the
Southwest Florida Promise Zone Brownfield Coalition. This grant would provide funds to assess
hazardous substances as well as petroleum-impacted properties and develop cleanup plans if necessary.
Collier County acknowledges the leadership of the SWFRPC in assembling a multi-jurisdiction, multi-
sector coalition of government entities and allied public and private sector partners to conduct
community wide assessments of environmentally impacted properties in the Southwest Florida Promise
Zone region.
Collier County agrees to serve as a Southwest Florida Promise Zone Brownfield Coalition member and
acknowledges that the Southwest Florida Regional Planning Council will be the lead member of the
coalition for the purposes of this grant application and subsequent award. In support of this effort,
Collier County will provide access to county and city data, facilities for public workshops, and assistance
in garnering community input. Staff from Collier County is willing to serve on advisory boards or
committees that are developed in support of this grant and brownfield redevelopment in our
community.
We look forward to working with the Southwest Florida Regional Planning Council on this important
endeavor.
Sincerely,
Penny Taylor
Chairman
16.G.1.a
Packet Pg. 963 Attachment: LOS SWFRPC 2018 Brownfield Assessment Application (3901 : Brownfield Coalition Grant)
16.G.1.b
Packet Pg. 964 Attachment: Collier County Resolution-2018 Grant App_CAO signature (3901 : Brownfield Coalition Grant)
16.G.1.b
Packet Pg. 965 Attachment: Collier County Resolution-2018 Grant App_CAO signature (3901 : Brownfield Coalition Grant)
lóGj36G
MEMORANDUM OF UNDERSTANDING REGARDING BROWNFIELDS
ASSESSMENT COALITON FOR THE ENVIRONMENTAL PROTECTION AGENCY
ASSESSMENT GRANT BETWEEN SOUTHWEST FLORIDA REGIONAL PLANNING
COUNCIL AND COLLIER COUNTY
11
This Memorandum of Understanding ("MOU") is entered into this 13 day of
December, 2016 between the COLLIER COUNTY BOARD OF COUNTY
COMMISSIONERS ("Collier County"), organized and existing under the laws of the state of
Florida ("County") and the SOUTHWEST FLORIDA REGIONAL PLANNING COUNCIL,
an intergovernmental agency created pursuant to Section 186.504, F.S., and identified in Rule
29-I, FAC. ("SWFRPC"). All parties are collectively referred to as the "Parties" or "Coalition
Partners or Partners".
WHEREAS, the Coalition Partners are the Collier County Board of County
Commissioners, Southwest Florida Regional Planning Council and counties within the
Southwest Florida Promise Zone;
WHEREAS, Chapter 163, Florida Statutes, permits governmental units to enter into
Interlocal Agreements to make the most efficient use of their powers by enabling them to
cooperate with one another on a basis of mutual advantage; and
WHEREAS, each of the Parties has determined that it is in the best interests of the
residents of the Parties' respective jurisdictions that they enter into this Agreement to form a
Brownfield Assessment Coalition in order to be eligible to apply for funding opportunities from
the US Environmental Protection Agency (EPA) Brownfields Assessment Grant Program (the
Grant); and
WHEREAS, the purpose of this MOU is to set forth the general intentions of the parties
regarding the EPABrownfields Assessment Grant Program.
1. General Terms: The Coalition Partners hereto incorporate and set forth the
following ideas in order to further the mutual goal of assessing brownfields:
a. Southwest Florida Regional Planning Council shall apply for the Grant and shall
act to coordinate the sub-recipient awards.
b. If the Grant is awarded the parties shall each enter into a sub-recipient agreement
with each of the Counties so that the SWFRPC may award the grant money to the
local governments.
c. Activities funded through the sub-recipient agreement may include inventory
preparation, site selection criteria development, assessments, planning (including
cleanup planning) relating to Brownfield sites, outreach materials and
implementation, and other eligible activities. The SWFRPC may retain
consultant(s) and contractors to undertake various activities funded through the
cooperative agreement and may award sub-grants to other Coalition Partners
under 40 CFR 31.37 for assessment projects in their geographic areas. Sub-
INSTR 5397366 OR 5387 PG 2951
RECORDED 4/27/2017 1:22 PM PAGES 4
DWIGHT E. BROCK, CLERK OF THE CIRCUIT COURT Page 1 of 4
COLLIER COUNTY FLORIDA
REC$35.50 416
16.G.1.c
Packet Pg. 966 Attachment: Backup Documents 12.13.2016 Item _16G3 - Executed MOU (3901 : Brownfield Coalition Grant)
1oG33
grantees are accountable to the SWFRPC for proper expenditure of all grant
funds.
d. SWFRPC shall coordinate with the County in whose geographic area the site is
located to finalize the scope-of-work for the consultant or contractor. It will be
the responsibility of this Partner to obtain all required permits, easements, and
access agreements as may be necessary to undertake assessments at the selected
site. If this Partner does not have the capacity to perform these activities, the
SWFRPC may assist in securing necessary site access agreements and permits.
e. SWFRPC, in consultation with Partners, will work to develop a site selection
process based on agreed-upon. Selected sites will be submitted to EPA for prior
approval to ensure eligibility.
f. SWFRPC and Partners shall share responsibility for ensuring that the other
activities as negotiated in the work plan, such as community outreach and
involvement, are implemented in accordance with a schedule agreed upon by the
SWFRPC and the Partners in whose geographic area the sites to be assessed are
located.
2. Termination—A party may withdraw from this MOU by providing sixty (60) days
written notice to the other parties, but shall continue to be bound by the terms of the
Grant.
3. Third Party Beneficiaries - This agreement does not create any relationship with, or
any rights in favor of, any third party.
4.Severability - If any provision of this agreement is declared void by a court of law,
all other provisions will remain in full force and effect.
5. Non Waiver - The failure of any party to exercise any right in this agreement shall
not be considered a waiver of such right.
6. Governing Law and Venue - This agreement is governed in accordance with the
laws of the State of Florida. Venue shall be in Lee County.
7.Sovereign Immunity - Nothing in this Agreement shall be interpreted as a waiver of
the sovereign immunity doctrine enjoyed by each party hereto.
8. Attachments - All exhibits attached to this agreement are incorporated into and made
part of this agreement by reference.
9. Amendments - The parties may amend this agreement only by mutual written
agreement of the parties.
10. Captions and Section Headings - Captions and section headings used herein are for
convenience only and shall not be used in construing this Agreement.
Page 2 of 4
16.G.1.c
Packet Pg. 967 Attachment: Backup Documents 12.13.2016 Item _16G3 - Executed MOU (3901 : Brownfield Coalition Grant)
16G33
11. Construction - This agreement shall not be construed more strictly against one party
than the other(s) merely by virtue of the fact that it may have been prepared by one of
the parties. It is recognized that all parties have substantially contributed to the
preparation of this agreement.
12. Notice - For all purposes herein, notice shall mean written notice sent by certified
mail, return receipt requested, properly addressed and posted, or by commercial
courier service, to the addresses shown below. Notice shall be effective only upon
actual receipt by the addressee, but written response to or acknowledgment of a notice
received shall constitute a waiver of any defect in the manner notice was given. A
copy of every notice given under this Agreement must be sent to the other Parties, the
Administrator and to the Chair \of the governing body. Notices required or permitted
under this Agreement shall be delivered to:
If to SWFRPC:
Margaret Wuerstle
Executive Director
Southwest Florida Regional Planning Council
1400 Colonial Blvd.
Suite 1
Fort Myers, FL 33907
239) 938-1813
If to County of Collier:
Name)
Title)
Address)
City, State)
Phone)
13. Recording of Agreement. The Southwest Florida Regional Planning Council, upon
execution of this agreement by all parties, shall record this MOU in the public records
of Lee County, Florida.
14. Entire Agreement - This agreement constitutes the entire agreement and supersedes
all prior written or oral agreements, understandings, or representations.
Page 3 of 4 0
16.G.1.c
Packet Pg. 968 Attachment: Backup Documents 12.13.2016 Item _16G3 - Executed MOU (3901 : Brownfield Coalition Grant)
EXECUTED AND ATTESTED ON THE DATES BELOW WRITTEN: 16G .
SOUTHWEST FLORIDA REGIONAL PLANNING COUNCIL
By:
Margaret erstle, Executive Director
ATTEST:
Ja n Stoltzfus, Pr ise Zone Coordinator
ATTEST: COLLIE COUNTY,FLORIDA
DWIGHT E. BROCK, CLERK lete.„
ik By: 10711010711011071101.0®'
DONNA FIALA, CHAIRMAN
ttest as to Nimrod CLERK t Z/!3 11(o
signature oil I\C
Approval for form and legality:
Bel
C)j)0\6.__Jennifer A. elpedio
Assistant County Attorney d
ti
i
1
Page 4 of 4
16.G.1.c
Packet Pg. 969 Attachment: Backup Documents 12.13.2016 Item _16G3 - Executed MOU (3901 : Brownfield Coalition Grant)
16.G.1.e
Packet Pg. 970 Attachment: Agenda Item - Brownfield Designation 03.23.2004R (3901 : Brownfield Coalition Grant)
16.G.1.e
Packet Pg. 971 Attachment: Agenda Item - Brownfield Designation 03.23.2004R (3901 : Brownfield Coalition Grant)
16.G.1.e
Packet Pg. 972 Attachment: Agenda Item - Brownfield Designation 03.23.2004R (3901 : Brownfield Coalition Grant)
16.G.1.e
Packet Pg. 973 Attachment: Agenda Item - Brownfield Designation 03.23.2004R (3901 : Brownfield Coalition Grant)
16.G.1.e
Packet Pg. 974 Attachment: Agenda Item - Brownfield Designation 03.23.2004R (3901 : Brownfield Coalition Grant)
16.G.1.ePacket Pg. 975Attachment: Agenda Item - Brownfield Designation 03.23.2004R (3901 : Brownfield Coalition Grant)
16.G.1.ePacket Pg. 976Attachment: Agenda Item - Brownfield Designation 03.23.2004R (3901 : Brownfield Coalition Grant)
1
OVERVIEW
AGENCY: ENVIRONMENTAL PROTECTION AGENCY (EPA)
TITLE: FY18 GUIDELINES FOR BROWNFIELDS ASSESSMENT GRANTS
ACTION: Request for Proposals (RFP)
RFP NO: EPA-OLEM-OBLR-17-07
CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NO.: 66.818
DATES: The closing date and time for receipt of proposals is November 16, 2017, 11:59 p.m.
Eastern Time (ET). Proposals must be submitted through www.grants.gov. Proposals received
after 11:59 ET on November 16, 2017 will not be considered. Please refer to Section IV.B., Due
Date and Submission Instructions, for further instructions.
SUMMARY: The Small Business Liability Relief and Brownfields Revitalization Act
(“Brownfields Law”, P.L. 107-118) requires the U.S. Environmental Protection Agency (EPA) to
publish guidance for grants to assess and clean up brownfield sites. EPA’s Brownfields Program
provides funds to empower states, communities, tribes, and nonprofits to prevent, inventory,
assess, clean up, and reuse brownfield sites.
Under these guidelines, EPA is seeking proposals for Assessment Grants only. If you are
interested in requesting funding for Cleanup Grants and/or Revolving Loan Fund Grants, please
refer to announcement EPA-OLEM-OBLR-17-08 (Revolving Loan Fund Grant Guidelines) or
EPA-OLEM-OBLR-17-09 (Cleanup Grant Guidelines) posted separately on www.grants.gov
and www.epa.gov/brownfields/apply-brownfields-grant-funding.
For the purposes of these guidelines, the term “grant” refers to the cooperative agreement that
EPA will award to a successful applicant. Please refer to Section II.C. for a description of EPA’s
anticipated substantial involvement in the cooperative agreements awarded under these
guidelines.
EPA urges applicants to review the Frequently Asked Questions, which can be found at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf.
In addition, prior to naming a contractor or subawardee in your proposal, please carefully review
Section IV.F. of these guidelines.
FUNDING/AWARDS: The total funding available under the national competitions for
Assessment, Revolving Loan Fund, and Cleanup Grants is estimated at $50 million subject to the
availability of funds and other applicable considerations. EPA may expend up to 25 percent of
the amount appropriated for Brownfields Grants on sites contaminated with petroleum. EPA
anticipates awarding an estimated 198 grants among all three grant types. Under this competitive
2
opportunity, EPA anticipates awarding an estimated 145 Assessment Grants for an estimated
$33.5 million.
CONTENTS BY SECTION
SECTION I. - FUNDING OPPORTUNITY DESCRIPTION ........................................................4
I.A. Description of Grant ...........................................................................................................4
I.B. Uses of Grant Funds............................................................................................................7
I.C. EPA Strategic Plan Linkage................................................................................................8
I.D. Measuring Environmental Results: Anticipated Outputs/Outcomes ..................................8
I.E. Linking to Sustainable and Equitable Development Outcomes, and Supporting
Environmental Justice ..........................................................................................................9
I.F. Regional Priorities .............................................................................................................11
SECTION II. - AWARD INFORMATION...................................................................................15
II.A. What is the Amount of Available Funding? ....................................................................15
II.B. What is the Project Period for Awards Resulting from this Solicitation? .......................15
II.C. Substantial Involvement ..................................................................................................15
SECTION III. – ELIGIBILITY INFORMATION and THRESHOLD CRITERIA .....................16
III.A. Who Can Apply? ............................................................................................................16
III.B. Threshold Criteria for Assessment Grants .....................................................................16
1. Applicant Eligibility.................................................................................................... 18
2. Community Involvement ............................................................................................ 18
III.C. Additional Threshold Criteria for Site-Specific Proposals Only ...................................18
SECTION IV. - PROPOSAL SUBMISSION INFORMATION ..................................................26
IV.A. How to Obtain a Proposal Package................................................................................26
IV.B. Due Date and Submission Instructions ..........................................................................26
IV.C. Content and Form of Proposal Submission....................................................................27
1. Standard Form (SF) - 424, Application for Federal Assistance.................................. 29
2. Cover Letter ................................................................................................................ 29
3. The Narrative Proposal/Ranking Criteria ................................................................... 31
1. COMMUNITY NEED ........................................................................................... 31
2. PROJECT DESCRIPTION AND FEASIBILITY OF SUCCESS ......................... 33
3. COMMUNITY ENGAGEMENT AND PARTNERSHIPS .................................. 36
4. PROJECT BENEFITS ........................................................................................... 38
5. PROGRAMMATIC CAPABILITY AND PAST PERFORMANCE.................... 39
4. Threshold Criteria Responses ..................................................................................... 41
IV.D. Voluntary Cost Share/Leveraging .................................................................................41
IV.E. Additional Provisions for Applicants Incorporated Into the Solicitation .......................42
SECTION V. - PROPOSAL REVIEW INFORMATION ............................................................43
V.A. Evaluation Criteria ..........................................................................................................43
1. COMMUNITY NEED (45 Points) ............................................................................... 43
2. PROJECT DESCRIPTION AND FEASIBILITY OF SUCCESS (55 Points) ............. 44
3. COMMUNITY ENGAGEMENT AND PARTNERSHIPS (35 Points) ...................... 46
4. PROJECT BENEFITS (25 Points) ............................................................................... 48
5. PROGRAMMATIC CAPABILITY AND PAST PERFORMANCE (40 Points) ....... 49
V.B. Considerations and Other Factors ...................................................................................51
3
V.C. Review and Selection Process .........................................................................................51
V.D. Additional Provisions For Applicants Incorporated Into the Solicitation .......................52
SECTION VI. - AWARD ADMINISTRATION INFORMATION .............................................53
VI.A. Award Notices ...............................................................................................................53
VI.B. Administrative and National Policy Requirements ........................................................53
VI.C. Reporting Requirements ................................................................................................53
VI.D. Brownfields Programmatic Requirements .....................................................................54
VI.E. Use of Funds...................................................................................................................56
VI.F. Disputes ..........................................................................................................................56
VI.G. Additional Provisions for Applicants Incorporated Into the Solicitation ......................56
SECTION VII. – AGENCY CONTACTS – Regional Brownfields Contacts ..............................57
Appendix 1 Information on Sites Eligible for Brownfields Funding Under CERCLA §104(k) ...58
Appendix 2 www.grants.gov Proposal Submission Instructions ...................................................69
Appendix 3 Regional Priorities Form/Other Factors Checklist .....................................................74
4
SECTION I. - FUNDING OPPORTUNITY DESCRIPTION
The Comprehensive Environmental Response, Compensation and Liability Act (CERCLA or the
Superfund Law) was amended by the Small Business Liability Relief and Brownfields
Revitalization Act (Brownfields Law) to include section 104(k), which provides federal financial
assistance for brownfields revitalization, including grants for assessment, cleanup, and revolving
loan funds.
A brownfield site is defined as real property, the expansion, redevelopment, or reuse of which
may be complicated by the presence or potential presence of hazardous substances, pollutants,
contaminants, controlled substances, petroleum or petroleum products, or is mine-scarred land.
A critical part of EPA’s assessment and cleanup efforts is to ensure that residents living in
communities historically affected by economic disinvestment, health disparities, and
environmental contamination have an opportunity to reap the benefits from brownfields
redevelopment. EPA’s Brownfields Program has a rich history rooted in environmental justice
and is committed to helping communities revitalize brownfield properties, mitigate potential
health risks, and restore economic vitality.
As described in Section V. of this announcement, proposals will be evaluated based on the extent
to which the applicant demonstrates: economic and environmental needs of the target area; a
vision for the reuse and redevelopment of brownfield sites and the capability to achieve that
vision; reasonable and eligible tasks; appropriate use of grant funding; incorporation of equitable
and sustainable approaches; community engagement, partnerships and leveraged resources to
complete the project; economic, environmental, health, and social benefits associated with the
assessment, cleanup (if needed), reuse and redevelopment of brownfield sites; and other factors.
I.A. Description of Grant
Assessment Grants provide funding for developing inventories of brownfields, prioritizing sites,
conducting community involvement activities, conducting site assessments, and developing
cleanup plans and reuse plans related to brownfield sites. Assessment Grant funds may not be
used to conduct cleanups.
Individual applicants may apply for a community-wide and/or a site-specific assessment grant, or
apply as part of an assessment coalition.
• Community-wide proposals are appropriate when a specific site is not identified and the
applicant plans to spend grant funds on more than one brownfield in its community.
• Site-specific proposals are appropriate when a specific site has been identified and the
applicant plans to spend grant funds on this one site only. Assessment coalition grants are
for three or more eligible entities who will perform assessment grant activities within
their communities.
The performance period for all Assessment Grants is three years. Refer to Section VI. for a list of
certain grant and programmatic requirements.
5
Applicants that exceed the maximum number of proposals allowable for Assessment Grants will
be contacted, prior to review of any of the proposals by EPA, to determine which proposal(s) the
applicant will withdraw from the competition.
Assessment Grant Option Summary
1. Community-Wide 2. Site-Specific 3. Coalition
Up to $200,000 for
hazardous substances OR
$200,000 for petroleum
Up to $300,000 for
hazardous substances AND
petroleum, where the
amount of hazardous
substances or petroleum
does not exceed $200,000
for any individual type of
grant funding
Up to $200,000 for
hazardous substances, or
petroleum, or combination
of both types of funding
Up to $600,000 for
hazardous substances, or
petroleum, or combination
of both types of funding
No waiver of funding limit May request a waiver for
up to $350,000
No waiver of funding limit
Maximum amount for
hazardous substances OR
petroleum: $200,000
Maximum amount for
hazardous substances AND
petroleum: $300,000; may
not exceed $200,000 for any
individual type of grant
funding
Maximum amount:
$350,000
Maximum amount:
$600,000
May also apply for a Site-
specific Grant; may not
apply as a member of a
coalition
May also apply for a
Community-wide Grant;
may not apply as a member
of a coalition
May not apply for an
individual Community-
wide or Site-specific Grant
or as part of another
coalition
1. Community-Wide Assessment Grants
For Community-wide proposals, applicants may request hazardous substances funding 1 for
sites with potential contamination of hazardous substances, pollutants, or contaminants and
1 Sites eligible for hazardous substances funding are those sites with the presence or potential presence of hazardous
substances, pollutants, contaminants, sites that are contaminated with controlled substances or that are mine-scarred
6
petroleum funding 2 for sites with potential petroleum contamination. Applicants may apply
for up to $200,000 in hazardous substances funding or up to $200,000 in petroleum funding.
Applicants applying for both hazardous substances funding and petroleum funding may
request a combined total up to $300,000; however, the request for hazardous substances
funding or petroleum funding cannot exceed $200,000 for any one individual type of grant
funding. For example, an applicant may apply for $200,000 in hazardous substances funding
and $100,000 in petroleum funding. Applicants may either combine requests for hazardous
substances funding and petroleum funding into one proposal for up to $300,000 or applicants
may submit separate proposals for a combined total up to $300,000. An applicant that
submits a combined Community-wide Assessment Grant proposal or two separate
Community-wide Assessment Grant proposals may also apply for a Site-specific Assessment
Grant.
2. Site-Specific Assessment Grants
For Site-specific proposals, applicants may request up to $200,000 to address hazardous
substances1 or petroleum contamination2 at a specified site. Applicants can apply for only
one Site-specific Assessment Grant. Site-specific Assessment proposals must respond to the
additional threshold criteria in Section III.C. concerning site eligibility and appropriate to the
contamination at the site.
If the site is co-mingled with both hazardous substances and petroleum contamination and
the hazardous substances and petroleum-contaminated areas of the site are distinguishable,
the proposal must address both eligibility criteria and indicate the dollar amount of funding
requested for each type of contamination. If the petroleum and hazardous substances are co-
mingled and not easily distinguishable, the applicant must indicate which contaminant is
predominant and respond to the appropriate site eligibility criteria. (Contact your Regional
Brownfields Contact listed in Section VII. for more information.) Note that an applicant
cannot propose an alternate site if the site identified in the proposal is determined by EPA to
be ineligible for brownfields funding.
Applicants may request a waiver of the $200,000 limit and request up to $350,000 for a
single site based on the anticipated level of contamination, size, or status of ownership of the
site. Applicants requesting a waiver must attach a one-page justification for the waiver
request. EPA will consider requests on a case-by-case basis. Refer to threshold criterion in
Section III.C.7. for additional information.
3. Assessment Coalition Grants
Assessment Coalition proposals may be submitted by one “lead” eligible entity on behalf of a
coalition of eligible entities to create a “pool” of grant funds (see Section III.A. for a list of
entities eligible to apply for an Assessment Grant). A coalition is a group of three or more
lands. For more information on sites eligible for hazardous substances funding, please refer to the Brownfields
FAQs at www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf.
2 Sites eligible for petroleum funding are those sites that meet the definition set forth in CERCLA §
101(39)(D)(ii)(II), as further described in Appendix 1, Section 1.3.2.
7
eligible entities that submits one grant proposal, requesting funding up to $600,000, under the
name of one of the coalition participants who will be the grant recipient, if selected. Coalition
members may not have the same jurisdiction (for example, different departments in the same
county) unless they are separate legal entities (for example, a city and a redevelopment
agency). The grant recipient must administer the grant, be accountable to EPA for proper
expenditure of the funds, and be the point of contact for the other coalition members. All
Assessment Coalition Grant proposals must be community-wide proposals; therefore, the
applicant does not need to respond to the site eligibility threshold criteria in Section III.C.
Site eligibility will be determined after grant award and prior to expending grant funds at any
site. Coalitions will be required to assess a minimum of five sites.
Coalition members may not be members of other coalitions, nor submit a proposal as
an individual applicant, in the same competition cycle. A coalition member wishing to
apply as part of a different coalition or as a separate applicant must withdraw from the
coalition to be eligible for individual assessment funds.
Please note that once the “lead” eligible entity submits the proposal, it becomes the applicant,
and the coalition members may not substitute another eligible entity as the lead eligible entity
after the deadline for submitting proposals has passed.
A Memorandum of Agreement (MOA) documenting the coalition’s site selection process
must be in place prior to the expenditure of any funds that have been awarded to the
coalition. The coalition members should identify and establish relationships necessary to
achieve the project’s goal. A process for successful execution of the project’s goal, to include
a description and role of each coalition member, should be established along with the MOA.
The purpose of the MOA is for coalition members to agree internally on the distribution of
funds and the mechanisms for implementing the assessment work.
For more information on a range of brownfields funding topics, please refer to the
Brownfields FAQs at www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-
faqs.pdf. If you do not have access to the Internet, you can contact your Regional
Brownfields Contact listed in Section VII.
I.B. Uses of Grant Funds
In addition to direct costs associated with the inventory, site prioritization, community
involvement, assessment, and cleanup planning for brownfield sites:
1. Grant funds may be used for direct costs associated with programmatic management of the
grant, such as required performance reporting and environmental oversight.
All costs charged to Assessment Grants must be consistent with the applicable 2 CFR 200
Subpart E.
2. A local government (as defined in 2 CFR 200.64, Local Government, and summarized in
Section III.A. of these guidelines) may use up to 10 percent of its grant funds for any of the
following activities:
8
a. health monitoring of populations exposed to hazardous substances, pollutants, or
contaminants from a brownfield site; and
b. monitoring and enforcement of any institutional control used to prevent human exposure
to any hazardous substance, pollutant, or contaminant from a brownfield site.
3. A portion of the brownfields grant may be used to purchase environmental insurance.
See the Brownfields FAQs at www.epa.gov/sites/production/files/2017-07/documents/fy18-
arc-faqs.pdf for additional information on purchasing environmental insurance.
Grant funds cannot be used for the payment of:
1. proposal preparation costs;
2. a penalty or fine;
3. a federal cost-share requirement (for example, a cost share required by other federal funds);
4. administrative costs, such as indirect costs of grant administration, with the exception of
financial and performance reporting costs;
5. a response cost at a brownfield site for which the recipient of the grant or loan is potentially
liable under CERCLA §107;
6. a cost of compliance with any federal law, excluding the cost of compliance with laws
applicable to the cleanup; or
7. unallowable costs (e.g., lobbying) under 2 CFR Part 200, Subpart E as applicable.
See the Brownfields FAQs at www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-
faqs.pdf for additional information on ineligible grant activities and ineligible costs.
I.C. EPA Strategic Plan Linkage
EPA’s Strategic Plan is available at https://www.epa.gov/planandbudget/strategicplan.html.
The activities to be funded under this announcement will be linked to EPA’s strategic plan
consistent with EPAs current priorities for cleaning up contaminated sites and returning land
back to communities. Applicants must explain in their proposal how their project will further
these current priorities.
I.D. Measuring Environmental Results: Anticipated Outputs/Outcomes
EPA requires that grant applicants adequately describe environmental outputs and outcomes to
be achieved under assistance agreements (see EPA Order 5700.7, Environmental Results under
Assistance Agreements, https://www.epa.gov/sites/production/files/2015-
03/documents/epa_order_5700_7a1.pdf). Applicants must include specific statements describing
the environmental results of the proposed project in terms of well-defined outputs and, to the
9
maximum extent practicable, well-defined outcomes that will demonstrate how the project will
contribute to the goals and objectives described above in Section I.C.
Applicants are required to describe how funding will help EPA achieve environmental outputs
and outcomes in their responses to the ranking criteria (Sections IV.C.3.2., Program Description
and Feasibility of Success and IV.C.3.4., Program Benefits). Outputs and outcomes specific to
each project will be identified as deliverables in the negotiated workplan if the proposal is
selected for award. Grantees will be expected to report progress toward the attainment of
expected project outputs and outcomes during the project performance period.
Outputs and Outcomes are defined as follows.
1. Outputs: The term “outputs” refers to an environmental activity, effort and/or associated
work products related to an environmental goal or objective that will be produced or
provided over a period of time or by a specified date. Outputs may be quantitative or
qualitative but must be measurable during the project period. The expected outputs for the
grants awarded under these guidelines may include but are not limited to the number of
brownfield sites identified, development of an area-wide plan, number of Phase I and Phase
II site assessments, and number of community meetings held.
2. Outcomes: The term “outcomes” refers to the result, effect, or consequence that will occur
from carrying out the activities under the grant. Outcomes may be environmental, behavioral,
health-related, or programmatic; must be qualitative or quantitative; and may not necessarily
be achievable during the project period. Expected outcomes of Brownfields Grants include
the number of jobs created and funding leveraged through the economic reuse of sites; the
number of acres made ready for reuse or acres of greenspace created for communities; and
whether the project will minimize exposure to hazardous substances and other contamination.
I.E. Linking to Sustainable and Equitable Development Outcomes, and Supporting
Environmental Justice
Under the Project Description ranking criterion in Section IV.C.3.2., applicants should discuss
how their proposed Brownfield Assessment project will advance and incorporate sustainable and
equitable practices. The proposal will be evaluated on the extent to which it will lead to
sustainable and equitable development outcomes and will address environmental justice
challenges as discussed below. EPA encourages applicants to provide specific examples of how
the proposed Brownfield Assessment projects will work to remove economic, environmental and
social barriers to make sustainable and equitable brownfields reuse of the highest priority.
Linking Brownfield Assessment Approaches to Sustainable and Equitable Development
Outcomes
Applicants should incorporate sustainable and equitable reuse approaches into their proposed
Brownfield Assessment projects. Sustainable and equitable approaches can ensure brownfields
are reused in ways that:
• contribute to greener and healthier homes, buildings, and neighborhoods;
10
• mitigate environmental conditions through effective deconstruction and remediation
strategies which address solid and hazardous waste, and improve air and water quality;
• improve access by residents to greenspace, recreational property, transit, schools, other
nonprofit uses (e.g., libraries, health clinics, youth centers, etc.), and healthy and
affordable food;
• improve employment and affordable housing opportunities for local residents;
• reduce toxicity, illegal dumping, and blighted vacant parcels; and
• retain residents who have historically lived within the area affected by brownfields.
Sustainable development practices facilitate environmentally-sensitive brownfields cleanup and
redevelopment while also helping to make communities more attractive, economically stronger,
and more socially diverse. While ensuring consistency with community-identified priorities,
sustainable development approaches encourage brownfield site reuse in ways that provide new
jobs, commercial opportunities, open-space amenities, and/or social services to an existing
neighborhood. Brownfield site preparation strategies that prevent contaminant exposure through
green building design, materials recycling, enable urban agricultural reuse, promote walkability
to/around the site and contribute to community walkability, and on-site stormwater management
through green infrastructure, among other approaches, can contribute to sustainable development
outcomes.
Equitable development occurs when intentional strategies are put in place to ensure that low-
income and minority communities not only participate in but also benefit from decisions that
shape their neighborhoods and regions. There are many different approaches that promote
equitable development, such as ensuring a mix of housing types across a range of incomes;
access to fresh food; access to jobs; and access to local capital. Programs or policies can be put
in place to help ensure creation or integration of affordable housing; local or first-source hiring;
minority contracting; inclusionary zoning (where a percentage of new housing is designated as
affordable housing); healthy food retailers in places where they do not exist (e.g. food deserts);
co-operative ownership models where local residents come together to run a community-owned,
jointly owned business enterprise; rent control or community land trusts (to help keep property
affordable for residents); supportive local entrepreneurial activities; and adherence to equal
lending opportunities.
Linking Brownfield Assessment Approaches to Environmental Justice
Environmental justice can be supported through sustainable and equitable development
approaches. EPA defines environmental justice as the fair treatment and meaningful involvement
of all people regardless of race, color, national origin, or income with respect to the
development, implementation, and enforcement of environmental laws, regulations, and policies.
EPA has this goal for all communities and persons across the nation. Environmental justice will
be achieved when everyone enjoys the same degree of protection from environmental and health
hazards and equal access to the decision-making process to have a healthy environment in which
to live, learn, and work.3
3 For more information please visit www.epa.gov/environmentaljustice.
11
I.F. Regional Priorities
Applicants must include in their narrative proposal how their proposed Brownfields Assessment
project will advance the Regional Priorities identified in the list below that apply to the EPA
Region where the project will be performed. This information may be considered by the
Selection Official as an “other factor,” as described in Sections V.B. and V.C. of the guidelines,
during the selection process. If more than one priority is listed for a region, then the applicant
may include information on one or both of the priorities; although addressing both does not
necessarily mean it will benefit them more than if they only address one. The information
provided should clearly indicate how the project addresses the applicable priority for the region
in which the project is located. For example, if applying to perform a project in US EPA Region
1, then describe how the project will address a regional priority listed for Region 1. Please see
Section VII. to identify the region where your project is located.
Proposed projects must be for activities which inventory, characterize, assess and conduct
planning relating to one or more brownfield sites.
Region Regional Priority(ies)
1
Assistance to Communities That Have Limited In-House Capacity to
Manage Brownfield Projects – This regional priority includes proposed
projects that provide support to communities that have limited capacity or
administrative infrastructure to effectively manage brownfields programs.
Proposals that include partnerships among governmental entities having shared
jurisdiction over the target sites (e.g. state, regional authorities, local
governments) relate to this priority.
OR
Coordinated Public Funding for Brownfields – This regional priority
includes proposed projects that complement other brownfield efforts receiving
federal, state or local funding or where the community is working with federal,
state, or local governments to address their brownfields. EPA Region 1 is
particularly interested in projects where the applicant has already been working
with federal, state, or local agencies, or where funding has been received and
the EPA grant would “fill the gaps” to establish a comprehensive approach to
Brownfield site characterization, assessment, cleanup and redevelopment.
2
Assistance to Communities That Have Limited In-House Capacity to
Manage Brownfield Projects – This regional priority includes proposed
projects that provide support to communities that have limited capacity or
administrative infrastructure to effectively manage brownfields programs.
Proposals that include partnerships among governmental entities having shared
jurisdiction over the target sites (e.g. state, regional authorities, local
governments) relate to this priority.
OR
12
Extreme Weather Resiliency – This regional priority includes proposed
projects which will advance or contribute to community extreme weather
resiliency through the “green” use or reuse of existing infrastructure, protection
of greenfields, or similar activities to address flooding due to sea level rise,
stormwater runoff, or an extreme weather event.
3
Extreme Weather Resiliency – This regional priority includes proposed
projects which will advance or contribute to community extreme weather
resiliency through the “green” use or reuse of existing infrastructure, protection
of greenfields, or similar activities to address flooding due to sea level rise,
stormwater runoff, or an extreme weather event.
OR
Coordinated Public Funding for Brownfields – This regional priority
includes proposed projects that complement other brownfield efforts receiving
federal, state or local funding or where the community is working with federal,
state, or local governments to address their brownfields. EPA Region 3 is
particularly interested in projects where the applicant has already been working
with federal, state, or local agencies, or where funding has been received and
the EPA grant would “fill the gaps” to establish a comprehensive approach to
Brownfield site characterization, assessment, cleanup and redevelopment.
4
Assistance to Communities That Have Limited In-House Capacity to
Manage Brownfield Projects – This regional priority includes proposed
projects that provide support to communities that have limited capacity or
administrative infrastructure to effectively manage brownfields programs.
Proposals that include partnerships among governmental entities having shared
jurisdiction over the target sites (e.g. state, regional authorities, local
governments) relate to this priority.
5
Coordinated Public Funding for Brownfields – This regional priority
includes proposed projects that complement other efforts receiving federal, state
or local funding or assistance. EPA Region 5 is particularly interested in
projects that supplement publicly funded site characterization and remediation
projects in Great Lakes Areas of Concern, projects that serve areas where there
are already coordinated federal agency partnerships investing in brownfields, or
similar sources of public funding that can be leveraged for brownfields
purposes, or where funding has been received and the EPA grant would “fill the
gaps” to establish a comprehensive approach to Brownfield site
characterization, assessment, cleanup and redevelopment.
6
Assistance to Communities That Have Limited In-House Capacity to
Manage Brownfield Projects – This regional priority includes proposed
projects that provide support to communities that have limited capacity or
administrative infrastructure to effectively manage brownfields programs.
Proposals that include partnerships among governmental entities having shared
13
jurisdiction over the target sites (e.g. state, regional authorities, local
governments) relate to this priority.
OR
Improving Air Quality – This regional priority includes proposed projects
which will reduce threats to human health (e.g. asthma and cancer) and the
environment including assessment activities that support efforts to improve air
quality in non-attainment areas affected by pollutants and contaminants such as
ozone, particulate matter, sulfur-dioxide, oxides of nitrogen, lead, and carbon
monoxide.
7
Assistance to Communities That Have Limited In-House Capacity to
Manage Brownfield Projects – This regional priority includes proposed
projects that provide support to communities that have limited capacity or
administrative infrastructure to effectively manage brownfields programs.
Proposals that include partnerships among governmental entities having shared
jurisdiction over the target sites (e.g. state, regional authorities, local
governments) relate to this priority.
OR
Coordinated Public Funding for Brownfields – This regional priority
includes proposed projects that complement other brownfield efforts receiving
federal, state or local funding or where the community is working with federal,
state, or local governments to address their brownfields. EPA Region 7 is
particularly interested in projects where the applicant has already been working
with federal, state, or local agencies, or where funding has been received and
the EPA grant would “fill the gaps” to establish a comprehensive approach to
Brownfield site characterization, assessment, cleanup and redevelopment.
8
Protect/Enhance Water – This regional priority includes proposed projects
which will reduce threats to human health and the environment from the release
of hazardous substances, pollutants or contaminants, by supporting efforts to
protect or enhance water supplies, including surface water, ground water and/or
storm water infrastructure. EPA Region 8 is particularly interested in projects
that improve or protect the quality of water associated with brownfield sites or
whereby addressing the brownfield site will reduce threats to nearby residents.
OR
Assistance to Small and Underserved Communities – This regional priority
includes proposed projects that target the majority of the work at brownfield
sites in small, rural and/or low-income communities unable to draw on other
public or private sources of funds for environmental remediation. EPA Region 8
is particularly interested in projects that serve the needs of communities with
populations of less than 50,000.
14
9
Leveraging New/Expanded Transit Investments to Reduce Air Pollution –
This regional priority includes proposed projects that will reduce threats to
human health (e.g. asthma and cancer) and the environment and support efforts
to improve air quality through transit investments (e.g., site assessments that
assist efforts to clear the right of way for transit infrastructure and transit-
oriented redevelopment of Brownfield sites). Note: Examples of transit
investments include, light rail, high-speed rail, bus rapid transit, new bus
service, and bicycle infrastructure. EPA Region 9 is particularly interested in
projects that reduce air pollution through the use of new or expanded
transportation investments to use or reuse existing infrastructure or otherwise
reduce vehicle miles traveled, and create walkable communities.
OR
Supporing Reslilient Communities – This regional priority includes proposed
projects which will keep communities economically and environmentally
resilient by addressing existing and/or potential adverse impacts caused by sea
level rise, storm surges, extreme rain events, wildfires, and/or drought. EPA
Region 9 is particularly interested in projects where the brownfield assessment,
cleanup and reuse activities will reduce, prevent, or address these adverse
impacts in order to reduce the threats to the health and welfare of vulnerable
populations and lessen environmental impacts to communities.
10
Protect/Enhance Water – This regional priority includes proposed projects
which will reduce threats to human health and the environment from the release
of hazardous substances, pollutants or contaminants, by supporting efforts to
protect or enhance water supplies, including surface water, ground water and/or
storm water infrastructure. EPA Region 10 is particularly interested in projects
that improve or protect the quality of water associated with brownfield sites or
whereby addressing the brownfield site will reduce threats to nearby residents.
OR
Threatened and Endangered Species – This regional priority includes
proposed projects which facilitate the creation, addition or preservation of the
habitats (e.g. state, tribal or local parks, greenways, recreational or undeveloped
property dedicated to nonprofit use) of federal and state-listed threatened and
endangered species.
15
SECTION II. - AWARD INFORMATION
II.A. What is the Amount of Available Funding?
The total estimated funding available under the national competition for Assessment, RLF and
Cleanup Grants is estimated at $50 million subject to the availability of funds, quality of
proposals, and other applicable considerations. A separate announcement is posted for the
Cleanup and RLF Grant competitions. EPA may expend up to 25 percent of the amount
appropriated for Brownfields Grants on sites contaminated with petroleum. EPA anticipates
awarding an estimated 198 grants among all three grant types. Under this announcement, EPA
anticipates awarding an estimated 145 Assessment Grants for a total amount of approximately
$33.5 million in funding.
In addition, EPA reserves the right to award additional grants under this competition should
additional funding become available. Any additional selections for awards will be made no later
than six months from the date of the original selection decision. EPA reserves the right to reject
all proposals and make no awards under this announcement or make fewer awards than
anticipated.
In appropriate circumstances, EPA reserves the right to partially fund proposals by funding
discrete portions or phases of proposed projects. To maintain the integrity of the competition and
selection process, EPA, if it decides to partially fund a proposal, will do so in a manner that does
not prejudice any applicants or affect the basis upon which the proposal, or portion thereof, was
evaluated and selected for award.
II.B. What is the Project Period for Awards Resulting from this Solicitation?
The project period for Assessment Grants is up to three years.
II.C. Substantial Involvement
The Brownfield Assessment Grant will be awarded in the form of a cooperative agreement.
Cooperative agreements permit the EPA Project Officer to be substantially involved in
overseeing the work performed by the selected recipients. Although EPA will negotiate precise
terms and conditions relating to substantial involvement as part of the award process, the
anticipated substantial federal involvement for this project may include:
• close monitoring of the recipient’s performance to verify the results;
• collaborating during the performance of the scope of work;
• reviewing substantive terms of proposed contracts;
• reviewing qualifications of key personnel (EPA will not select employees or contractors
employed by the award recipient);
• reviewing and commenting on reports prepared under the cooperative agreement (the
final decision on the content of reports rests with the recipient); and
• reviewing sites to verify they meet applicable site eligibility criteria.
16
SECTION III. – ELIGIBILITY INFORMATION and THRESHOLD CRITERIA
III.A. Who Can Apply?
The following information indicates which entities are eligible to apply for an Assessment Grant.
Nonprofit organizations are not eligible to apply for an Assessment Grant unless the entity is
included as a “General Purpose Unit of Local Government” as defined below.
• General Purpose Unit of Local Government. [For purposes of the EPA Brownfields Grant
Program, a “local government” is defined as stated under 2 CFR 200.64.: Local government
means a county, municipality, city, town, township, local public authority (including any
public and Indian housing agency under the United States Housing Act of 1937), school
district, special district, intrastate district, council of governments (whether or not
incorporated as a nonprofit corporation under state law), any other regional or interstate
government entity, or any agency or instrumentality of a local government.]
• Land Clearance Authority or another quasi-governmental entity that operates under the
supervision and control of, or as an agent of, a general purpose unit of local government.
• Government Entity Created by State Legislature.
• Regional Council or group of General Purpose Units of Local Government.
• Redevelopment Agency that is chartered or otherwise sanctioned by a state.
• State.
• Indian tribe other than in Alaska. (The exclusion of Alaskan Tribes from Brownfields Grant
eligibility is statutory at CERCLA §104(k)(1). Intertribal Consortia, comprised of eligible
Indian tribes, are eligible for funding in accordance with EPA’s policy for funding intertribal
consortia published in the Federal Register on November 4, 2002, at 67 Fed. Reg. 67181.
This policy also may be obtained from your Regional Brownfields Contact listed in Section
VII.)
• Alaska Native Regional Corporation, Alaska Native Village Corporation, and Metlakatla
Indian Community. (Alaska Native Regional Corporations and Alaska Native Village
Corporations are defined in the Alaska Native Claims Settlement Act (43 U.S.C. 1601 and
following). For more information, please refer to Brownfields FAQs at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf.)
III.B. Threshold Criteria for Assessment Grants
This section contains the threshold eligibility criteria that ensure applicants are eligible to receive
Assessment Grants. Threshold criteria are pass/fail and include certain requests for information
identified below. The information you submit will be used by EPA solely to make site eligibility
determinations for Brownfields Grants and is not legally binding for other purposes including
federal, state, or tribal enforcement actions. Only those proposals that pass all the threshold
criteria will be evaluated against the evaluation criteria in Section V.A. of this announcement.
Applicants deemed ineligible for funding consideration as a result of the threshold
eligibility review will be notified within 15 calendar days of the ineligibility determination.
17
If a proposal is submitted that includes any ineligible tasks or activities, that portion of the
proposal will be ineligible for funding and may, depending on the extent to which it affects the
proposal, render the entire proposal ineligible for funding.
Your responses to these items are required and must be included as an attachment to the
Narrative Proposal you submit to EPA. See Section IV.C. for a complete list of required
documents that must be submitted.
EPA staff will respond to questions regarding threshold eligibility criteria, administrative issues
related to the submission of the proposal, and requests for clarification about this announcement.
In order to maintain the integrity of the competition process, EPA staff cannot meet with
individual applicants to discuss draft proposals, provide informal comments on draft proposals,
or provide advice to applicants on how to respond to ranking criteria. EPA’s limitations on staff
involvement with grant applicants are described in EPA’s Assistance Agreement Competition
Policy (EPA Order 5700.5A1).
For purposes of the threshold eligibility review, EPA, if necessary, may seek clarification of
applicant information and/or consider information from other sources, including EPA files.
Proposals must substantially comply with the proposal submission instructions and requirements
set forth in Section IV. of this announcement or they will be rejected. Pages in excess of the page
limits described in Section IV. for the Cover Letter and Narrative Proposal, and attachments not
specifically required, will not be reviewed.
In addition, proposals must be submitted through www.grants.gov as stated in Section IV. of this
announcement (except in the limited circumstances where another mode of submission is
specifically allowed for as explained in Appendix 2) on or before the proposal submission
deadline. Applicants are responsible for following the submission instructions in Section IV. of
this announcement to ensure that their proposal is submitted in a timely manner.
Proposals received after the submission deadline will be considered late and deemed ineligible
without further consideration unless the applicant can clearly demonstrate that it was late due to
EPA mishandling or because of technical problems associated with www.grants.gov or relevant
www.sam.gov system issues. An applicant’s failure to timely submit their proposal through
www.grants.gov because they did not timely or properly register in www.sam.gov or
www.grants.gov will not be considered an acceptable reason to consider a late submission.
EPA will verify that the Data Universal Number System (DUNS) number listed on the
application is the correct DUNS number for the applicant’s organization. If the correct DUNS
number is not included on the application, the application may be deemed ineligible.
Note: Assessment Grants do not require applicants to provide a cost share or match.
18
1. Applicant Eligibility
Provide information that demonstrates how you are an eligible entity for an Assessment
Grant as specified in Section III.A., Who Can Apply? For entities other than cities, counties,
tribes, or states, attach documentation of your eligibility (e.g., resolutions, statutes, etc.).
Assessment Coalitions must document how all coalition members are eligible entities. All
coalition members must submit a letter to the grant applicant (lead coalition member) in
which they agree to be part of the coalition. An active Memorandum of Agreement that
includes a description and role of each coalition member may serve in place of the individual
coalition members’ letters. Attach the document(s) to your proposal.
2. Community Involvement
Provide information that demonstrates how you intend to inform and involve the community
and other stakeholders during the planning, implementation and other brownfield assessment
activities described in your proposal.
III.C. Additional Threshold Criteria for Site-Specific Proposals Only
The following items provide important information related to determining if a proposed site is
eligible for brownfields funding.
1. Basic Site Information
Identify: (a) the name of the site; (b) the address of the site, including zip code; and (c) the
current owner of the site.
2. Status and History of Contamination at the Site
Identify: (a) whether this site is contaminated by petroleum or hazardous substances; (b) the
operational history and current use(s) of the site; (c) environmental concerns, if known, at the
site; and (d) how the site became contaminated, and to the extent possible, describe the
nature and extent of the contamination.
3. Brownfields Site Definition
To be eligible for brownfields funding, sites must meet the definition of a brownfield as
described in Appendix 1. The following types of properties are not eligible for brownfields
funding:
• facilities listed (or proposed for listing) on the National Priorities List (NPL);
• facilities subject to unilateral administrative orders, court orders, administrative orders on
consent, or judicial consent decrees issued to or entered into by parties under CERCLA;
and
• facilities that are subject to the jurisdiction, custody, or control of the U.S. government.
(Note: Land held in trust by the U.S. government for an Indian tribe is eligible for
brownfields funding.)
Affirm that the site is: (a) not listed or proposed for listing on the National Priorities List; (b)
not subject to unilateral administrative orders, court orders, administrative orders on consent,
or judicial consent decrees issued to or entered into by parties under CERCLA; and (c) not
19
subject to the jurisdiction, custody, or control of the U.S. government. (Note: Land held in
trust by the U.S. government for an Indian tribe is eligible for brownfields funding.) Please
refer to CERCLA §§ 101(39)(B)(ii), (iii), and (vii) and Appendix 1.
4. Enforcement or Other Actions
Identify known ongoing or anticipated environmental enforcement or other actions related to
the site for which brownfields funding is sought. Provide information on any inquiries, or
orders from federal, state, or local government entities that the applicant is aware of
regarding the responsibility of any party (including the applicant) for the contamination, or
hazardous substances at the site, including any liens. The information provided in this section
may be verified, and EPA may conduct an independent review of information related to the
applicant’s responsibility for the contamination or hazardous substances at the site.
5. Sites Requiring a Property-Specific Determination
Certain types of sites require a property-specific determination in order to be eligible for
brownfields funding. Please refer to Appendix 1, Section 1.5. and the information below to
determine whether your site requires a property-specific determination. If your site requires a
property-specific determination, then you must attach the information requested in the
Brownfields FAQs, www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-
faqs.pdf. If not required, affirm that the site does not need a Property-Specific
Determination.
The following special classes of property require a “Property-Specific Determination” from
EPA to be eligible for brownfields funding:
• properties subject to planned or ongoing removal actions under CERCLA;
• properties with facilities that have been issued or entered into a unilateral administrative
order, a court order, an administrative order on consent, or judicial consent decree or to
which a permit has been issued by the United States or an authorized state under the
Resource Conservation and Recovery Act (RCRA), the Federal Water Pollution Control
Act (FWPCA), the Toxic Substances Control Act (TSCA), or the Safe Drinking Water
Act (SDWA);
• properties with facilities subject to RCRA corrective action (§3004(u) or §3008(h)) to
which a corrective action permit or order has been issued or modified to require the
implementation of corrective measures;
• properties that are land disposal units that have submitted a RCRA closure notification
or that are subject to closure requirements specified in a closure plan or permit;
• properties where there has been a release of polychlorinated biphenyls (PCBs) and all or
part of the property is subject to TSCA remediation; and
• properties that include facilities receiving monies for cleanup from the Leaking
Underground Storage Tank (LUST) Trust Fund (see Appendix 1 for a definition of
LUST Trust Fund sites).
EPA’s approval of Property-Specific Determinations will be based on whether or not
awarding a grant will protect human health and the environment and either promote
economic development or enable the property to be used for parks, greenways, and similar
recreational or nonprofit purposes. Property-Specific Determination requests must be
20
attached to your proposal and do not count toward the 15-page limit for Narrative Proposals.
(See Appendix 1 for more information or contact your Regional Brownfields Contact listed
in Section VII. if you think your site requires a Property-Specific Determination.)
6. Site Eligibility and Property Ownership Eligibility
Applicants eligible for brownfields funding cannot be liable for contamination on the site.
Site eligibility related to liability is determined differently at sites contaminated with
hazardous substances than for sites contaminated by petroleum or petroleum product.
If the site is a hazardous substance site, please respond to all the items under (a).
If the site is a petroleum site, please respond to all the items under (b), including the
requirement to provide a petroleum determination letter.
If the site is co-mingled with hazardous substances and petroleum contaminants, determine
whether the predominant contaminant is hazardous substances or petroleum, and respond to
the corresponding items (as noted above).
If applying for hazardous substances and petroleum funding at the same site, and the
hazardous substances and petroleum contaminated areas of the site are distinguishable, the
proposal must respond to all the items under (a) and (b), including the requirement to
provide a petroleum determination letter.
(a) Property Ownership Eligibility – Hazardous Substance Sites
For sites contaminated by hazardous substances, persons, including government entities,
who may be found liable for the contamination under CERCLA (the Superfund Law)
§107 are not eligible for grants. Liable parties may include all current owners and
operators, former owners and operators of the site at the time of disposal of hazardous
substances, and parties that arranged for, or contributed to, the disposal or treatment of
hazardous substances on the site. Therefore, even owners who did not cause or contribute
to the contamination may be held liable.
To be eligible for a Brownfield Site-specific Assessment Grant to address contamination
at a brownfields property, eligible entities who fall within one of the categories of
potentially liable parties must demonstrate that they meet one of the liability protections
or defenses set forth in CERCLA by establishing that they are: (1) an innocent
landowner; (2) a bona fide prospective purchaser (BFPP); (3) a contiguous property
owner; or (4) a local or state government entity that acquired the property involuntarily
through bankruptcy, tax delinquency, or abandonment, or by exercising its power of
eminent domain. To claim protection from liability as an innocent landowner, bona fide
prospective purchaser, or contiguous property owner, property owners, including state
and local governments, must conduct all appropriate inquiries prior to acquiring the
property. (Please note that these requirements apply to all property acquisitions, including
properties acquired by donation or title transfer at zero cost.)
21
Because current owners of contaminated property are potentially liable under CERCLA,
all Site-specific Assessment Grant applicants must demonstrate in their proposals that
they are not a liable party by establishing that they meet the requirements of one of the
liability protections or defenses set forth in CERCLA. For more information on these
liability protections, please refer to the Brownfields Law, the April 2009 Fact Sheet
entitled: “EPA Brownfields Grants, CERCLA Liability and All Appropriate Inquiries,” at
http://www.epa.gov/sites/production/files/2014-08/documents/aaifs.pdf and the March 6,
2003 EPA guidance entitled Interim Guidance Regarding Criteria Landowners Must
Meet in Order to Qualify for Bona Fide Prospective Purchaser, Contiguous Property
Owner, or Innocent Landowner Limitations on CERCLA (“Common Elements”) at
http://www.epa.gov/sites/production/files/documents/common-elem-guide.pdf.
Applicants may also call the Regional Brownfields Contact listed in Section VII. with
questions about eligibility.
The most common liability protection asserted by applicants is the bona fide prospective
purchaser protection (BFPP). Although the statute limits eligibility for BFPP liability
protection to entities that purchase property after January 11, 2002, a brownfields grant
applicant can take advantage of this protection, for grant purposes only, even if it
acquired a site prior to January 11, 2002. For further information, please see FAQs on All
Appropriate Inquiries for more information at www.epa.gov/sites/production/files/2017-
07/documents/fy18-arc-faqs.pdf. Applicants must demonstrate that they complied with all
the BFPP requirements listed below:
• All disposal of hazardous substances at the site occurred before the person acquired
the site.
• The owner must not be liable in any way for contamination at the site or affiliated
with a responsible party. Affiliations include familial, contractual, financial, or
corporate relationships that are the result of a reorganization of a business entity with
potential liability.
• The owner must have conducted all appropriate inquiries (AAI) prior to acquiring the
property. AAI, typically met by conducting a Phase I environmental site assessment
using the ASTM E1527-13 standard practice, must be conducted or updated within
one year prior to the date the property is acquired (i.e., the date on which the entity
takes title to the property). In addition, certain aspects of the AAI or Phase I site
assessment must be updated, prior to property acquisition, if the activities were
conducted more than six months prior to the date of acquisition. Please see the fact
sheet “EPA Brownfields Grants, CERCLA Liability and All Appropriate Inquiries,”
or EPA’s AAI Final Rule (70 FR 66070) at www.epa.gov/brownfields/brownfields-
all-appropriate-inquiries.
• The owner must take appropriate care regarding any hazardous substances found at
the site, including preventing future releases and exposures to hazardous substances
on the site.
• The owner must provide all legally required notices and cooperate with authorized
response persons in the event of discovery or release of any hazardous substances at
the site.
22
• The owner must comply with any land-use restrictions associated with response
actions at the site.
EPA grant funding may not be used to pay for response costs at a brownfield site for
which the recipient of the grant is potentially liable under CERCLA §107. The following
items are intended to help EPA ensure that you are not liable under CERCLA for
response costs at the site designated in your proposal, or determine, if necessary, that
your site is eligible for funding as a petroleum site. Please respond to the following items
fully and in the order that they appear. Note, based on your responses, EPA may need to
obtain additional information to make this determination.
(1) CERCLA § 107 Liability
Affirm that you are not potentially liable for contamination at the site under CERCLA
§107 (e.g., as a current owner or operator of a facility, an owner or operator of a
facility at the time of disposal of a hazardous substance, a party that arranged for the
treatment or disposal of hazardous substances, or a party that accepted hazardous
substances for transport to disposal or treatment facilities at the site) by establishing
that you are eligible for one of the CERCLA liability protections or defenses (see
Section III.C.6.) and explain why.
(2) Information on Liability and Defenses/Protections
Applicant Does NOT Own the Site
If you, the applicant, do not own the site to be assessed, please:
a. affirm that you did not arrange for the disposal of hazardous substances at the site
or transport hazardous substances to the site, and that you did not cause or
contribute to any releases of hazardous substances at the site;
b. describe your relationship with the owner and the owner’s role in the work to be
performed; and
c. indicate how you will gain access to the site.
Applicant Owns the Site or Will Own the Site During the Performance of the Grant
If you, the applicant, own the site to be assessed or will own the site at some point
during the performance of the grant, please respond to the following:
a. Information on the Property Acquisition You may combine responses to the
following into one response, though please be sure to answer each item fully.
Provide information on:
i) how you acquired or will acquire ownership (e.g., by negotiated purchase
from a private individual, by purchase or transfer from another
governmental unit, by foreclosure of real property taxes, by eminent
domain, or other (describe);
ii) the date you acquired or will acquire the property;
iii) the name and identity of the party from whom you acquired or will acquire
ownership (i.e., the transferor); and
23
iv) all familial, contractual, corporate, or financial relationships or affiliations
you have or had with all prior owners or operators (or other potentially
responsible parties) of the property (including the person or entity from
which you acquired the property).
b. Timing and/or Contribution Toward Hazardous Substances Disposal Identify
whether all disposal of hazardous substances at the site occurred before you
acquired (or will acquire) the property and whether you caused or contributed to
any release of hazardous substances at the site. Affirm that you have not, at any
time, arranged for the disposal of hazardous substances at the site or transported
hazardous substances to the site.
c. Pre-Purchase Inquiry Describe any inquiry by you or others into the previous
ownership, uses of the property, and environmental conditions conducted prior to
taking ownership. Please include the items below in your description.
i) The types of site assessments performed (e.g., ASTM E1527-13 Phase I),
the dates of each assessment, and the entity for which they were performed
(state whether the assessment was performed specifically for you, or if not,
the name of the party that had the assessment performed and that party’s
relationship to you). Please note that to be eligible for a Brownfields Grant,
parties who may be potentially liable under CERCLA (which includes
current owners of the property) must demonstrate they are not liable for
contamination at the property. In most cases, this demonstration must
include evidence that an AAI investigation, or Phase I Environmental Site
Assessment in compliance with ASTM E1527-13 (or ASTM E2247-16)
was conducted prior to property acquisition.
ii) Who performed the AAI investigation or Phase I environmental site
assessments and identify his/her qualifications to perform such work.
iii) If the original AAI investigation or Phase I environmental site assessment
was conducted more than 180 days prior to the date you acquired the
property, affirm that you conducted the appropriate updates in the original
assessment within 180 days prior to your acquisition of the property in
order to take advantage of the bona fide prospective purchaser, innocent
landowner, or contiguous property owner provision.
d. Post-Acquisition Uses Describe all uses of the property since you acquired
ownership (or the uses that you anticipate once you acquire the property) through
the present, including any uses by persons, or entities other than you. Please
provide a timeline with the names of all current and prior users during the time of
your ownership; the dates of all uses; the details of each use, including the rights
or other reason pursuant to which the use was claimed or taken (e.g., lease,
license, trespass); and your relationship to the current and prior users.
24
e. Continuing Obligations 3 Describe in detail the specific appropriate care that you
exercised (or if you have yet to acquire the property, that you will exercise upon
acquiring the property) with respect to hazardous substances found at the site by
taking reasonable steps 4 to:
i) stop any continuing releases;
ii) prevent any threatened future release; and
iii) prevent or limit exposure to any previously released hazardous substance.
Please confirm your commitment to:
i) comply with all land-use restrictions and institutional controls;
ii) assist and cooperate with those performing the assessment and provide
access to the property;
iii) comply with all information requests and administrative subpoenas that have
or may be issued in connection with the property; and
iv) provide all legally required notices.
(b) Property Ownership Eligibility - Petroleum Sites
(Disregard this item if you do not have a petroleum site.)
The Brownfields Law outlines specific criteria by which petroleum sites may be eligible
for Brownfields Grant funding. In addition to the basic brownfields eligibility criteria,
eligibility for petroleum sites is determined by applying the criteria established by
Congress: the site must be of “relatively low risk,” there can be no viable responsible
party, the applicant cannot be potentially liable for cleaning up the site, and the site must
not be subject to a RCRA corrective action order. If a party is identified as being
responsible for the site and that party is financially viable, then the site is not eligible for
brownfields grant funds (refer to Appendix 1, Section 1.3.2. for more information).
Generally, petroleum site eligibility will be determined by EPA or the state, as
appropriate. Where the state is unable to make the eligibility determination, EPA will
make the determination. EPA will make the determination for tribes.
Non-tribal applicants must provide the information required for a petroleum site
eligibility determination (listed below) to your state, so that the state can make the
necessary determination on petroleum site eligibility. You must provide EPA with a copy
3 Applicants that own contaminated land should be aware that some CERCLA liability protections require
that the site owner meet certain continuing obligations. For example, grantees must comply with land-use
restrictions and institutional controls; take reasonable steps with respect to the hazardous substances on
the property; cooperate with, assist, and allow access to authorized representatives; and comply with
CERCLA information requests and subpoenas and provide legally required notices. For more information
on the obligations of owners of contaminated property, see EPA’s “Common Elements Reference Sheet”
at https://www.epa.gov/sites/production/files/documents/common-elem-ref.pdf.
4 Please note that reasonable steps may include actions such as limiting access to the property, monitoring
known contaminants and complying with state and/or local requirements. The steps taken to prevent or
limit exposure to previously released hazardous substances may depend, for example, on such things as
the location of the site in relation to the public and whether the public has been known to use (or even
trespass on) the site.
25
of the state determination letter as an attachment to your proposal. If the state does not
make the determination before the proposal due date or is unable to make the
determination, please attach a copy of the request you sent to the state. (Note: You must
provide EPA with the date you requested your state to make the petroleum site
determination. EPA will make the petroleum site eligibility determination if a state is
unable to do so following a request from an applicant.) Also in your letter to the state,
please request that the state provides information regarding whether it applied EPA’s
guidelines in making the petroleum determination, or if not, what standard it applied.
Tribal applicants must submit the information required for a petroleum site eligibility
determination (listed below) as an attachment to your proposal. EPA will make the
petroleum site eligibility determinations for tribes.
(1) Information Required for a Petroleum Site Eligibility Determination
a. Current and Immediate Past Owners Identify the current and immediate past owner
of the site. For purposes of petroleum eligibility determinations in these guidelines
only, the current owner is the entity that will own the site at time of proposal
submission.
b. Acquisition of Site Identify when and by what method the current owner acquired
the property (e.g., purchase, tax foreclosure, donation, eminent domain).
c. No Responsible Party for the Site Identify whether the current and immediate past
owner (which includes, if applicable, the applicant): (i) dispensed or disposed of
petroleum or petroleum product contamination, or exacerbated the existing
petroleum contamination at the site; (ii) owned the site when any dispensing or
disposal of petroleum (by others) took place; and (iii) took reasonable steps with
regard to the contamination at the site.
d. Assessed by a Person Not Potentially Liable Identify whether you (the applicant)
dispensed or disposed of petroleum or petroleum product, or exacerbated the
existing petroleum contamination at the site, and whether you took reasonable
steps with regard to the contamination at the site.
e. Relatively Low Risk Identify whether the site is “relatively low risk” compared to
other petroleum or petroleum product-only contaminated sites in the state in which
the site is located, including whether the site is receiving or using Leaking
Underground Storage Tank (LUST) Trust Fund monies.
f. Judgments, Orders, or Third Party Suits Provide information that no responsible
party (including the applicant) is identified for the site, through either:
i) a judgment rendered in a court of law or an administrative order that would
require any person to assess, investigate, or clean up the site; or
ii) an enforcement action by federal or state authorities against any party that
would require any person to assess, investigate, or clean up the site; or
26
iii) a citizen suit, contribution action, or other third-party claim brought against
the current or immediate past owner, that would, if successful, require the
assessment, investigation, or cleanup of the site.
g. Subject to RCRA Identify whether the site is subject to any order under section
9003(h) of the Solid Waste Disposal Act.
h. Financial Viability of Responsible Parties For any current or immediate past
owners identified as responsible for the contamination at the site, provide
information regarding whether they have the financial capability to satisfy their
obligations under federal or state law to assess, investigate, or clean up the site.
Note: If no responsible party is identified in c) or f) above, then the petroleum-
contaminated site may be eligible for funding. If a responsible party is identified
above, EPA or the state must next determine whether that party is viable. If any
such party is determined to be viable, then the petroleum-contaminated site may
not be eligible for funding. For more information, see Appendix 1.
7. Waiver of the $200,000 Limit
Applicants may request a waiver of the $200,000 limit and request up to $350,000 for a
single site based on the anticipated level of contamination, size, or status of ownership of
the site. Applicants requesting a waiver must attach a one-page justification for the waiver
request and cite all data sources provided. Further pages will not be considered. The
justification should include a description of the extent of contamination at the site, the size of
the site, and the reasons for requesting additional funding. For more information on the site-
specific waiver justification, please refer to the Brownfields Frequently Asked Questions
(FAQs) at www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf.
SECTION IV. - PROPOSAL SUBMISSION INFORMATION
IV.A. How to Obtain a Proposal Package
A copy of these guidelines can be obtained from the EPA Brownfields Program website at
www.epa.gov/brownfields/apply-brownfields-grant-funding or through www.grants.gov.
IV.B. Due Date and Submission Instructions
Your organization’s Authorized Organization Representative (AOR) must submit your complete
application package electronically to EPA through www.grants.gov. Proposals must be received
no later than 11:59 p.m. ET on November 16, 2017. Please allow enough time to successfully
submit your application package and allow for unexpected errors that may require you to
resubmit. Occasionally, technical and other issues arise when using www.grants.gov.
Proposals received after 11:59 p.m. ET November 16, 2017, will not be considered for funding.
27
In order to submit a proposal 4 through www.grants.gov, you must:
1. Have an active DUNS number,
2. Have an active System for Award Management (SAM) account in www.sam.gov,
3. Be registered in www.grants.gov, and
4. Be designated as your organization’s AOR.
The registration process for all of the above items may take a month or more to complete.
The electronic submission of your application must be made by the official representative (AOR)
of your institution who is registered with www.grants.gov and is authorized to sign applications
for federal assistance. Refer to Appendix 2 for specific instructions on how to apply through
www.grants.gov.
After signing and successfully submitting the application package, within 24 to 48 hours the
AOR should receive notification emails from www.grants.gov with the following subject lines:
1. GRANT###### Grants.gov Submission Receipt
2. GRANT###### Grants.gov Submission Validation Receipt for Application
If the AOR did not receive either notification emails listed above, contact the www.grants.gov
Help Desk at 1-800-518-4726. The Help Desk is open 24/7 (except federal holidays).
After the application package is retrieved out of the www.grants.gov system by EPA, the AOR
should receive the following notification emails from www.grants.gov:
3. GRANT###### Grants.gov Grantor Agency Retrieval Receipt for Application
4. GRANT###### Grants.gov Agency Tracking Number Assignment for Application
In the event that you experience difficulties transmitting the proposal through www.grants.gov,
please refer to the procedures in Appendix 2.
If you do not have the technical capability to apply electronically through www.grants.gov
because of limited or no Internet access which prevents you from being able to upload the
required application materials to www.grants.gov, please refer to the procedures in Appendix 2.
IV.C. Content and Form of Proposal Submission
Refer to Section I.A. for information on the number of Assessment Grant proposals and amount
of funding that may be requested. Applicants must submit separate proposals for Community-
wide and Site-specific Assessment Grants. Each proposal must stand on its own merits based on
the responses to the relevant criteria for the type of grant submitted and must not reference
responses to criteria in another proposal.
All proposal materials must be in English. The Cover Letter and Narrative Proposal must be
typed, single-spaced, on letter-sized (8.5 x 11-inch) paper, and use standard Times New
Roman, Arial, or Calibri fonts with a 12-point font size and 1-inch margins. While these
4 Note that the terms “proposal” and “application” mean the same thing for the purposes of this competition. The
files that you submit through www.grants.gov as your Brownfields proposal is what is known as an application
package in www.grants.gov.
28
guidelines establish the font and minimum type size requirements, applicants are advised that
readability is very important.
The following checklist reflects the documents required for proposals. All proposals must
contain a completed and signed SF-424; a Cover Letter (2-page limit, single-spaced); a Narrative
Proposal, limited to 15 single-spaced typed pages; and required attachments, as listed below.
Extraneous materials, including photos, graphics and attachments not listed, will not be
considered.
Standard Form 424, Application for Federal Assistance (no page limit - see Section
IV.C.1.)
Cover Letter (2-page limit, single-spaced) (see Section IV.C.2.)
Cover Letter Attachments:
o Regional Priorities Form (located in Appendix 3), if applicable (see Section
IV.C.2.g.)
o Other Factors Checklist (located in Appendix 3), if applicable (see Section
IV.C.2.g.)
o Letter from the state or tribal environmental authority (see Section IV.C.2.h.)
The Narrative Proposal, which includes the responses to ranking criteria (15-page limit,
single spaced) (see Section IV.C.3.)
Narrative Proposal Attachments:
o Documentation indicating committed leveraged resources, if applicable (see Section
IV.C.3.2.c.)
o Letters of Commitment from all community organizations identified in the
Partnerships with Community Organizations ranking criterion (see Section
IV.C.3.3.c.ii.)
Threshold Criteria Responses Attachments: (see Section III.B.)
Community-wide Proposals:
o Documentation of applicant eligibility if other than city, county, state, or tribe (see
Section III.B.1.)
o Description of Community Involvement (see Section. III.B.2.)
Site-Specific Proposals:
o Documentation of applicant eligibility if other than city, county, state, or tribe (see
Section III.B.1.)
o Description of Community Involvement (see Section. III.B.2.)
o Basic Site Information (see Section III.C.1.)
o Status of History of Contamination at the Site (see Section III.C.2.)
o Affirmation that site meets the definition of a Brownfield site (see Section III.C.3.)
o Enforcement or Other Actions (see Section IIII.C.4.)
29
o Affirmation if a Property-Specific Determination is required (see Section III.C.5.)
o Site Eligibility and Property Ownership Eligibility (see Section III.C.6.)
o Petroleum eligibility determination information, if applicable (see Section
III.C.6.(b))
o Justification for requested waiver of the $200,000 limit, if applicable (see Section
III.C.7.)
Assessment Coalition Proposals:
o Documentation of applicant eligibility if other than city, county, state, or tribe (see
Section III.B.1.)
o Description of Community Involvement (see Section. III.B.2.)
o Letters of commitment from each assessment coalition member or an active
Memorandum of Agreement, if applicable (see Section III.B.1.)
1. Standard Form (SF) - 424, Application for Federal Assistance
www.grants.gov will automatically prompt applicants to submit the SF-424 form.
2. Cover Letter
The cover letter shall identify the applicant and a contact for communication with EPA and
address the information below. The cover letter shall not exceed two, single spaced pages.
Any pages submitted over the page limit will not be considered. The cover letter must be on
the applicant’s official letterhead and signed by an official with the authority to commit your
organization to the proposed project. Applicants are to submit separate cover letters for each
proposal they submit. EPA does not consider information in cover letters to be responses to
the ranking criteria. Each cover letter should be addressed to the Regional Brownfields
Contact listed in Section VII. and include the items listed below.
a. Applicant Identification Provide the name and full address of the entity applying for
funds. This is the agency or organization that will receive the grant and be accountable to
EPA for the proper expenditure of funds.
b. Funding Requested
i) Grant Type Indicate “Assessment.”
ii) Assessment Grant Type Indicate “Community-wide,” “Site-specific,” or “Coalition.”
iii) Federal Funds Requested $______ and whether you are requesting a waiver for a
Site-specific proposal (please refer to funding limitations for each grant type).
iv) Contamination Indicate “Hazardous Substances,” “Petroleum,” or both.
Note: If both, provide a breakdown of the amount of funding you are requesting by
contaminant type (e.g., $150,000 hazardous substances and $150,000 petroleum).
c. Location City, county, and state or reservation, tribally owned lands, tribal fee lands, etc.,
of the brownfields community(ies) that you propose to serve. For Assessment Coalition
Grants, list all jurisdictions covered under the proposal.
30
d. Property Information for Site-Specific Proposals Please provide the property name and
complete site address, including zip code.
e. Contacts
i) Project Director Provide name, phone number, email address, and mailing address of
the Project Director assigned to this proposed project. This person should be the main
point of contact for the project, and should be the person responsible for the project’s
day-to-day operations. The Project Director may be contacted if other information is
needed.
ii) Chief Executive/Highest Ranking Elected Official Provide the name, phone number,
email address, and mailing address of the applicant’s Chief Executive or highest
ranking elected official. For example, if your organization is a municipal form of
government, provide this information for the Mayor or County Commissioner.
Otherwise, provide this information for your organization’s Executive Director or
President. These individuals may be contacted if other information is needed.
f. Population
i) Provide the general population of your jurisdiction and the jurisdictions of any
coalition partners, if applicable.
ii) If you are not a municipal form of government, provide the population of the
municipality of the identified target area(s). Tribes must provide the number of
tribal/non-tribal members affected. Your jurisdiction’s population can be found at
www.census.gov/.
iii) Affirm whether or not your jurisdiction is located within, or includes, a county
experiencing “persistent poverty” where 20% or more of its population has lived in
poverty over the past 30 years, as measured by the 1990 and 2000 decennial censuses
and the most recent Small Area Income and Poverty Estimates.
g. Regional Priorities Form/Other Factors Checklist Attach the Regional Priority
Form/Other Factors Checklist in Appendix 3 to the Cover Letter identifying which, if
any, of the items are applicable to your proposal. The Regional Priority Form/Other
Factors Checklist does not count towards the two-page limit for this section.
h. Letter from the State or Tribal Environmental Authority
For an applicant other than a state or tribal environmental authority, attach a current letter
from the appropriate state or tribal environmental authority acknowledging that the
applicant plans to conduct assessment activities and is planning to apply for FY18 federal
brownfields grant funds. Letters regarding proposals from prior years are not acceptable.
If you are applying for multiple types of grants, you need to receive only one letter
acknowledging the relevant grant activities. However, you must provide a copy of this
letter as an attachment to each proposal. Please note that general correspondence and
documents evidencing state involvement with the project (i.e., state enforcement orders
or state notice letters) are not acceptable. Coordinate early with your state or tribal
31
environmental authority in order to allow adequate time for you to obtain the
acknowledgment letter and attach it to your proposal.
The letter from the state or tribal authority does not count towards the two-page limit for
this section.
3. The Narrative Proposal/Ranking Criteria
The narrative proposal (including citations) shall not exceed 15 single-spaced pages. Any
pages submitted over the page limit will not be evaluated.
The narrative proposal must include clear, concise, and factual responses to all ranking
criteria and sub-criteria in Section V. and address, if applicable, the Regional Priority(ies)
(see Section I.F.) for the region in which the project is located. Proposals must provide
sufficient detail to allow for an evaluation of the merits of the proposal. If a criterion does not
apply, clearly state this. Any criterion left unanswered may result in zero points given for
that criterion. Responses to the criteria should include the criteria number and title but need
not restate the entire text of the criteria.
1. COMMUNITY NEED
This section of your proposal provides the context for your project. The needs defined in
this section should provide the foundation for your later discussion of the brownfield
project, planned community engagement and partnerships, and the ways the project will
ultimately benefit your community.
a. Target Area and Brownfields
i. Community and Target Area Descriptions
Include a brief description of your city, town, or geographic area to provide the
proposal reviewers background on its cultural and industrial history that establishes
the context for your brownfield challenges.
Within this larger geographic area, identify and describe the specific target area(s)
where you plan to perform assessment activities, such as a neighborhood, district,
corridor, census tract, or other locality. Depending on the scope and design of your
project, one or more target areas may be presented.
ii. Demographic Information and Indicators of Need
Provide and compare census-based demographic data as requested in the table below.
Use additional rows or text, as needed, to include other data or information, which
provide a compelling explanation for why you selected the target area. Responses
should clearly identify sources of information used.
32
Sample Format for Demographic Information (supplement as appropriate for each target area)
Target Area (e.g.,
Census Tract)
City/Town or
County
Statewide National
Population: 316,127,5131
Unemployment: 8.3%1
Poverty Rate: 15.5 %1
Percent Minority: 37.8%2
Median Household
Income:
$53,8891
Other:
Include other relevant
data as needed in
additional rows
1Data are from the 2011-2015 American Community Survey 5-Year Estimates available on American FactFinder at
https://factfinder.census.gov/faces/nav/jsf/pages/community_facts.xhtml
2Data are from the 2011-2015 American Community Survey 5-Year Estimates available on American FactFinder at
https://factfinder.census.gov/faces/nav/jsf/pages/community_facts.xhtml. Note, the percent minority is derived from the HISPANIC OR LATINO
AND RACE population table (i.e., the sum of the Hispanic or Latino (of any race), Black of African American alone, American Indian and Alaska
Native alone, Asian alone, Native Hawaiian and Other Pacific Islander alone, Some other race alone and two or more races percentages).
For resources to gather demographic information, please go the FAQs at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf.
iii. Description of the Brownfields
Describe the actual brownfield sites in your target area(s) and highlight at least one
site that is a priority. Include information in your description of your brownfield sites:
• proximity to residents in the target area;
• nature and extent of your brownfields (such as past land uses and site activities,
potentially related environmental issues or contaminants, and current conditions);
and
• real or perceived negative environmental impacts associated with the brownfield
sites.
b. Welfare, Environmental, and Public Health Impacts
Please provide information on the welfare impacts in your target area(s).
i. Welfare Impacts
Discuss the welfare issues experienced by the target area. (For example: blight, safety
concerns, lack of access to community services, lack of transportation services, etc.)
Please provide information on the environmental and public health impacts in your
community(ies).
ii. Cumulative Environmental Issues
Excluding the brownfield site(s) discussed earlier, provide a summary (using
available information) of other various cumulative environmental issues (e.g. siting of
power plants, incinerators, industry, landfills, congested highways, or other sources of
air, water and land pollution) or other environmental justice concerns which may be
33
present (such as existing sources of pollution which overburden the residents within
the target area).
iii. Cumulative Public Health Impacts
• Discuss the public health impacts from cumulative sources, including brownfield
sites discussed earlier.
• Provide information describing the threats to sensitive populations who are
potentially subject to environmental exposures, including exposures from
brownfields. (Please refer to FAQs for information on sensitive populations at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf.)
c. Financial Need
i. Economic Conditions
Describe why you, as the applicant, need this funding and are unable to draw on other
sources of funding. Explain how a small population, low income, or other factors of
the target area prevent you from funding this work.
Describe how local economic conditions may have been made worse due to industrial
decline, plant closures, natural disasters, or other significant economic disruptions.
ii. Economic Effects of Brownfields
Describe the key economic effects of the brownfields discussed earlier on the target
area (e.g. reduced tax base, lost business opportunities, depressed property values,
burden on municipal services, etc.). To the extent that this discussion may include
quantitative estimates and statistics, clearly cite the sources of such data.
2. PROJECT DESCRIPTION AND FEASIBILITY OF SUCCESS
This section of your proposal describes your project and how it will be implemented.
This section should demonstrate the feasibility of the project you will fund with this grant
and the extent to which the grant will stimulate the availability of other funds for
environmental assessment, remediation, the subsequent reuse of the brownfield site(s),
and revitalization of the target area(s).
Refer to Section VI.D., Brownfields Programmatic Requirements, for EPA’s expectations
of projects funded with Brownfields Assessment Grants.
a. Project Description, Redevelopment Strategy, and Timing and Implementation
i. Project Description and Alignment with Revitalization Plans
Describe the project that will be funded by this grant, how it aligns with the target
area’s land use and revitalization plans, and how you will incorporate equitable
development, sustainable practices, or environmental justice approaches as described
in Section I.E. of these guidelines.
34
ii. Redevelopment Strategy
Describe the redevelopment strategy, or projected redevelopment, for the
property(ies) that will be assessed under this grant and how you will make use of
existing infrastructure (water, sewer, transportation, etc.).
iii. Timing and Implementation
Describe the timing and implementation of the key activities listed below to ensure
that all grant funding will be expended within three years, and describe who will be
responsible for implementing and completing the activities.
(a) Contractor procurement (including the internal steps that must be taken within
your organization and approvals from departments or elected officials).
(b) For Community-wide proposals, discuss the development of site inventory or site
identification process, and site prioritization and selection process.
For Assessment Coalition proposals, discuss the development of site inventory or site
identification process, and site prioritization and selection process. Also, describe the
proposed governance/decision-making structure among your coalition partners to
prioritize and select sites to assess.
For Site-specific proposals, describe existing conditions of the property you plan to
assess with this funding.
(c) Obtaining and securing site access.
b. Task Descriptions and Budget Table
i. Task Descriptions
List the tasks required to implement the proposed project, distinguishing between the
work you and your contractors will be performing under each grant-funded task.
Describe and enumerate specific outputs from the project, which may include, but are
not limited to, site inventories, Phase I environmental site assessments, Phase II
environmental site assessments, site cleanup plans, area-wide plans or community
meetings. (Refer to Section I.D.1. for an explanation of outputs.)
Provide a cost estimate for each grant-funded task. Describe the basis for how each
line item cost estimate was developed under each budget category shown in the table
below. Applicants requesting hazardous substances and petroleum funding in the
same proposal must distinguish hazardous substances related tasks from petroleum
related tasks. Where appropriate, present unit costs and quantify work products (e.g.,
Contractual Costs: Conduct Phase I assessments on five sites at a cost of $3,500 each
for a total of $17,500). Explain all costs, especially those costs that appear to be
atypical (i.e., unusually high or low).
35
Do not include tasks for activities that are ineligible uses of funds under EPA’s
Assessment Grant (e.g., land acquisition; building demolition that is not necessary to
assess contamination at the site; building or site preparation; or administrative costs,
such as indirect costs). Please refer to the Brownfields FAQs at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf for
additional examples of ineligible uses of funds. For questions not covered by the
FAQs, contact your Regional Brownfields Contact listed in Section VII.
ii. Budget Table
The table format below can be used to present how you plan to allocate EPA grant
funds to the specific tasks described above. Specify the costs by budget category.
INCLUDE ONLY EPA GRANT FUNDS IN THIS TABLE. Activities not supported
by the grant (e.g. in-kind contributions) should not be included in the budget table.
Applicants requesting hazardous substances and petroleum funding in the same
proposal must provide either two separate budget tables, or two separate line items
within one budget table, which distinguish hazardous substances funds from
petroleum funds.
Note: EPA encourages the use of the table format below and replacing the task
number outlined in the table with the actual title of the task.
Sample Format for Budget
Budget Categories
Project Tasks ($) (programmatic costs only)
(Task 1) (Task 2) (Task 3) (Task 4) Total
Personnel
Fringe Benefits
Travel1
Equipment2
Supplies
Contractual
Other (include subawards)
(specify) ________
Total Budget
1 Travel to brownfields-related training conferences is an acceptable use of these grant funds.
2 EPA defines equipment as items that cost $5,000 or more with a useful life of more than one year.
Items costing less than $5,000 are considered supplies. Generally, equipment is not required for
Assessment Grants.
Reminder: Administrative costs, such as indirect costs, of grant administration with the exception of
financial and performance reporting costs are ineligible grant activities.
36
c. Ability to Leverage
List other sources of funding or resources that you have, or may be seeking, to
leverage to ensure:
1. the success of this grant (if any additional work or services are necessary to
carry out the project, such as in-kind staff hours, during the 3-year period of
performance); and
2. the revitalization of brownfield sites assessed with this funding (e.g.,
additional assessment, cleanup, redevelopment activities).
Attach documentation that substantiate secured commitments of leveraged funding.
Sample Format for Leveraging Resources (supplement as appropriate using additional
rows or text).
Source Purpose/Role Amount ($)
Status (Secured
resource with attached
documentation, pending,
or potential resource)
E.g. City of X,
Community
Development Dept.
In-kind services towards the
management of the cooperative
agreement
$10,000 Secured resource
E.g., Local developer Funding to remediate sites A & B $100,000 Pending resource
If you are not yet able to identify sources of leveraged funding needed for this project,
then provide a recent example where you, or your project partners, have successfully
leveraged resources to achieve an environmental or revitalization goal of your
community (preferably related to a brownfield site or related project). See the
Brownfields FAQs at www.epa.gov/sites/production/files/2017-07/documents/fy18-
arc-faqs.pdf for more information on how to demonstrate leveraging commitments.
Note: Selected applicants are expected to abide by their proposed leveraging
commitments during the EPA grant performance period; failure to do so may
affect the legitimacy of the award. See also discussion of leveraging and
voluntary cost share in Section IV.E.
Do not include these leveraged resources in the budget table.
3. COMMUNITY ENGAGEMENT AND PARTNERSHIPS
This section of your proposal explains how your proposed community engagement plan
will meet the needs of the community in the target area identified in the Community
Need (Section IV.C.3.1.) portion of your proposal. It identifies the stakeholders and
coordination needed with partners to achieve the benefits discussed in the Project
Benefits section (Section IV.C.3.4.).
37
a. Engaging the Community
i. Community Involvement Plan
Discuss your plan for involving the community in the target area and other
stakeholders (such as neighborhood organizations, citizen groups, property owners,
lenders, business organizations and developers) in the planning and implementation
of your project (which may include project planning, site selection for assessments,
cleanup decisions, and reuse planning).
ii. Communicating Progress
Describe your plan for communicating the progress of your project to community
members. Also, describe how the identified communication plans are appropriate and
effective for the community(ies) in the target area(s).
Note: Applicants may address this criterion by various means that show meaningful
public engagement where information is shared and views and input are
actively solicited, including public meetings, webinars, use of media, and
Internet forums.
b. Partnerships with Government Agencies
i. Local/State/Tribal Environmental Authority
Identify and provide information on the agency that oversees the relevant
brownfields, voluntary cleanup or similar program at the local/state/tribal level (i.e.,
the environmental agency and/or health agency), and describe the role(s) they will
have to ensure your brownfield project is successful.
ii. Other Governmental Partnerships
Identify and provide information on other relevant federal, state, and/or local
governmental agencies with which you will partner during your assessment project
(e.g., DOT, HUD, a health agency), and describe the role(s) and relevancy they will
have to ensure your brownfield project is successful.
c. Partnerships with Community Organizations
i. Community Organization Descriptions & Roles
Include a description of each community organization involved in your project, as
well as their role in and commitments to the planning and implementation of the
project.
If there are no community organizations in your community, then state this and
discuss how the community is engaged and will continue to be involved in your
project.
Note: Community organizations do not include local government departments, the
38
local planning department/district/office, local contractors, the mayor’s office,
or other elected officials. See FAQs at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf for
more information about community organizations.
The number of partners is not as important as the contributions and the
relevance of their organization.
EPA may conduct reference checks to ensure that organizations identified are
supportive and involved with the brownfield project.
ii. Letters of Commitment
Attach to the proposal current letters from all of the community organizations you
have discussed. These letters must discuss their support for the project, and describe
and affirm their roles and commitments to the planning and implementation of the
project.
If there are no community organizations in your community, then provide
documentation to demonstrate that the community is engaged and will continue to be
involved in your project. This can be done by attaching support or commitment letters
from residents, letters from residents to the editors of local newspapers, attendance
lists at public meetings concerning the project, comments from local citizens received
on the plans and implementation of the project, etc.
Note: Letters of commitment and supporting documentation must be addressed to the
applicant and be included with the applicant’s proposal package. Letters sent
directly to EPA will not be considered.
d. Partnerships with Workforce Development Programs
Describe planned efforts to promote local hiring and procurement or link members of
the community to potential employment opportunities in brownfields assessment,
cleanup, or redevelopment related to your proposed projects. Such efforts may
include, but are not limited to, partnering with local workforce development entities
or Brownfields job training grantees. A list of Brownfields job training grantees is
available in the Brownfields Grant Fact Sheet Tool at cfpub.epa.gov/bf_factsheets/.
4. PROJECT BENEFITS
This section of your proposal describes the anticipated outcomes and benefits expected
from your project in the context of the needs you discussed in the Community Need
section (Section IV.C.3.1.).
a. Welfare, Environmental, and Public Health Benefits
Describe the future welfare, environmental, and public health benefits anticipated
from this grant (or broader project), and how these benefits will address the
39
challenges and sensitive populations discussed in the Community Need section of
your narrative (Section IV.C.3.1.).
b. Economic and Community Benefits
Relative to challenges identified in the Community Need section and your project
proposed in the Project Description section, discuss potential outcomes and the
economic benefits, non-economic benefits, and other community benefits (be specific
and provide quantitative estimates when possible), which may be achieved through
the redevelopment of sites assessed under this grant, and how these benefits align
with community revitalization plans.
Economic benefits may include increased employment and expanded tax base. Non-
economic and community benefits may include areas redeveloped for uses such as
parks, recreation areas, greenways, environmental buffers and other not-for-profit,
governmental or charitable organization spaces.
5. PROGRAMMATIC CAPABILITY AND PAST PERFORMANCE
This section of your proposal demonstrates that your organization (“the applicant”/lead
coalition member) has programmatic capability (experience, knowledge and resources, or
ability to obtain them) and a reasonable approach necessary to ensure successful
completion of all required aspects of this project and grant.
a. Audit Findings
Describe any adverse audit findings. If you have had problems with the
administration of any grants (e.g., compliance reporting, expenditure of funds), please
describe how you have corrected, or are correcting, the problems. If you have not,
please affirm that you have not had any adverse audit findings. Respond to this
criterion regardless of whether or not you have had a federal or non-federal assistance
agreement. (Failure to address this section may result in zero points for this factor.)
b. Programmatic Capability
Describe the organizational structure you will utilize to ensure the timely and
successful expenditure of funds and completion of all technical, administrative and
financial requirements of the project and grant. Include a brief discussion of the key
staff including their roles, expertise, qualifications and experience.
Describe the system(s) you have in place to appropriately acquire any additional
expertise and resources (e.g. contractors or subawardees) required per grant
requirements to successfully complete the project. Please refer to Section IV.F.
regarding contractors and subawards.
40
c. Measuring Environmental Results: Anticipated Outputs/Outcomes
Discuss how you plan to track, measure and evaluate your progress in achieving
project outcomes, outputs and project results. (Refer to Section I.D.1. for an
explanation of outputs.)
d. Past Performance and Accomplishments
If you have ever received an EPA Brownfields Grant (including Assessment, Cleanup,
Revolving Loan Fund, and 128(a) grants, but excluding Targeted Brownfields
Assessments, Area-Wide Planning grants, Environmental Workforce Development & Job
Training grants, and subawards from another Brownfields grantee), please respond to
item i. below.
If you have never received an EPA Brownfields Grant, but have received other federal or
non-federal assistance agreements (such as a grant or cooperative agreement), please
respond to item ii. below.
If you have never received any type of federal or non-federal assistance agreements,
please indicate this in response to item iii. below.
i. Currently or Has Ever Received an EPA Brownfields Grant
Identify and provide information regarding each of your current and most recent EPA
brownfields grant(s) (but no more than five). Demonstrate how you successfully
managed the grant(s), and successfully performed all phases of work under each grant
by providing information on the items listed below.
1. Accomplishments
Describe the accomplishments (including specific outputs and outcomes) of your
grant funded program, including at minimum, the number of sites assessed and/or
cleaned up. Discuss whether these outputs and outcomes were accurately reflected
in the Assessment, Cleanup and Redevelopment Exchange System (ACRES) at
the time of this proposal submission, and if not, please explain why.
2. Compliance with Grant Requirements
Discuss your compliance with the workplan, schedule and terms and conditions.
Include whether you have made, or are making, progress towards achieving the
expected results of the grant in a timely manner. If not, discuss what corrective
measures you took, or are taking, and how the corrective measures were effective,
documented and communicated.
Discuss your history of timely and acceptable quarterly performance and grant
deliverables, as well as ongoing ACRES reporting.
For all open EPA Brownfields grant(s) indicate the grant period (start and end
date), if there are funds remaining, and the plan to expend funds by the end of the
grant period.
41
For all closed EPA Brownfields grant(s), indicate if there were funds remaining at
the time of closure, the amount of remaining funds, and a brief explanation of
why the funds were not expended.
– OR –
ii. Has Not Received an EPA Brownfields Grant but has Received Other Federal
or Non-Federal Assistance Agreements
Identify and describe each of your current and/or most recent federally and non-
federally funded grants (no more than five) that are most similar in size, scope, and
relevance to the proposed project. Demonstrate how you successfully managed the
grant(s), and successfully performed all phases of work under each grant by
providing the following information.
1. Purpose and Accomplishments
Describe the awarding agency/organization, amount of funding, and purpose of
the grant(s) you have received.
Discuss the accomplishments (including specific outputs and outcomes) of the
project supported by these grants, including specific measures of success for the
project supported by each type of grant received.
2. Compliance with Grant Requirements
Describe your compliance with the workplan, schedule and terms and conditions.
Include whether you made, or are making, progress towards achieving the
expected results of the grant in a timely manner. If not, discuss what corrective
measures you took, or are taking, and how the corrective measures were effective,
documented and communicated.
Discuss your history of timely and acceptable reporting, as required by the
awarding agency/organization.
– OR –
iii. Has Never Received Any Type of Federal or Non-Federal Assistance Agreements
Affirm that your organization has never received any type of federal or non-federal
assistance agreement (grant). (Failure to indicate anything in response may result in
zero points for this factor.)
4. Threshold Criteria Responses
Review Section III.B. Threshold Criteria for Assessment Grants and Section III.C.
Additional Threshold Criteria for Site-Specific Proposals Only (if applicable) and attach
responses to your proposal.
IV.D. Voluntary Cost Share/Leveraging
Matching funds are not required under this competition. Although cost sharing or matching
is not required as a condition of eligibility under this competition, under Section V.A.2.c. of this
42
announcement, EPA will evaluate proposals’ responses to the Ability to Leveraging criterion.
Leveraging is generally when an applicant proposes to provide its own additional
funds/resources or those from third-party sources to support or complement the project they are
awarded under the competition which are above and beyond the EPA grant funds awarded. Any
leveraged funds/resources, and their source, must be identified in the proposal. Leveraged funds
and resources may take various forms as noted below.
Voluntary cost share is a form of leveraging. Voluntary cost sharing is when an applicant
voluntarily proposes to legally commit to provide costs or contributions to support the project
when a cost share is not required. Applicants who propose to use a voluntary cost share must
include the costs or contributions for the voluntary cost share in the project budget on the
Standard Form 424. If an applicant proposes a voluntary cost share, the following apply:
• A voluntary cost share is subject to the match provisions in the grant regulations (2 CFR
200.306, as applicable).
• A voluntary cost share may only be met with eligible and allowable costs.
• The recipient may not use other sources of federal funds to meet a voluntary cost share
unless the statute authorizing the other federal funding provides that the federal funds may
be used to meet a cost share requirement on a federal grant.
• The recipient is legally obligated to meet any proposed voluntary cost share that is included
in the approved project budget. If the proposed voluntary cost share does not materialize
during grant performance, then EPA may reconsider the legitimacy of the award and/or
take other appropriate action as authorized by 2 CFR 200.338.
Other leveraged funding/resources that are not identified as a voluntary cost share. This
form of leveraging may be met by funding from another federal grant, from an applicant's own
resources, or resources from other third party sources. This form of leveraging should not be
included in the budget and the costs need not be eligible and allowable project costs under the
EPA assistance agreement. While this form of leveraging should not be included in the budget,
the grant workplan should include a statement indicating that the applicant is expected to
produce the proposed leveraging consistent with the terms of the announcement and the
applicant's proposal. If applicants propose to provide this form of leveraging, EPA expects them
to make the effort to secure the leveraged resources described in their proposals. If the proposed
leveraging does not materialize during grant performance, then EPA may reconsider the
legitimacy of the award and/or take other appropriate action as authorized by 2 CFR Parts 200 or
1500.
IV.E. Additional Provisions for Applicants Incorporated Into the Solicitation
Additional provisions that apply to this solicitation and/or awards made under this solicitation,
including but not limited to those related to confidential business information, contracts and
subawards under grants, and proposal assistance and communications, can be found in the EPA
Solicitation Clauses at www.epa.gov/grants/epa-solicitation-clauses. These, and the other
provisions that can be found at the website link, are important, and applicants must review
them when preparing proposals for this solicitation. If you are unable to access these provisions
43
electronically at the website above, please communicate with the EPA contact listed in this
solicitation to obtain the provisions.
SECTION V. - PROPOSAL REVIEW INFORMATION
V.A. Evaluation Criteria
If your proposal passes the threshold eligibility review (see Section III.B.), your responses and
the information you provide in response to Section IV.3. (Narrative Proposal/Ranking Criteria)
will be evaluated per the criteria below and scored by a national evaluation panel. Your proposal
may be assigned up to 200 points.
Criteria (Maximum Points per Criterion)
1. COMMUNITY NEED (45 Points)
Your proposal will be evaluated on the quality and extent to which it:
- demonstrates a compelling picture of need in the community, and specifically, the
identified target area(s); and
- makes a clear connection between the public health, welfare, environmental, and/or
economic challenges faced by the community and/or target area and the presence of
brownfield sites and other cumulative environmental issues.
Assessment Coalition proposals should demonstrate how the grant will serve coalition
partners and communities that would otherwise not have access to resources to address
brownfields. For example, a state or county may put together a coalition that includes small
communities that do not have the capacity to apply for brownfields funding on their own.
Specifically, your proposal will be evaluated on:
1.a. Target Area and Brownfields (15 points)
1.a.i. Community and Target Area Descriptions (5 points)
The depth and degree of brownfield challenges confronting your city/town/geographic area and
the specific area where you plan to perform assessment activities.
1.a.ii. Demographic Information and Indicators of Need (5 points)
The relevancy of the data sources used and the extent to which they conclusively demonstrate
the compelling need of the community, based on demographic information on your target
area(s) as compared to larger geographic areas (e.g. city, county, state, and national).
1.a.iii. Description of the Brownfields (5 points)
The extent of impacts, including negative environmental impacts, due to actual brownfield sites
in your target area(s), and the degree to which you prioritized the sites in close proximity to
residents within the target area(s).
44
1.b. Welfare, Environmental, and Public Health Impacts (15 points)
1.b.i. Welfare Impacts (5 points)
The severity of the welfare issues experienced by the target area, and the degree to which these
issues connect to the presence of brownfield sites.
1.b.ii. Cumulative Environmental Issues (5 points)
The extent to which the community experiences various cumulative environmental issues or
other environmental justice concerns which may be present, and the degree to which these
issues/concerns impact the community.
1.b.iii. Cumulative Public Health Impacts (5 points)
The extent to which the community experiences public health impacts from cumulative sources
and brownfield sites identified in the proposal, and the degree to which these sources impact the
community.
The extent to which sensitive populations are potentially subject to environmental exposure,
including brownfields.
1.c. Financial Need (15 points)
1.c.i. Economic Conditions (5 points)
The degree to which this funding is needed, the extent of the applicant’s inability to draw on
other sources of funding, and the degree of significant economic disruptions that have impacted
the local economic conditions.
1.c.ii. Economic Effects of Brownfields (10 points)
The extent to which the brownfields in the target area have negatively affected the economy,
and the relevancy of data sources used for this analysis.
2. PROJECT DESCRIPTION AND FEASIBILITY OF SUCCESS (55 Points)
Your proposal will be evaluated on the quality and extent to which it demonstrates:
- how well your project will further the target community’s land use and revitalization
plans or vision;
- how your project will incorporate equitable or sustainable practices;
- a reasonable approach and methodology to achieve project goals and expend funds in a
timely and effective manner;
- a realistic basis for project costs; and
- the availability of, and access to, sufficient resources to bring the site(s) assessed under
this grant to reuse.
Specifically, your proposal will be evaluated on:
45
2.a. Project Description, Redevelopment Strategy, and Timing and Implementation (30
points)
2.a.i. Project Description and Alignment with Revitalization Plans (12 points)
The merits of the project that will be funded under this grant, and the extent to which it aligns
with the target area’s land use and revitalization plans and incorporates equitable development,
sustainable practices or advances environmental justice in a meaningful way.
2.a.ii. Redevelopment Strategy (5 points)
The feasibility of the redevelopment strategy for the property(ies) that will be assessed under
this grant and the degree to which this strategy makes use of existing infrastructure.
2.a.iii. Timing and Implementation (13 points)
The quality and reasonableness of your plan for the timely implementation of the key activities
listed below to ensure that all grant funding will be expended within three years, and who will
be responsible for implementing and completing the activities.
(a) Contractor procurement (including the internal steps that must be taken within your
organization and approvals from departments or elected officials). (3 points)
(b) For Community-wide proposals, the development of site inventory or site identification
process, and site prioritization and selection process. (5 points)
For Assessment Coalition proposals, the development of site inventory or site
identification process, and site prioritization and selection process, a clear governance
structure among your coalition partners which will be implemented to prioritize and select
sites to assess. (5 points)
For Site-specific proposals, the existing conditions of the property you plan to assess with
this funding. (5 points)
(c) Obtaining and securing site access. (5 points)
2.b. Task Descriptions and Budget Table (20 points)
2.b.i. Task Descriptions (15 points)
The extent to which the activities and tasks support the overall project and the approach to
implementing the proposed project is reasonable.
The eligibility of proposed tasks under EPA’s Assessment Grant Program.
The appropriateness of the budget and how efficiently the grant funds will be used.
46
• All proposals will be evaluated on the extent to which the majority of grant funds are
allocated for tasks directly associated with Phase I and Phase II environmental site
assessments.
• A Site-specific proposal will be evaluated on the extent to which the amount of funding
requested is needed for the proposed site.
• An Assessment Coalition proposal will be evaluated on the extent to which the grant
funds will address a minimum of five sites as well as sites located in each coalition
member’s jurisdiction.
The extent to which the cost estimates are clearly explained, realistic, and are presented for
each grant-funded task.
The extent to which you clearly explain and differentiate between the work you and your
contractors will be performing under each grant-funded task and how you will allocate
hazardous substances and petroleum funding (when requested in the same proposal).
The quality of the specific project outputs, how closely the outputs correlate with the described
project, and the likelihood that the outputs identified will be achieved.
2.b.ii. Budget Table (5 points)
The degree to which the budget table only includes eligible and allowable EPA Assessment
Grant funds, clearly distinguishes any hazardous substances funds from petroleum funds (when
appropriate), adds up correctly, and clearly correlates with work discussed in the Task
Descriptions section.
2.c. Ability to Leverage (5 points)
If any additional work or services are necessary to carry out the project, the extent to which
identified leveraged resource(s) contributes to the successful completion of the cooperative
agreement during the 3-year period of performance.
The relevancy and degree to which the leveraged resource(s) will contribute towards the
successful redevelopment of sites assessed with this funding will also be evaluated.
Note, proposals with secured, significant, and relevant leveraged funding for the assessment
project(s) may earn full points for this criterion. Proposals without secured, significant, and
relevant leveraged funding will not receive full points for this criterion.
3. COMMUNITY ENGAGEMENT AND PARTNERSHIPS (35 Points)
Your proposal will be evaluated on the quality and extent to which it:
- demonstrates actions or plans to effectively involve and inform the target community and
relevant stakeholders;
- identifies the relevancy of the local/state/tribal environmental authority to the project;
47
- identifies roles of other relevant governmental partnerships; and
- identifies the relevant roles of community organizations and affirms their involvement in
the project through commitment letters.
Specifically, your proposal will be evaluated on:
3.a. Engaging the Community (15 points)
3.a.i. Community Involvement Plan (10 points)
The effectiveness of your plan to meaningfully involve and engage the community and other
target area stakeholders in the planning and implementation of your project.
• A community-wide proposal will be evaluated on the extent to which it demonstrates
how the community in the target area has provided input from project inception and will
be engaged throughout the project.
• A site-specific proposal will be evaluated on the extent to which it discusses and
demonstrates meaningful efforts to involve and inform community groups or
representatives directly affected by the site, in addition to the broader community.
• An Assessment Coalition proposal will be evaluated on the extent to which it
demonstrates how all communities addressed through this project have provided
meaningful input from the beginning of the project, and will be effectively engaged and
informed throughout the project.
3.a.ii. Communicating Progress (5 points)
The effectiveness and appropriateness of your plan and outreach methods in ensuring the
community(ies) in the target area are aware and involved in the progress of the project.
3.b. Partnerships with Government Agencies (9 points)
3.b.i. Local/State/Tribal Environmental Authority (5 points)
The degree to which you are effectively engaging and partnering with the agency that oversees
the relevant brownfields, voluntary cleanup or another similar program at the local/state/tribal
level, and the extent to which the partnership will contribute to the success of your brownfield
project.
3.b.ii. Other Governmental Partnerships (4 points)
The inclusion of all relevant partners and degree to which you are effectively engaging and
partnering with federal, other state, and/or local governmental agencies that may be relevant to
your assessment project, the relevancy of their roles, and the extent to which these partnerships
will contribute to the success of your brownfield project.
3.c. Partnerships with Community Organizations (9 points)
3.c.i. Community Organization Descriptions & Roles (5 points)
48
The inclusion of all relevant partners and the relevancy of the organizations’ contributions to
your project, how varied and specific their roles in and commitments are to the planning and
implementation of the project, and the extent these partnerships will contribute to the success of
your brownfield project.
If there are no community organizations in your community, the strength and meaningfulness
of your engagement with the community throughout the project.
3.c.ii. Letters of Commitment (4 points)
The extent to which letters are included from each community organization listed in the
narrative and affirm the organization’s support, role, and commitment to the planning and
implementation of the project.
If there are no community organizations in your community, the extent to which there is a clear
description and documentation of how the community is engaged and will continue to be
involved in your project such as support letters from residents, letters from residents to the
editors of local newspapers, attendance lists at public meetings concerning the project,
comments from local citizens received on the plans and implementation of the project, etc.
3.d. Partnerships with Workforce Development Programs (2 points)
The degree to which your plan will promote local hiring, local procurement or will link
members of the community to potential employment opportunities in brownfields assessment,
cleanup, or redevelopment related to your proposed projects in a meaningful way.
4. PROJECT BENEFITS (25 Points)
Your proposal will be evaluated on the quality and extent to which it:
- demonstrates the potential of the project, or the development plan for the project area, to
realize significant outcomes and benefits to the public health, welfare and environment
of the community;
- contributes to the community plan for the revitalization of brownfield sites; and
- stimulates economic or non-economic benefits.
Specifically, your proposal will be evaluated on:
4.a. Welfare, Environmental, and Public Health Benefits (13 points)
The extent to which your project improves the welfare, environmental, and public health of the
community, as anticipated from this grant (or broader project), including the degree to which
the benefits address challenges and sensitive populations you discussed in the Community Need
section of your narrative.
4.b. Economic and Community Benefits (12 points)
49
The quality of the specific project outcomes; the degree to which outcomes include quantitative
and qualitative measures; the extent to which these outcomes address the challenges identified
in the Community Need section and correlate with the described project; and the likelihood the
outcomes will be achieved through the redevelopment of sites assessed under this grant.
5. PROGRAMMATIC CAPABILITY AND PAST PERFORMANCE (40 Points)
Your proposal will be evaluated on the quality and extent to which it demonstrates:
- resolution of any audit findings;
- the ability of your organization (as the applicant/lead coalition member) to successfully
manage and complete the project, considering your programmatic and administrative
capacity;
- a reasonable plan to track and measure project progress; and
- successful performance under past and/or current federally and/or non-federally funded
assistance agreements.
Specifically, your proposal will be evaluated on:
5.a. Audit Findings (2 points)
The degree to which the applicant has any adverse audit findings and how they have corrected,
or are correcting, the findings.
5.b. Programmatic Capability (23 points)
The efficiency and effectiveness of your organizational structure to:
• ensure the timely and successful expenditure of funds;
• complete all technical, administrative and financial requirements of the grant; and
• acquire any additional expertise and resources (e.g. contractors or sub-awardees)
required to successfully complete the project.
The degree of expertise, qualifications, and experience of key staff involved in this project will
also be evaluated.
5.c. Measuring Environmental Results: Anticipated Outputs and Outcomes (5 points)
The adequacy of your plan to track, measure and evaluate your progress in achieving project
outcomes, outputs and project results.
5.d. Past Performance and Accomplishments (10 points)
In evaluating an applicant’s response to this criterion, in addition to the information provided
by the applicant, EPA may consider relevant information from other sources including
information from EPA files and/or from other federal or non-federal grantors to verify or
supplement information provided by the applicant.
50
5.d.i. Currently or Has Ever Received an EPA Brownfields Grant (10 points)
The degree to which there is demonstrated ability to successfully manage past EPA Brownfield
Grant(s) and successfully perform of all phases of work under each grant.
5.d.i.1. Accomplishments (5 points)
The quality of the accomplishments (including specific outputs and outcomes) of your grant
funded program, including at minimum, the number of sites assessed and/or cleaned up, and
whether these outputs and outcomes were accurately reflected in the Assessment, Cleanup and
Redevelopment Exchange System (ACRES) at the time of this proposal submission, and if not,
why.
5.d.i.2. Compliance with Grant Requirements (5 points)
The extent of compliance with the workplan, schedule and terms and conditions, and whether
progress was made, or is being made, towards achieving the expected results of the grant in a
timely manner. If expected results were not achieved, whether the measures taken to correct the
situation were reasonable and appropriate.
A demonstrated history of timely and acceptable quarterly performance and grant deliverables,
as well as ongoing ACRES reporting.
The likelihood all remaining funds will be expended by the end of the period of performance.
The extent to which funds from any open EPA Brownfield grant(s) can support the
tasks/activities described in this proposal.
For all closed EPA Brownfields grants, the accuracy of your description of funds that remained
at the time of closure, including the amount and the reasons these funds were not expended
during the period of performance.
– OR –
5.d.ii. Has Not Received an EPA Brownfields Grant but has Received Other Federal or
Non-Federal Assistance Agreements (10 points)
The degree to which your organization has demonstrated its ability to successfully manage
federal or non-federal grant(s), and perform of all phases of work under each grant.
5.d.ii.1. Purpose and Accomplishments (5 points)
The extent to which similar past federal or non-federal grants are identified (in terms of size,
scope and relevance) and the degree to which sufficient information is provided to make that
determination.
The quality of the accomplishments (including specific outputs and outcomes) of the project
supported by these grants, including specific measures of success for the project supported by
each type of grant received.
51
5.d.ii.2. Compliance with Grant Requirements (5 points)
The extent of compliance with the workplan, schedule and terms and conditions, and whether
progress was made, or is being made, towards achieving the expected results of the grant in a
timely manner. If expected results were not achieved, whether the measures taken to correct the
situation were reasonable and appropriate.
A demonstrated history of timely and acceptable reporting, as required by the awarding
agency/organization.
– OR –
5.d.iii. Has Never Received Any Type of Federal or Non-Federal Assistance Agreements
(5 points)
Whether you clearly affirm that your organization has never received any type of federal or
non-federal assistance agreement (grant).
V.B. Considerations and Other Factors
In making final selection recommendations from among the most highly ranked applicants on
each of the lists discussed in Section V.C., EPA’s Selection Official may consider the following
factors if appropriate. In their proposals, applicants should provide a summary on whether and
how any of these other factors apply:
• the proposed assessment project advances the applicable region’s regional priority(ies);
• fair distribution of funds between urban and non-urban areas, including an equitable
distribution to “micro” communities (those communities with populations of 10,000 or less).
EPA strongly encourages non-urban communities, including “micro” communities, to apply;
• the jurisdiction is located within, or includes, a county experiencing “persistent poverty”
where 20% or more of its population has lived in poverty over the past 30 years, as measured
by the 1990 and 2000 decennial censuses and the most recent Small Area Income and
Poverty Estimates;
• the distribution of funds among EPA’s ten Regions and among the states and territories;
• compliance with the 25 percent statutory petroleum funding allocation;
• whether the applicant is a federally-recognized Indian tribe or United States territory or
whether the project is assisting a tribe or territory;
• whether target brownfield site(s) are impacted by mine-scarred land;
• whether the project primarily focuses on Phase II assessments;
• demonstrated firm leveraging commitments for facilitating brownfield project completion, by
identifying in the proposal the amounts and contributors of resources including
documentation that ties directly to the project; and/or
• whether the applicant is a recipient of an EPA Brownfields Area-Wide Planning grant.
V.C. Review and Selection Process
Timely submitted proposals will initially be reviewed by the appropriate EPA Regional Office to
determine compliance with the applicable threshold criteria for Assessment Grants (Sections
III.B. and III.C.). All proposals that pass the threshold criteria review will be evaluated by
52
national evaluation panels chosen for their expertise in the range of activities associated with the
brownfield assessments. The national evaluation panels will be composed of EPA staff and
potentially other federal agency representatives. Eligible proposals will be evaluated based on
the criteria described in Section V.A. and ranking lists of applicants will be developed.
For selection purposes, EPA’s Office of Brownfields and Land Revitalization (OBLR) will
prepare two ranked lists of proposals.
One list will be comprised of “new applicants” defined as:
• applicants who have never received an EPA Brownfields Assessment, RLF or Cleanup
Grant, or
• applicants who were awarded a Brownfields Assessment, RLF or Cleanup Grant that
closed in 2009 or earlier.
A second list will be comprised of “existing and recent recipients” defined as:
• applicants who have an open Brownfields Assessment, RLF or Cleanup Grant, or
• applicants who were awarded a Brownfields Assessment, RLF or Cleanup Grant that
closed in 2010 or later.
The Agency expects to select approximately 145 of the highest ranked proposals for award. Of
these selections, the Agency expects to select at least two high ranking proposals from each
region that address the Regional Priorities identified by the region in Section I.F. If among the
highest approximately 145 ranked proposals that are selected there are not at least two grants
from each region that address the regional priorities identified by the Region in Section I.F., then
the Agency intends to make additional awards until this requirement is satisfied, depending on
the number of proposals received, funding availability, the quality of proposals, and other
applicable considerations. In addition, the Agency intends to use approximately 50% of the total
amount of funding available under this announcement for grants to “new applicants.” This
percentage is an estimate and is subject to change based on funding levels, the quality of
proposals received and other applicable considerations.
The Office of Brownfields and Land Revitalization (OBLR) will provide both lists to the
Selection Official, who is responsible for further consideration of the proposals and final
selection of grant recipients. Proposals will be selected for award based on their evaluated point
scores, the regional priority issue described above, the availability of funds, and, as appropriate,
the other factors described in Section V.B.
V.D. Additional Provisions For Applicants Incorporated Into the Solicitation
Additional provisions that apply to this solicitation and/or awards made under this solicitation
including the clause on Reporting and Use of Information Concerning Recipient Integrity and
Performance can be found in the EPA Solicitation Clauses at www.epa.gov/grants/epa-
solicitation-clauses. These, and the other provisions that can be found at the website link, are
important, and applicants must review them when preparing proposals for this solicitation. If you
are unable to access these provisions electronically at the website above, please communicate
with the EPA contact listed in this solicitation to obtain the provisions.
53
SECTION VI. - AWARD ADMINISTRATION INFORMATION
VI.A. Award Notices
EPA Regions will notify applicants who fail threshold eligibility requirements within 15 calendar
days of the Agency’s determination of ineligibility. EPA will notify applicants who are not
selected for award based on the evaluation criteria and other factors within 15 calendar days of
EPA’s final decision on selections for this competition.
EPA anticipates notification to successful applicants will be made via telephone, email, or postal
mail by Spring 2018. The notification will be sent to the original signer of the proposal or the
project contact listed in the proposal. This notification, which informs the applicant that its
proposal is selected and is being recommended for award, is not an authorization to begin work.
The official notification of an award will be made by the Regional Grants Management Official
for regional awards. Applicants are cautioned that only a grants officer is authorized to bind the
Government to the expenditure of funds; selection does not guarantee an award will be made.
For example, statutory authorization, funding or other issues discovered during the award
process may affect the ability of EPA to make an award to an applicant. The award notice,
signed by an EPA grants officer, is the authorizing document and will be provided through email
or postal mail. The successful applicant may need to prepare and submit additional documents
and forms (e.g., workplan), which must be approved by EPA, before the grant can officially be
awarded. The time between notification of selection and award of a grant can take up to 90 days
or longer.
VI.B. Administrative and National Policy Requirements
1. Funding will be awarded as a cooperative agreement. The applicants whose proposals are
selected will be asked to submit a cooperative agreement application package to their EPA
Regional Office. This package will include the application (Standard Form 424), a proposed
workplan, a proposed budget, and other required forms. An EPA Project Officer will work
with you to finalize the budget and workplan. It is EPA’s expectation that the selected
applicants will complete the award process within six months of the announcement.
2. Approved cooperative agreements will include terms and conditions (including any
applicable Davis Bacon requirements) that will be binding on the grant recipient. Terms and
conditions specify what grantees must do to ensure that grant-related and Brownfields
Program-related requirements are met. Applicants also will be required to submit progress
reports in accordance with grant regulations found in 2 CFR 200.328.
VI.C. Reporting Requirements
During the life of the cooperative agreement, recipients are required to submit progress reports to
the EPA Project Officer within 30 days after each reporting period. The reporting period (i.e.,
quarterly, annually) is identified in the terms and conditions of the cooperative agreement. These
reports cover work status, work progress, difficulties encountered, an accounting of financial
expenditures, preliminary data results, anticipated activities, and any changes of key personnel
involved with the project. Site-specific accomplishments are reported on Property Profile Forms
54
and can be submitted electronically to EPA’s ACRES reporting system. Information provided in
the quarterly reports and submitted in ACRES helps EPA monitor the community’s progress
with implementing their project and also directly supports the continuation of the Brownfields
Program by highlighting measurable site-specific accomplishments to the public and Congress.
At the end of the cooperative agreement, a final project report also is required. The final report
will summarize accomplishments, expenditures, outcomes, outputs, lessons learned, and any
other resources leveraged during the project and how they were used.
VI.D. Brownfields Programmatic Requirements
Brownfields grantees must comply with all applicable federal and state laws to ensure that the
assessment and cleanup protect human health and the environment. Brownfields grantees also
must comply with the program’s technical requirements, which may include, but are not limited
to, the following requirements below.
1. Quality Assurance (QA) Requirements
When environmental samples are collected as part of any brownfields cooperative agreement
(e.g., assessment and site characterization, cleanup verification sampling, post-cleanup
confirmation sampling), recipients shall submit to EPA for approval a Quality Assurance
Project Plan (QAPP) prior to the collection of environmental samples. The QAPP must
document quality assurance practices sufficient to produce data adequate to meet project
objectives and minimize data loss. Compliance with the Quality Assurance requirements is
an eligible use of funds for Assessment Grants.
2. Historic Properties or Threatened and Endangered Species
If historic properties or threatened or endangered (T&E) species may be impacted by the
assessment or cleanup of a site, the requirements of the National Historic Preservation Act
(NHPA) or the Endangered Species Act (ESA) may apply, respectively. Grantees are
required to consult with EPA prior to conducting any on-site activity (such as invasive
sampling or cleanup) that may affect historic properties or T&E species to ensure that the
requirements of Section 106 of NHPA and Section 7(a)(2) of the ESA are met. Grantees
should plan for these consultation requirements.
3. All Appropriate Inquiries
All Appropriate Inquiries (AAI) must comply with 40 CFR Part 312 and must, at a
minimum, include the information below. All AAI reports submitted to EPA Project Officers
as deliverables under this assessment cooperative agreement must be accompanied by a
completed “Reporting Requirements Checklist” that EPA’s Project Officer will provide to
the recipient. The checklist also is available to grantees on the EPA website at
www.epa.gov/brownfields/brownfields-all-appropriate-inquiries. They must include the
information below.
a. An opinion as to whether the inquiry has identified conditions indicative of releases or
threatened releases of hazardous substances, and as applicable, pollutants and
contaminants, petroleum or petroleum products, or controlled substances, on, at, in, or to
the subject property.
55
b. An identification of “significant” data gaps (as defined in 40 CFR 312.10), if any, in the
information collected for the inquiry. Significant data gaps include missing or
unattainable information that affects the ability of the environmental professional to
identify conditions indicative of releases or threatened releases of hazardous substances,
and as applicable, pollutants and contaminants, petroleum or petroleum products, or
controlled substances, on, at, in, or to the subject property. The documentation of
significant data gaps must include information regarding the significance of these data
gaps.
c. Qualifications and signature of the environmental professional(s). The environmental
professional must place the statements below in the document and sign the document.
• ‘‘(I, We) declare that, to the best of (my, our) professional knowledge and belief, (I, we)
meet the definition of Environmental Professional as defined in §312.10 of this part.’’
• ‘‘(I, We) have the specific qualifications based on education, training, and experience
to assess a property of the nature, history, and setting of the subject property. (I, We)
have developed and performed the all appropriate inquiries in conformance with the
standards and practices set forth in 40 CFR Part 312.’’
Note: Please use either “I” or “We.”
d. In compliance with §312.31(b), the environmental professional must include in the final
report an opinion regarding additional appropriate investigation, if the environmental
professional has such an opinion.
EPA may review checklists and AAI final reports for compliance with the AAI regulation
documentation requirements at 40 CFR Part 312 (or comparable requirements for those using
ASTM Standard 1527-13). Any deficiencies identified during an EPA review of these
documents must be corrected by the recipient within 30 days of notification. Failure to
correct any identified deficiencies may result in EPA disallowing the costs for the entire AAI
report as authorized by 2 CFR 200.338 (b). If a recipient willfully fails to correct the
deficiencies, the Agency may consider other available remedies under 2 CFR 200.338 – 2
CFR 200.342 and 2 CFR Part 180.
4. Sufficient Progress
EPA will evaluate whether the recipient has made sufficient progress 18 months from the
date of award. For purposes of Assessment Grants, the recipient demonstrates “sufficient
progress” when 35% of funds have been drawn down and obligated to eligible activities; for
Assessment Coalition Grants “sufficient progress” is demonstrated when a solicitation for
services has been released, sites are prioritized or an inventory has been initiated if necessary,
community involvement activities have been initiated and a Memorandum of Agreement is in
place. If EPA determines that the recipient has not made sufficient progress, the recipient
must implement a corrective action plan approved by EPA. Failure to comply with the
reporting requirements may result in an early termination of the grant and return of grant
funds to EPA.
56
5. Collection of Post-Grant Information
Under the Government Performance and Results Act, EPA reports on the many benefits of
brownfields funding. One such measure provides information on additional resources
leveraged as a result of using Brownfields Grant funds. These leveraged, non-EPA funds
may include additional cleanup funds or redevelopment funding from other federal agencies,
state, tribal, and local governments, or private organizations. As many of these activities
occur beyond the grant period, please note that EPA may contact you well after the grant
period of performance to collect this information.
6. Protection of Nearby and Sensitive Populations
Grantees are required to protect all nearby populations, including sensitive populations in the
target community from contaminants during assessment work conducted on brownfield sites
under this grant. Activities include implementing procedures necessary to mitigate any
potential exposure from the contamination.
VI.E. 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 workplan in a timely manner. The assistance agreement will
include terms and conditions implementing this requirement.
VI.F. Disputes
Assistance agreement competition-related disputes will be resolved in accordance with the
dispute resolution procedures published in 70 FR (Federal Register) 3629, 3630 (January 26,
2005) which can be found in the EPA Solicitation Clauses at www.epa.gov/grants/epa-
solicitation-clauses. Copies of these procedures may also be requested by contacting the person
listed in Section VII. of the announcement.
VI.G. Additional Provisions for Applicants Incorporated Into the Solicitation
Additional provisions that apply to this solicitation and/or awards made under this solicitation,
including but not limited to those related to DUNS, SAM, copyrights, disputes, and
administrative capability, can be found in the EPA Solicitation Clauses at
www.epa.gov/grants/epa-solicitation-clauses. These, and the other provisions that can be found
at the website link, are important, and applicants must review them when preparing proposals for
this solicitation. If you are unable to access these provisions electronically at the website above,
please communicate with the EPA contact listed in this solicitation to obtain the provisions.
57
SECTION VII. – AGENCY CONTACTS – Regional Brownfields Contacts
REGIONAL CONTACTS & STATES ADDRESS
EPA Region 1
Frank Gardner
Gardner.Frank@epa.gov
Phone (617) 918-1278
CT, ME, MA,
NH, RI, VT
5 Post Office Square
Suite 100, Mail code: OSRR7-2
Boston, MA 02109-3912
EPA Region 2
Lya Theodoratos
Theodoratos.Lya@epa.gov
Phone (212) 637-3260
NJ, NY, PR, VI
290 Broadway; 18th Floor
New York, NY 10007
EPA Region 3
Felicia Fred
Fred.Felicia@epa.gov
Phone (215) 814-5524
DE, DC, MD,
PA, VA, WV
1650 Arch Street
Mail Code 3HS51
Philadelphia, PA 19103
EPA Region 4
Barbara Alfano
Alfano.Barbara@epa.gov
Phone (404) 562-8923
AL, FL, GA,
KY, MS, NC,
SC, TN
Atlanta Federal Center
61 Forsyth Street, S.W. 10th FL
Atlanta, GA 30303-8960
EPA Region 5
Jan Pels
Pel.Jan@epa.gov
Phone (312) 886-3009
IL, IN, MI, MN,
OH, WI
77 West Jackson Boulevard
Mail Code SE-7J
Chicago, IL 60604-3507
EPA Region 6
Paul Johnson
Johnson.Paul@epa.gov
Phone (214) 665-2246
AR, LA, NM,
OK, TX
1445 Ross Avenue
Suite 1200 (6SF-VB)
Dallas, TX 75202-2733
EPA Region 7
Susan Klein
Klein.Susan@epa.gov
Phone (913) 551-7786
IA, KS, MO, NE
11201 Renner Blvd
Lenexa, KS 66219
EPA Region 8
Danny Heffernan
heffernan.daniel@epa.gov
Phone (303) 312-7074
CO, MT, ND,
SD, UT, WY
1595 Wynkoop Street (EPR-B)
Denver, CO 80202-1129
EPA Region 9
Noemi Emeric-Ford
Emeric-Ford.Noemi@epa.gov
Phone (213) 244-1821
AZ, CA, HI, NV,
Pacific Island
Territories
75 Hawthorne Street, SFD6-1
San Francisco, CA 94105
EPA Region 10
Susan Morales
Morales.Susan@epa.gov
Phone (206) 553-7299
Fax (206) 553-0124
AK, ID, OR, WA
1200 Sixth Avenue, Suite 900
Mailstop: ECL-112
Seattle, WA 98101
58
Appendix 1
Information on Sites Eligible for
Brownfields Funding Under CERCLA §104(k)
1.1. Introduction
The information provided in this Appendix will be used by EPA in determining the eligibility of
any property for brownfields grant funding. The Agency is providing this information to assist
you in developing your proposal for funding under CERCLA §104(k) and to apprise you of
information that EPA will use in determining the eligibility of any property for brownfields grant
funding.
This information is used by EPA solely to make applicant and site eligibility determinations
for Brownfields grants and is not legally binding for other purposes including federal,
state, or tribal enforcement actions.
1.2. General Definition of Brownfield Site
The Brownfields Law defines a “Brownfield Site” as:
“...real property, the expansion, redevelopment, or reuse of which may be complicated
by the presence or potential presence of a hazardous substance, pollutant, or
contaminant.”
Brownfield sites include all “real property,” including residential, as well as
commercial and industrial properties.
1.3. Additional Areas Specifically Eligible for Funding
The Brownfields Law also identifies three additional types of properties that are specifically
eligible for funding:
1. Sites contaminated by controlled substances.
2. Sites contaminated by petroleum or a petroleum product.
3. Mine-scarred lands.
See below for guidance on determining the scope of each of these three types of sites. Applicants
should identify properties included within their funding proposals that fall within the scope of
any of the following three areas.
1.3.1. Contamination by Controlled Substance
Sites eligible for funding include real property, including residential property, that is
contaminated by a controlled substance. A “controlled substance” is defined under the
Controlled Substances Act as “a drug or other substance, or immediate precursor, included in
Schedule I, II, III, IV, or V of Part B of this title (21 USC Section 812). The term does not
include distilled spirits, wine, malt beverages, or tobacco...” For example, sites eligible for
brownfields funding may include private residences formerly used for the manufacture and/or
59
distribution of methamphetamines or other illegal drugs where there is a presence or potential
presence of controlled substances or pollutants, contaminants, or hazardous substances (e.g., red
phosphorous, kerosene, acids).
1.3.2. Contamination by Petroleum or Petroleum Product
Petroleum-contaminated sites must meet certain requirements to be eligible for brownfields
funding. Petroleum is defined under CERCLA as “crude oil or any fraction thereof which is not
otherwise specifically listed or designated as a hazardous substance under that section.”
For a petroleum-contaminated site(s) that otherwise meets the definition of a brownfield site to
be eligible for funding, EPA or the state must determine:
1. The site is “relatively low risk” compared with other “petroleum-only” sites in the state;
and
2. There is no viable responsible party.
3. The site will not be assessed, investigated, or cleaned up by a person that is potentially
liable for cleaning up the site.
4. The site must not be subject to a corrective action order under the Resource Conservation
and Recovery Act (RCRA) §9003(h).
Site-specific assessment or cleanup grant proposals for petroleum-contaminated sites must
provide information in their proposal indicating whether the site meets each of the criteria listed
above. If EPA awards an applicant a revolving loan fund grant, the state or EPA must make the
same determinations for site(s) that will be cleaned up under a loan or subgrant. These criteria
are explained below.
Please note that states may, but are not required to, use this guidance to determine whether
sites contaminated by petroleum or petroleum products are eligible for brownfields grant
funding. States may apply their own laws and regulations, if applicable, to eligibility
determinations under this section.
Note: A petroleum eligibility determination by EPA or a state under CERCLA section
101(39)(D) for the purpose of brownfields funding does not release any party from
obligations under any federal or state law or regulation, or under common law, and does
not impact or limit EPA or state enforcement authorities against any party.
“Relatively Low Risk”
Applicants whose brownfield site(s) include properties or portions of properties contaminated
with petroleum or petroleum products must provide information in their proposal indicating that
the property represents a relatively low risk (compared to other petroleum-only sites). EPA’s
view is that the following types of petroleum-contaminated sites are high-risk sites, or are not of
“relatively low risk:”
1. “High risk” sites currently being cleaned up using LUST Trust Fund monies.
2. Any petroleum-contaminated site that currently is subject to a response under the Oil
Pollution Act (OPA).
60
Note: Any site that does not fall under any of the provisions listed above would be
considered to be of relatively low risk for purposes of determining eligibility for a
brownfields grant.
“A Site for Which There is No Viable Responsible Party”
EPA or the state is required to determine that there is no viable responsible party that can address
the petroleum contamination at the site. If EPA, or the state, identifies a party that is responsible
for the activities contemplated by the grant proposal, and that party is financially viable, then the
site is not eligible for funding and EPA cannot award the grant. This analysis is twofold – EPA
or the state must first determine whether a responsible party exists and, if a responsible party is
identified, then determine whether that party is viable for the activities identified in the grant
proposal. Applicants are responsible for providing information in their proposal that
demonstrates that the activities for which they seek funding have no viable responsible party.
A petroleum-contaminated site may be determined to have no responsible party if the site was
last acquired (regardless of whether the site is owned by the applicant) through tax foreclosure,
abandonment, or equivalent government proceedings, and that the site meets the criteria in (1)
below. Any petroleum-contaminated site not acquired by a method listed above will be
determined to have a responsible party if the site fails to meet the criteria in both (1) and (2)
below.
1. No responsible party has been identified for the site through:
a. an unresolved judgment rendered in a court of law or an administrative order that would
require any party (including the applicant) to conduct the activities (including assessment,
investigation or cleanup) contemplated by the grant proposal;
b. an unresolved enforcement action by federal or state authorities that would require any
party (including the applicant) to conduct the activities (including assessment,
investigation, or cleanup) contemplated by the grant proposal; or
c. an unresolved citizen suit, contribution action, or other third party claim brought against
the current or immediate past owner for the site that would, if successful, require the
activities (including assessment, investigation, or cleanup) contemplated by the grant
proposal to be conducted.
2. The current and immediate past owner did not dispense or dispose of, or own the subject
property during the dispensing or disposal of, any contamination at the site, did not
exacerbate the contamination at the site, and took reasonable steps with regard to the
contamination at the site.1
If no responsible party is identified above, then the petroleum-contaminated site may be
eligible for funding. If a responsible party is identified above, EPA or the state must next
1 For purposes of determining petroleum brownfield grant eligibility, “reasonable steps with regard to
contamination at the site” includes, as appropriate: stopping continuing releases, preventing threatened
future releases, and preventing or limiting human, environmental, or natural resource exposure to earlier
petroleum or petroleum product releases. Reasonable steps are discussed in more detail on pages 9-12 of
EPA’s March 6, 2003, “Common Elements” guidance.
61
determine whether that party is viable. If any such party is determined to be viable, then the
petroleum-contaminated site is not eligible for funding.
If there is a responsible party for the site, the applicant should explain in its application what
steps it took to determine a responsible party’s financial status, and why the information
presented indicates that the responsible party is not viable. A state making the “viable
responsible party” determination for the applicant may use the standards contained in this
Appendix or its own standard. If a state is not making the determination or a tribe is the
applicant, EPA will follow the standard set forth in this Appendix. Note that any viability
determination made by EPA is for purposes of the CERCLA Section 104(k) grant program
only.
EPA will consider a party to be viable if the party is financially capable of conducting the
activity (i.e., assessment, investigation, or cleanup) identified in the grant proposal.
Generally, EPA will consider ongoing businesses or companies (corporations, LLCs,
partnerships, etc.) and government entities to be viable. EPA will generally deem a defunct
or insolvent company and an individual responsible party to be not viable. EPA will apply
these assumptions to its petroleum grant viability determinations, unless there is information
suggesting that the assumption is not appropriate in a particular case (e.g., if there is
information that an individual has adequate financial resources to address contamination at a
site, or if there is information indicating an ongoing business is not, in fact, viable). An
applicant should indicate if one of the above assumptions applies and provide support for the
assertion. In circumstances not covered by one of the above assumptions, the applicant
should explain why the responsible party is not viable.
An applicant seeking to determine the financial status (i.e., the viability) of a responsible
party should consider consulting the following resources and any other resources it may
deem to be useful to make this determination:
1. Responsible Party: Ask the responsible party for its financial information (tax returns,
bank statements, financial statements, insurance policies designed to address
environmental liabilities, etc.), especially if the responsible party is still associated with
the site or is the applicant, and, therefore, will receive the benefit of the grant. An
applicant that is a responsible party and claiming it is not viable should provide
conclusive information, such as an INDIPAY or MUNIPAY analysis, on its inability to
pay for the assessment or cleanup.
2. Federal, State, and Local Records: Federal, state, and local (i.e., county and city)
records often provide information on the status of a business. An applicant that is a state
or local government should at the very least search its own records for information on a
responsible party. Examples of such resources include regulatory records (e.g., state
hazardous waste records), Secretary of State databases, and property/land records.
3. Public and Commercial Financial Databases: Applicants also may obtain financial
data from publicly available and commercial sources. Listed below are examples of
62
sources for financial data that applicants may consider. Please note that some commercial
sources may charge fees. EPA does not endorse the use of any specific sources, and EPA
will accept reliable data from other sources as part of a proposal for funding.
Examples of sources: Lexis/Nexus, Dun & Bradstreet reports, Hoover’s Business
Information, Edgar Database of Corporate Information, Thomas Register of American
Manufacturers, The Public Register, Corporate Annual Reports, Internet search engines
(e.g. Google, Ask).
“Cleaned Up by a Person Not Potentially Liable”
Brownfields funding may be awarded for the assessment and cleanup of petroleum-contaminated
sites provided they meet the requests below.
1. The applicant has not dispensed or disposed of or owned the property during the
dispensing or disposal of petroleum or petroleum product at the site, and
2. The applicant did not exacerbate the contamination at the site and took reasonable steps
with regard to the contamination at the site.
“Is not subject to any order issued under §9003(h) of the Resource Conservation and Recovery
Act (RCRA)”
Proposals that include requests for an assessment or direct cleanup grant to address petroleum-
contaminated sites must not be subject to a corrective action order under RCRA §9003(h). If
EPA awards an applicant a revolving loan fund grant, the state or EPA must make the same
determination for site(s) that will be cleaned up under a loan or subgrant.
1.3.3. Mine-Scarred Lands
Mine-scarred lands are eligible for brownfields funding. EPA’s view is that “mine-scarred lands”
are those lands, associated waters, and surrounding watersheds where extraction, beneficiation,
or processing of ores and minerals (including coal) has occurred. For the purposes of this section,
the definition of extraction, beneficiation, and processing is the definition found at 40 CFR
261.4(b)(7).
Mine-scarred lands include abandoned coal mines and lands scarred by strip mining.
Examples of coal mine-scarred lands may include, but are not limited to:
• abandoned surface coal mine areas;
• abandoned deep coal mines;
• abandoned coal processing areas;
• abandoned coal refuse areas;
• acid or alkaline mine drainage; and
• associated waters affected by abandoned coal mine (or acid mine) drainage or runoff,
including stream beds and adjacent watersheds.
Examples of non-coal hard rock mine-scarred lands may include, but are not limited to:
• abandoned surface and deep mines;
• abandoned waste rock or spent ore piles;
63
• abandoned roads constructed wholly or partially of waste rock or spent ore;
• abandoned tailings, disposal ponds, or piles;
• abandoned ore concentration mills;
• abandoned smelters;
• abandoned cyanide heap leach piles;
• abandoned dams constructed wholly or partially of waste rock, tailings, or spent ore;
• abandoned dumps or dump areas used for the disposal of waste rock or spent ore;
• acid or alkaline rock drainage; and
• waters affected by abandoned metal mine drainage or runoff, including stream beds and
adjacent watersheds.
1.4. Sites Not Eligible for Brownfields Funding
The following three types of properties are not eligible for brownfields funding under the
Brownfields Law, even on a property-specific basis. Applicants should not include these types of
sites in the funding proposals.
1) Facilities listed or proposed for listing on the National Priorities List (NPL).
2) Facilities subject to unilateral administrative orders, court orders, administrative orders on
consent, or judicial consent decrees issued to or entered into by parties under CERCLA.
3) Facilities that are subject to the jurisdiction, custody, or control of the U.S. government.
Facilities owned by, or under the custody or control of, the federal government are not
eligible for brownfields funding. EPA’s view is that this exclusion may not extend to:
a. privately-owned, Formerly Used Defense Sites (FUDS);
b. privately-owned, Formerly Utilized Sites Remedial Action Program (FUSRAP)
properties; and
c. other former federal properties that have been disposed of by the U.S. government.
Note that land held in trust by the U.S. government for an Indian tribe is not excluded from
funding eligibility. In addition, eligibility for brownfields funding does not alter a private
owner’s ability to cost recover from the federal government in cases where the previous federal
government owner remains liable for environmental damages.
1.5. Particular Classes of Sites Eligible for Brownfields Funding Only With Property-
Specific Determinations
The following special classes of property are generally ineligible brownfield sites unless EPA
makes a “Property-Specific Determination” and determines they are eligible for funding. These
include:
• properties subject to planned or ongoing removal actions under CERCLA;
• properties with facilities that have been issued or entered into a unilateral administrative
order, a court order, an administrative order on consent, or judicial consent decree or to
which a permit has been issued by the United States or an authorized state under RCRA,
FWPCA, TSCA, or SDWA;
64
• properties with facilities subject to RCRA corrective action (§3004(u) or §3008(h)) to which
a corrective action permit or order has been issued or modified to require the implementation
of corrective measures;
• properties that are land disposal units that have submitted a RCRA closure notification or that
are subject to closure requirements specified in a closure plan or permit;
• properties where there has been a release of PCBs and all or part of the property is subject to
TSCA remediation; and
• properties that include facilities receiving monies for cleanup from the LUST Trust Fund.
EPA’s approval of Property-Specific Determinations will be based on whether or not awarding a
grant will protect human health and the environment and either promote economic development
or enable the property to be used for parks, greenways, and similar recreational or nonprofit
purposes. Property-Specific Determination requests should be attached to your proposal and do
not count toward the 15-page limit. See the Brownfields FAQs at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf for more information
on how to prepare and submit a Property-Specific Determination.
1.5.1. Facilities Subject to CERCLA Removal Actions
Properties (including parcels of properties) where there are removal actions may not receive
funding, unless EPA makes a property-specific determination of funding eligibility.
EPA’s view is that a removal may be identified by the occurrence of one of the following events,
whichever occurs first in time: EPA issues an action memo; EPA issues an Engineering
Evaluation/Cost Analysis approval memo; EPA mobilizes onsite; EPA issues a notice of federal
interest to one or more potentially responsible parties (PRPs), which in emergencies may be
made verbally; or EPA takes other actions that are consistent with a removal.
Once a removal action is complete, a property is eligible for brownfields funding without having
to obtain a property-specific funding determination. EPA’s view is that, solely for the purposes
of eligibility to receive brownfields funding, a removal is complete when the actions specified in
the action memorandum are met, or when the contractor has demobilized and left the site (as
documented in the “pollution report” or POLREP). Applicants applying for brownfields funding
for sites at which removal actions are complete must include documentation of the action being
complete with their funding proposal.
Parcels of facilities not affected by removal action at the same property may apply for
brownfields funding and may be eligible for brownfields funding on a property-specific basis.
Property-specific funding decisions will be made in coordination with the on-scene coordinator
(OSC) to ensure that all removals and cleanup activities at the property are conducted in safe and
protective manners and to ensure that the OSC retains the ability to address all risks and
contamination.
Please note that if a federal brownfields-funded site assessment results in identifying the need for a
new removal action, the grantee may continue to expend brownfields funds on additional grant-
65
related activities. However, any additional expenditure of federal brownfields funds and any
additional site assessment activities should be conducted in coordination with the OSC for the site.
1.5.2. Facilities to which a permit has been issued by the United States or an authorized
state under the Resource Conservation and Recovery Act (RCRA), the Federal Water
Pollution Control Act, the Toxic Substances Control Act, or the Safe Drinking Water Act
Generally, in cases where a property or a portion of a property is permitted under the Resource
Conservation and Recovery Act, Section §1321 of the Clean Water Act, the Safe Drinking Water
Act, and/or the Toxic Substances and Control Act, the property, or portion of the property, may
not receive funding without a property-specific determination. Therefore, applicants should
review the following guidance regarding which types of permitted facilities may not receive
funding unless EPA makes a property-specific determination to provide funding. Applicants
should note that the exclusion for permitted facilities does not extend to facilities with National
Pollutant Discharge Elimination System (NPDES) permits issued under the authorities of the
Federal Water Pollution Control Act, but is limited to facilities issued permits under the
authorities of the Oil Pollution Act (i.e., §1321 of FWPCA).
In cases where one or more portions of a property are not eligible for funding, the applicant
should identify the specific permit and situation that causes the property to be excluded. In
addition, the applicant must include, within the proposal, documentation that federal brownfields
funding for the assessment or cleanup of the property will further the goals established for
property-specific funding determinations as described in the Brownfields FAQs at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf.
In some cases, a facility may not have a permit or order because it is not in compliance with
federal or state environmental laws requiring that it obtain a permit or the facility has failed to
notify EPA of its regulatory status. Such facilities are not eligible for brownfields funding. For
example, a RCRA treatment unit operator is required to obtain a permit and/or notify EPA of its
operation. An operator that fails to fulfill those obligations will likely not have a permit or order
as EPA will be unaware of its existence. Therefore, it is EPA’s view that such facilities are
ineligible to receive brownfields funds as a result of their failure to comply with a basic
regulatory requirement. Additional guidance on the eligibility of RCRA-permitted facilities,
including facilities under administrative or court orders, including corrective action orders, is
provided in the Brownfields FAQs at www.epa.gov/sites/production/files/2017-
07/documents/fy18-arc-faqs.pdf.
1.5.3. RCRA Sites
RCRA Facilities that are Eligible for Funding
EPA’s view is that the following types of RCRA facilities are eligible for brownfields funding
and do not require Property-Specific Determinations:
a. RCRA interim status facilities that are not subject to any administrative or judicial order or
consent decree;
b. RCRA interim status facilities that are subject to administrative or judicial orders that do not
include corrective action requirements or any other cleanup provisions (e.g., RCRA §3008(a)
orders without provisions requiring the owner/operator to address contamination); and
66
c. parcels of RCRA facilities that are not under the scope of a RCRA permit or administrative
or judicial order.
RCRA Facilities that Require Property-Specific Determinations
EPA’s view is that the following types of RCRA facilities may not receive funding without a
property-specific determination:
a. RCRA-permitted facilities;
b. RCRA interim status facilities with administrative orders requiring the facility to conduct
corrective action or otherwise address contamination, including facilities with orders issued
under the authorities of RCRA §3008(a), §3008(h), §3013, and §7003;
c. facilities under court order or under an administrative order on consent or judicial consent
decree under RCRA or CERCLA that require the facility to conduct corrective action or
otherwise address contamination at the facility; and
d. land disposal units that have notified EPA or an authorized state of their intent to close and
have closure requirements specified in closure plans or permits.
1.5.4. Land disposal units that have filed a closure notification under Subtitle C of RCRA
and to which closure requirements have been specified in a closure plan or permit
RCRA hazardous waste landfills that have submitted closure notifications, as required under 40
CFR 264.112(d) or 265.112(d), generally will not be funded. This may include permitted
facilities that have filed notification of closure and for which EPA and/or an authorized state is
proceeding with final closure requirements for the facility. For interim status facilities, this is
done through approval of a closure plan submitted with closure notification. For permitted
facilities, this is routinely done as a modification to the permit, requested by the facility at the
time of closure notification.
Please note that RCRA hazardous waste landfills that have submitted closure notifications may
be eligible for brownfields funding with a Property-Specific Determination.
1.5.5. Sites Contaminated with PCBs
The Brownfields Law excludes from funding eligibility portions of facilities where there has
been a release of PCBs that are subject to remediation under TSCA.
EPA’s view is that all portions of properties are eligible for brownfield site assessment grants,
except where EPA has initiated an involuntary action with any person to address PCB
contamination. Also, it is EPA’s view that all portions of properties are eligible for cleanup and
RLF grants, except where EPA has an ongoing action against a disposer to address PCB
contamination. However, any portion of a property where EPA has initiated an involuntary
action with any person to address PCB contamination and portions of properties where EPA has
an ongoing action against a disposer to address PCB contamination will require a Property-
Specific Determination to be eligible for brownfields funding, including:
• there is a release (or disposal) of any waste meeting the definition of “PCB remediation
waste” at 40 CFR 761.3; and
67
• at which EPA has initiated an involuntary action with any person to address the PCB
contamination. Such involuntary actions could include:
– enforcement action for illegal disposal;
– Regional Administrator’s order to characterize or remediate a spill or old disposal (40
CFR 761.50(b)(3));
– penalty for violation of TSCA remediation requirements;
– superfund removal action; or
– remediation required under RCRA §3004(u) or §3004(v).
PCBs may be remediated under any one of the following provisions under TSCA:
a. section 761.50(b)(3), the directed characterization, remediation, or disposal action;
b. section 761.61(a), the self-implementing provision;
c. an approval issued under §761.61(c), the risk-based provision;
d. section 761.61(b) to the level of PCB quantification (i.e., 1 ppm in soil);
e. an approval issued under §761.77, the coordinated approval provision;
f. section 761.79, the decontamination provision;
g. an existing EPA PCB Spill Cleanup Policy; or
h. any future policy or guidance addressing PCB spill cleanup or remediation specifically
addressing the remediation of PCBs at brownfield sites.
1.5.6. LUST Trust Fund Sites
The Brownfields Law requires a Property-Specific Determination for funding at those sites (or
portions of properties) for which assistance for response activity has been obtained under
Subtitle I of RCRA from the LUST Trust Fund. EPA’s view is that this provision may exclude
UST sites where money is being spent on actual assessment and/or cleanup of UST/petroleum
contamination.
However, in cases where the state agency has used LUST Trust Fund money for state program
oversight activities on an UST site, but has not expended LUST Trust Funds for specific
assessment and/or cleanup activities at the site, the site would be eligible for brownfields funding
and does not need a Property-Specific Determination. Such sites may receive brownfields
funding on a property-specific basis, if it is determined that brownfields funding will protect
human health and the environment and the funding will promote economic development or
enable the creation of, preservation of, or addition to greenspace (see guidance on documenting
eligibility for property-specific funding determinations provided in the Brownfields FAQs at
www.epa.gov/sites/production/files/2017-07/documents/fy18-arc-faqs.pdf).
Examples of sites receiving LUST Trust Fund monies that EPA would consider to be good
candidates to receive Brownfields Grants or loans include:
a. all UST fields pilots (50 pilots);
b. sites (or portions of properties) where an assessment was completed using LUST Trust Fund
monies and the state has determined that the site is a low-priority UST site, and therefore,
additional LUST Trust Fund money cannot be provided for the cleanup of petroleum
contamination, but the site still needs some cleanup and otherwise is a good candidate for
economic revitalization; and
68
c. sites (or portions of properties) where LUST Trust Fund money was spent for emergency
activities, but then the site was determined to be ineligible for further expenditures of LUST
Trust Funds, yet the site needs additional funding for continued assessment and/or cleanup
that will contribute to economic revitalization of the site.
1.6. Eligible Response Sites/Enforcement Issues
The Brownfields Law limits EPA’s enforcement and cost recovery authorities at “eligible
response sites” where a response action is conducted in compliance with a state response
program. Section 101(40) of CERCLA defines an “eligible response site” by referencing the
general definition of a “brownfield site” in §101(39)(A) and incorporating the exclusions at
§101(39)(B). The Law places further limitations on the types of properties included within the
definition of an eligible response site, but grants EPA the authority to include within the
definition of eligible response site, and on a property-specific basis, some properties that are
otherwise excluded from the definition. Such property-specific determinations must be based
upon a finding that limits an enforcement will be appropriate, after consultation with state
authorities, and will protect human health and the environment and promote economic
development or facilitate the creation of, preservation, or addition to a park, a greenway,
undeveloped property, recreational property, or other property used for nonprofit purposes.
While the criteria appear similar to those for determining eligibility for funding on a property-
specific basis, the determinations are distinct, will be made through a separate process, and may
not be based on the same information requested in this document for property-specific funding
determinations.
Also, please note that in providing funding for brownfield sites, and given that a limited amount
of funding is available for Brownfields Grants, EPA’s goal is to not provide brownfields funding
to sites where EPA has a planned or ongoing enforcement action. While EPA does not intend
that the existence of a planned or ongoing enforcement action will necessarily disqualify a site
from receipt of brownfields funding, EPA does believe it is necessary that EPA be aware of the
existence of any such action in making funding decisions. As a result, EPA will conduct an
investigation to evaluate whether a site is, or will be, subject to an enforcement action under
CERCLA or other federal environmental statutes. EPA is requesting that applicants identify
ongoing or anticipated environmental enforcement actions related to the brownfield site for
which funding is sought.
69
Appendix 2
www.grants.gov Proposal Submission Instructions
A. Requirement to Submit Through www.grants.gov and Limited Exception Procedures
Applicants, except as noted below, must apply electronically through www.grants.gov under this
funding opportunity based on the www.grants.gov instructions in this announcement. If an
applicant does not have the technical capability to apply electronically through www.grants.gov
because of limited or no Internet access which prevents them from being able to upload the
required application materials to www.grants.gov, the applicant must contact
OGDWaivers@epa.gov or the address listed below in writing (e.g., by hard copy, email) at least
15 calendar days prior to the submission deadline under this announcement to request approval
to submit their application materials through an alternate method.
Mailing Address:
OGD Waivers
c/o Amanda Schulz
USEPA Headquarters
William Jefferson Clinton Building
1200 Pennsylvania Ave., N.W.
Mail Code: 3903R
Washington, DC 20460
Courier Address:
OGD Waivers
c/o Amanda Schulz
Ronald Reagan Building
1300 Pennsylvania Ave., N.W.
Rm # 51209
Washington, DC 20004
In the request, the applicant must include the following information:
Funding Opportunity Number (FON)
Organization Name and DUNS
Organization’s Contact Information (email address and phone number)
Explanation of how they lack the technical capability to apply electronically through
www.grants.gov because of 1) limited Internet access or 2) no Internet access which
prevents them from being able to upload the required application materials through
www.grants.gov.
EPA will only consider alternate submission exception requests based on the two reasons stated
above and will timely respond to the request -- all other requests will be denied. If an alternate
submission method is approved, the applicant will receive documentation of this approval and
further instructions on how to apply under this announcement. Applicants will be required to
submit the documentation of approval with any initial application submitted under the alternative
method. In addition, any submittal through an alternative method must comply with all
applicable requirements and deadlines in the announcement including the submission deadline
and requirements regarding proposal content and page limits (although the documentation of
approval of an alternate submission method will not count against any page limits).
If an exception is granted, it is valid for submissions to EPA for the remainder of the entire
calendar year in which the exception was approved and can be used to justify alternative
submission methods for application submissions made through December 31st of the calendar
year in which the exception was approved (e.g., if the exception was approved on March 1, 2017,
70
it is valid for any competitive or non-competitive application submission to EPA through
December 31, 2017). Applicants need only request an exception once in a calendar year and all
exceptions will expire on December 31st of that calendar year. Applicants must request a new
exception from required electronic submission through www.grants.gov for submissions for any
succeeding calendar year. For example, if there is a competitive opportunity issued on December
1, 2017, with a submission deadline of January 15, 2018, the applicant would need a new
exception to submit through alternative methods beginning January 1, 2018.
Please note that the process described in this section is only for requesting alternate submission
methods. All other inquiries about this announcement must be directed to the Regional
Brownfields Contact listed in Section VII. Queries or requests submitted to the email address
identified above for any reason other than to request an alternate submission method will not be
acknowledged or answered.
B. Submission Instructions
The electronic submission of your application must be made by the Authorized Organization
Representative (AOR) of your institution who is registered with www.grants.gov and is
authorized to sign applications for federal assistance. For more information on the registration
requirements that must be completed in order to submit an application through www.grants.gov,
go to www.grants.gov and click on “Applicants” on the top of the page and then go to the “Get
Registered” link on the page. If your organization is not currently registered with
www.grants.gov, please encourage your office to designate an AOR and ask that individual to
begin the registration process as soon as possible. Please note that the registration process also
requires that your organization have a DUNS number and a current registration with the System
for Award Management (SAM) and the process of obtaining both could take a month or more.
Applicants must ensure that all registration requirements are met in order to apply for this
opportunity through www.grants.gov and should ensure that all such requirements have been met
well in advance of the submission deadline. Registration on www.grants.gov, www.sam.gov, and
DUNS number assignment is FREE.
Applicants need to ensure that the AOR who submits the application through www.grants.gov
and whose DUNS number is listed on the application is an AOR for the applicant listed on the
application. Additionally, the DUNS number listed on the application must be registered to the
applicant organization’s SAM account. If not, the application may be deemed ineligible.
To begin the application process under this grant announcement, go to www.grants.gov and click
on “Applicants” on the top of the page and then “Apply for Grants” from the dropdown menu
and then follow the instructions accordingly. Please note: to apply through www.grants.gov, you
must use Adobe Reader software and download the compatible Adobe Reader version. For more
information about Adobe Reader, to verify compatibility, or to download the free software,
please visit https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html.
You may also be able to access the application package for this announcement by searching for
the opportunity on www.grants.gov. Go to www.grants.gov and then click on “Search Grants” at
the top of the page and enter the Funding Opportunity Number, EPA-OLEM-OBLR-17-07, or
71
the CFDA number that applies to the announcement (CFDA 66.818), in the appropriate field and
click the “Search” button.
Please note that www.grants.gov is strongly encouraging users to sign up for and use their
“Workspace” feature when applying for opportunities. www.grants.gov will be phasing out the
“legacy” application process, so EPA recommends that all applicants begin using “Workspace”
as soon as possible so they are prepared when the “legacy” application process is no longer
available.
Proposal Submission Deadline: Your organization’s AOR must successfully submit your
complete application package electronically to EPA through www.grants.gov no later than
November 16, 2017, 11:59 p.m. ET. Please allow for enough time to successfully submit your
application process and allow for unexpected errors that may require you to resubmit.
Please submit all of the application materials described below using the www.grants.gov
application package that you downloaded using the instructions above. For additional
instructions on completing and submitting the electronic application package, click on the “Show
Instructions” tab that is accessible within the application package itself.
Applications submitted through www.grants.gov will be time and date stamped electronically. If
you have not received a confirmation of receipt from EPA (not from www.grants.gov) within 30
days of the proposal deadline, please contact Jerry Minor-Gordon at minor-
gordon.jerry@epa.gov. Failure to do so may result in your proposal not being reviewed.
Application Materials
The following forms and documents are mandatory under this announcement.
1. Application for Federal Assistance (Standard Form 424)
2. Cover Letter and Narrative Proposal. See Section IV.C. for details on the content of
the Cover Letter and Narrative Proposal, and the associated page limits – use Project
Narrative Attachment form to submit the documents.
3. Required Attachments. See Section IV.C. of this announcement – use Other
Attachments form to submit the documents.
C. Technical Issues with Submission
1. Once the application package has been completed, the “Submit” button should be enabled. If
the “Submit” button is not active, please call www.grants.gov for assistance at 1-800-518-
4726. Applicants who are outside the U.S. at the time of submittal and are not able to access
the toll-free number may reach a www.grants.gov representative by calling 606-545-5035.
Applicants should save the completed application package with two different file names
before providing it to the AOR to avoid having to re-create the package should submission
problems be experienced or a revised application needs to be submitted.
2. Submitting the application. The application package must be transferred to www.grants.gov
72
by an AOR. The AOR should close all other software before attempting to submit the
application package. Click the “submit” button of the application package. Your Internet
browser will launch and a sign-in page will appear. Note: Minor problems are not
uncommon with transfers to www.grants.gov. It is essential to allow sufficient time to
ensure that your application is submitted to www.grants.gov BEFORE the due date
identified in Section IV. of this solicitation. The www.grants.gov support desk operates 24
hours a day, seven days a week, except federal holidays.
A successful transfer will end with an on-screen acknowledgment. For documentation
purposes, print or screen capture this acknowledgment. If a submission problem occurs,
reboot the computer – turning the power off may be necessary – and re-attempt the
submission.
Note: www.grants.gov issues a “case number” upon a request for assistance.
3. Transmission difficulties. If transmission difficulties that result in a late transmission, no
transmission, or rejection of the transmitted application are experienced, and following the
above instructions do not resolve the problem so that the application is submitted to
www.grants.gov by the deadline date and time, follow the guidance below. The Agency will
make a decision concerning acceptance of each late submission on a case-by-case basis. All
emails, as described below, are to be sent to Jerry Minor-Gordon (minor-
gordon.jerry@epa.gov) with the FON in the subject line. If you are unable to email, contact
Jerry Minor-Gordon (202-566-1817). Be aware that EPA will only consider accepting
applications that were unable to transmit due to www.grants.gov or relevant www.sam.gov
system issues or for unforeseen exigent circumstances, such as extreme weather interfering
with Internet access. Failure of an applicant to submit timely because they did not properly or
timely register in www.sam.gov or www.grants.gov is not an acceptable reason to justify
acceptance of a late submittal.
(a) If you are experiencing problems resulting in an inability to upload the application to
www.grants.gov, it is essential to call www.grants.gov for assistance at 1-800-518-4726
before the application deadline. Applicants who are outside the U.S. at the time of
submittal and are not able to access the toll-free number may reach a www.grants.gov
representative by calling 606-545-5035. Be sure to obtain a case number from
www.grants.gov. If the problems stem from unforeseen exigent circumstances unrelated
to www.grants.gov, such as extreme weather interfering with Internet access, contact
Jerry Minor-Gordon (202-566-1817).
(b) Unsuccessful transfer of the application package: If a successful transfer of the
application cannot be accomplished even with assistance from www.grants.gov due to
electronic submission system issues or unforeseen exigent circumstances, send an email
message to minor-gordon.jerry@epa.gov prior to the application deadline. The email
message must document the problem and include the www.grants.gov case number as
well as the entire application in PDF format as an attachment.
(c) www.grants.gov rejection of the application package: If a notification is received from
www.grants.gov stating that the application has been rejected for reasons other than late
73
submittal promptly send an email to Jerry Minor-Gordon (minor-gordon.jerry@epa.gov)
with the FON in the subject line within one business day of the closing date of this
solicitation. The email should include any materials provided by www.grants.gov and
attach the entire application in PDF format.
Please note that successful submission through www.grants.gov or via email does not necessarily
mean your application is eligible for award.
74
Appendix 3 - Regional Priorities Form/Other Factors Checklist
Name of Applicant: _________________________________________________________
Regional Priorities Other Factor
If your proposed Brownfields Assessment project will advance the regional priority(ies)
identified in Section I.F., please indicate the regional priority(ies) and the page number(s) for
where the information can be found within your 15-page narrative. Only address the priority(ies)
for the region in which your project is located. EPA will verify these disclosures prior to
selection and may consider this information during the selection process. If this information is
not clearly discussed in your narrative proposal, it will not be considered during the selection
process.
Regional Priority Title(s):
_____________________________________________________________________________
_____________________________________________________________________________
Page Number(s): _______________________________________________________________
Assessment Other Factors Checklist
Please identify (with an x) which, if any, of the below items apply to your community or your
project as described in your proposal. To be considered for an Other Factor, you must include the
page number where each applicable factor is discussed in your proposal. EPA will verify these
disclosures prior to selection and may consider this information during the selection process. If
this information is not clearly discussed in your narrative proposal or in any other attachments, it
will not be considered during the selection process.
Other Factor Page #
None of the Other Factors are applicable.
Community population is 10,000 or less.
The jurisdiction is located within, or includes, a county experiencing “persistent
poverty” where 20% or more of its population has lived in poverty over the past
30 years, as measured by the 1990 and 2000 decennial censuses and the most
recent Small Area Income and Poverty Estimates.
Applicant is, or will assist, a federally recognized Indian tribe or United States
territory.
Target brownfield sites are impacted by mine-scarred land.
Project is primarily focusing on Phase II assessments.
Applicant demonstrates firm leveraging commitments for facilitating brownfield
project completion, by identifying in the proposal the amounts and contributors
of resources and including documentation that ties directly to the project.
Applicant is a recipient of an EPA Brownfields Area-Wide Planning grant.