Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 44615 

1The term ‘‘state’’ is defined in this document as 

defined in CERCLA section 101(27). 

2The term ‘‘Indian tribe’’ is defined in this 

document as it is defined in CERCLA section 

101(36). Intertribal consortia, as defined in the 

Federal Register Notice at 67 FR 67181, November 

4, 2002, are also eligible for funding under CERCLA 

section 128(a). 

3Categorical grants are issued by the U.S. 

Congress to fund state and local governments for 

narrowly defined purposes. 

4The Agency may waive any provision of this 

guidance that is not required by statute, regulation, 

Executive Order or overriding Agency policies. 

Pollution Prevention (OCSPP) and is 

structured to provide scientific advice, 

information and recommendations to 

the EPA Administrator on pesticides 

and pesticide-related issues as to the 

impact of regulatory actions on health 

and the environment. FIFRA SAP is a 

Federal advisory committee established 

in 1975 pursuant to FIFRA and operates 

in accordance with requirements of the 

Federal Advisory Committee Act (5 

U.S.C. Appendix). FIFRA SAP is 

composed of a permanent panel 

consisting of seven members who are 

appointed by the EPA Administrator 

from nominees provided by the National 

Institutes of Health and the National 

Science Foundation. The FIFRA SAP is 

assisted in their reviews by ad hoc 

participation from the Science Review 

Board (SRB). As a scientific peer review 

mechanism, FIFRA SAP provides 

comments, evaluations, and 

recommendations to improve the 

effectiveness and quality of analyses 

made by Agency scientists. The FIFRA 

SAP strives to reach consensus 

however, is not required to reach 

consensus in its recommendations to 

the Agency. 

B. Public Meeting 

During the meeting scheduled for 

October 2, 2017, the FIFRA SAP will 

review and consider the Charge 

Questions for the Panel’s October 24–27, 

2017 Meeting on Physiologically Based 

Pharmacokinetic (PBPK) Modeling. The 

SAP will receive a short background 

briefing including the EPA’s history and 

current position on the use of PBPK 

modeling. In addition, the panel 

members will have the opportunity to 

comment on the scope and clarity of the 

draft charge questions. Subsequent to 

this meeting, final charge questions will 

be provided for the FIFRA SAP’s 

deliberation on the white papers and 

supplemental information during the inperson meeting to be held on October 

24–27, 2017. 

C. FIFRA SAP Documents and Meeting 

Minutes 

EPA’s background documents, charge 

questions to the FIFRA SAP, and the 

meeting agenda will be available before 

or on September 13, 2017. In addition, 

the Agency may provide additional 

background documents as additional 

materials become available. You may 

obtain electronic copies of most meeting 

documents, including FIFRA SAP 

composition (i.e., members and ad hoc 

members for this meeting) and the 

meeting agenda, at http://

www.regulations.gov and the FIFRA 

SAP Web site at http://www.epa.gov/ 

sap. 

FIFRA SAP will prepare meeting 

minutes approximately 90 calendar days 

after the meeting. The meeting minutes 

will be posted on the FIFRA SAP Web 

site: http://www.epa.gov/sap and may 

be accessed in the docket at http://

www.regulations.gov. 

Authority: 7 U.S.C. 136 et seq.; 21 U.S.C. 

301 et seq. 

Dated: September 11, 2017. 

Inza Graves, 

Acting, Director, Office of Science 

Coordination and Policy. 

[FR Doc. 2017–20430 Filed 9–22–17; 8:45 am] 

BILLING CODE 6560–50–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

[FRL–9967–74–OLEM] 

Comprehensive Environmental 

Response, Compensation and Liability 

Act (CERCLA) or Superfund, Section 

128(a); Notice of Grant Funding 

Guidance for State and Tribal 

Response Programs for FY2018 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Notice. 

SUMMARY: The Environmental Protection 

Agency (EPA) will accept requests, from 

October 15, 2017 through December 15, 

2017, for grants to establish and 

enhance State and Tribal Response 

Programs. This notice provides 

guidance on eligibility for funding, use 

of funding, grant mechanisms and 

process for awarding funding, the 

allocation system for distribution of 

funding, and terms and reporting under 

these grants. EPA has consulted with 

state and tribal officials in developing 

this guidance. 

The primary goal of this funding is to 

ensure that state and tribal response 

programs include, or are taking 

reasonable steps to include, certain 

elements of a response program and 

establishing a public record. Another 

goal is to provide funding for other 

activities that increase the number of 

response actions conducted or overseen 

by a state or tribal response program. 

This funding is not intended to supplant 

current state or tribal funding for their 

response programs. Instead, it is to 

supplement their funding to increase 

their response capacity. 

For fiscal year 2018, EPA will 

consider funding requests up to a 

maximum of $1.0 million per state or 

tribe. Subject to the availability of 

funds, EPA regional personnel will be 

available to provide technical assistance 

to states and tribes as they apply for and 

carry out these grants. 

DATES: This action is applicable as of 

October 15, 2017. EPA expects to make 

non-competitive grant awards to states 

and tribes which apply during fiscal 

year 2018. 

ADDRESSES: Mailing addresses for EPA 

Regional Offices and EPA Headquarters 

can be found at www.epa.gov/ 

brownfields and at the end of this 

Notice. Funding requests may be 

submitted electronically to the EPA 

Regional Offices. 

FOR FURTHER INFORMATION CONTACT: 

EPA’s Office of Land and Emergency 

Management, Office of Brownfields and 

Land Revitalization, (202) 566–2745 or 

the applicable EPA Regional Office 

listed at the end this Notice. 

SUPPLEMENTARY INFORMATION: 

I. General Information 

Section 128(a) of the Comprehensive 

Environmental Response, 

Compensation, and Liability Act 

(CERCLA), as amended, authorizes a 

noncompetitive $50 million grant 

program to establish and enhance state 1

and tribal 2 response programs. CERCLA 

section 128(a) response program grants 

are funded with categorical 3 State and 

Tribal Assistance Grant (STAG) 

appropriations. Section 128(a) 

cooperative agreements are awarded and 

administered by the EPA regional 

offices. Generally, these response 

programs address the assessment, 

cleanup, and redevelopment of 

brownfields sites and other sites with 

actual or perceived contamination. This 

document provides guidance that will 

enable states and tribes to apply for and 

use Fiscal Year 2018 section 128(a) 

funds.4

The Catalogue of Federal Domestic 

Assistance entry for the section 128(a) 

State and Tribal Response Program 

cooperative agreements is 66.817. This 

grant program is eligible to be included 

in state and tribal Performance 

Partnership Grants under 40 CFR part 

35 Subparts A and B, with the exception 

of funds used to capitalize a revolving 

loan fund for brownfield remediation 


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5Section 128(a) was added to CERCLA in 2002 by 

the Small Business Liability Relief and Brownfields 

Revitalization Act (Brownfield Amendments). 

6States or tribes that are parties to VRP MOAs 

and that maintain and make available a public 

record are automatically eligible for section 128(a) 

funding. 

under section 104(k)(3); or purchase 

environmental insurance or developing 

a risk sharing pool, an indemnity pool, 

or insurance mechanism to provide 

financing for response actions under a 

State or Tribal response program. 

Requests for funding will be accepted 

from October 15, 2017 through 

December 15, 2017. Requests EPA 

receives after December 15, 2017 will 

not be considered for FY2018 funding. 

Information that must be submitted with 

the funding request is listed in Section 

IX of this guidance. States or tribes that 

do not submit the request in the 

appropriate manner may forfeit their 

ability to receive funds. First time 

requestors are strongly encouraged to 

contact their Regional EPA Brownfields 

contacts, listed at the end of this 

guidance, prior to submitting their 

funding request. EPA will consider 

funding requests up to a maximum of 

$1.0 million per state or tribe for 

FY2018. 

Requests submitted by the December 

15, 2017 request deadline are 

preliminary; final cooperative 

agreement work plans and budgets will 

be negotiated with the regional offices 

once final funding allocation 

determinations are made. As in previous 

years, EPA will place special emphasis 

on reviewing a cooperative agreement 

recipient’s use of prior section 128(a) 

funding in making allocation decisions 

and unexpended balances are subject to 

40 CFR 35.118 and 40 CFR 35.518 to the 

extent consistent with this guidance. 

Also, EPA will prioritize funding for 

recipients establishing their response 

programs. 

States and tribes requesting funds are 

required to provide a Dun and 

Bradstreet Data Universal Numbering 

System (DUNS) number with their 

cooperative agreement’s final package. 

For more information, please go to 

www.grants.gov. 

II. Background 

State and tribal response programs 

oversee assessment and cleanup 

activities at brownfield sites across the 

country. The depth and breadth of these 

programs vary. Some focus on CERCLA 

related activities, while others are multifaceted, addressing sites regulated by 

both CERCLA and the Resource 

Conservation and Recovery Act (RCRA). 

Many states also offer accompanying 

financial incentive programs to spur 

cleanup and redevelopment. In enacting 

CERCLA section 128(a),5 Congress 

recognized the value of state and tribal 

response programs in cleaning up and 

redeveloping brownfield sites. Section 

128(a) strengthens EPA’s partnerships 

with states and tribes, and recognizes 

the response programs’ critical role in 

overseeing cleanups. 

This funding is intended for those 

states and tribes that have the required 

management and administrative 

capacity within their government to 

administer a federal grant. The primary 

goal of this funding is to ensure that 

state and tribal response programs 

include, or are taking reasonable steps 

to include, certain elements of an 

environmental response program and 

that the program establishes and 

maintains a public record of sites 

addressed. 

Subject to the availability of funds, 

EPA regional personnel will provide 

technical assistance to states and tribes 

as they apply for and carry out section 

128(a) cooperative agreements. 

III. Eligibility for Funding 

To be eligible for funding under 

CERCLA section 128(a), a state or tribe 

must: 

1. Demonstrate that its response 

program includes, or is taking 

reasonable steps to include, the four 

elements of a response program 

described in Section V of this guidance; 

or be a party to a voluntary response 

program Memorandum of Agreement 

(VRP MOA) 6 with EPA; AND 

2. Maintain and make available to the 

public a record of sites at which 

response actions have been completed 

in the previous year and are planned to 

be addressed in the upcoming year (see 

CERCLA section 128(b)(1)(C)). 

IV. Matching Funds/Cost-Share 

States and tribes are not required to 

provide matching funds for cooperative 

agreements awarded under section 

128(a), with the exception of section 

128(a) funds a state or tribe uses to 

capitalize a Brownfields Revolving Loan 

Fund (RLF), for which there is a 20% 

cost share requirement. Section 128(a) 

funds uses to capitalize a RLF must be 

operated in accordance with CERCLA 

section 104(k)(3). 

V. The Four Elements—Section 

128(a)(2) 

Section 128(a) recipients that do not 

have a VRP MOA with EPA must 

demonstrate that their response program 

includes, or is taking reasonable steps to 

include, the four elements described 

below. Achievement of the four 

elements should be viewed as a priority. 

Section 128(a) authorizes funding for 

activities necessary to establish and 

enhance the four elements, and to 

establish and maintain the public record 

requirement. 

The four elements of a response 

program are described below: 

1. Timely survey and inventory of 

brownfield sites in state or tribal land. 

The goal for this element is to enable the 

state or tribe to establish or enhance a 

system or process that will provide a 

reasonable estimate of the number, 

likely locations, and the general 

characteristics of brownfields sites in 

their state or tribal lands. 

EPA recognizes the varied scope of 

state and tribal response programs and 

will not require states and tribes to 

develop a ‘‘list’’ of brownfield sites. 

However, at a minimum, the state or 

tribe should develop and/or maintain a 

system or process that can provide a 

reasonable estimate of the number, 

likely location, and general 

characteristics of brownfield sites 

within their state or tribal lands. 

Inventories should evolve to a 

prioritization of sites based on 

community needs, planning priorities, 

and protection of human health and the 

environment. Inventories should be 

developed in direct coordination with 

communities, and particular attention 

should focus on communities with 

limited capacity to compete for and 

manage a competitive brownfield 

assessment, revolving loan, or cleanup 

cooperative agreement. 

Given funding limitations, EPA will 

negotiate work plans with states and 

tribes to achieve this goal efficiently and 

effectively, and within a realistic time 

frame. For example, many of EPA’s 

Brownfields Assessment cooperative 

agreement recipients conduct 

inventories of brownfields sites in their 

communities or jurisdictions. EPA 

encourages states and tribes to work 

with these cooperative agreement 

recipients to obtain the information that 

they have gathered and include it in 

their survey and inventory. 

2. Oversight and enforcement 

authorities or other mechanisms and 

resources. The goal for this element is 

to have state and tribal response 

programs that include oversight and 

enforcement authorities or other 

mechanisms, and resources to ensure 

that: 

a. A response action will protect 

human health and the environment, and 

be conducted in accordance with 

applicable laws; and 

b. The state or tribe will complete the 

necessary response activities if the 

person conducting the response fails to 


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7States and tribes establishing this element may 

find useful information on public participation on 

EPA’s community involvement Web site at https:// 

www.epa.gov/superfund/superfund-communityinvolvement. 

8For further information on data quality 

requirements for latitude and longitude 

information, please see EPA’s data standards Web 

site available at https://www.epa.gov/sites/ 

production/files/2015-06/documents/ 

latlongstandard-v2a_10022014.pdf. 

9States and tribes may find useful information on 

institutional controls on the EPA’s institutional 

controls Web site at http://www.epa.gov/superfund/ 

policy/ic/index.htm. 

complete them (this includes operation 

and maintenance and/or long-term 

monitoring activities). 

3. Mechanisms and resources to 

provide meaningful opportunities for 

public participation.7 The goal for this 

element is to have states and tribes 

include in their response program 

mechanisms and resources for 

meaningful public participation, at the 

local level, including, at a minimum: 

a. Public access to documents and 

related materials that a state, tribe, or 

party conducting the cleanup is relying 

on or developing to make cleanup 

decisions or conduct site activities; 

b. Prior notice and opportunity for 

meaningful public comment on cleanup 

plans and site activities, including the 

input into the prioritization of sites; and 

c. A mechanism by which a person 

who is, or may be, affected by a release 

or threatened release of a hazardous 

substance, pollutant, or contaminant at 

a brownfield site—located in the 

community in which the person works 

or resides—may request that a site 

assessment be conducted. The 

appropriate state or tribal official must 

consider this request and appropriately 

respond. 

4. Mechanisms for approval of 

cleanup plans, and verification and 

certification that cleanup is complete. 

The goal for this element is to have 

states and tribes include in their 

response program mechanisms to 

approve cleanup plans and to verify that 

response actions are complete, 

including a requirement for certification 

or similar documentation from the state, 

the tribe, or a licensed site professional 

that the response action is complete. 

Written approval by a state or tribal 

response program official of a proposed 

cleanup plan is an example of an 

approval mechanism. 

VI. Public Record Requirement 

In order to be eligible for section 

128(a) funding, states and tribes 

(including those with MOAs) must 

establish and maintain a public record 

system, as described below, to enable 

meaningful public participation (refer to 

Section V.3 above). Specifically, under 

section 128(b)(1)(C), states and tribes 

must: 

1. Maintain and update, at least 

annually or more often as appropriate, 

a public record that includes the name 

and location of sites at which response 

actions have been completed during the 

previous year; 

2. Maintain and update, at least 

annually or more often as appropriate, 

a public record that includes the name 

and location of sites at which response 

actions are planned in the next year; 

and 

3. Identify in the public record 

whether or not the site, upon 

completion of the response action, will 

be suitable for unrestricted use. If not, 

the public record must identify the 

institutional controls relied on in the 

remedy and include relevant 

information concerning the entity 

responsible for oversight, monitoring, 

and/or maintenance of the institutional 

and engineering controls; and how the 

responsible entity is implementing 

those activities (see Section VI.C). 

Section 128(a) funds may be used to 

maintain and make available a public 

record system that meets the 

requirements discussed above. 

A. Distinguishing the ‘‘Survey and 

Inventory’’ Element From the ‘‘Public 

Record’’ 

It is important to note that the public 

record requirement differs from the 

‘‘timely survey and inventory’’ element 

described in the ‘‘Four Elements’’ 

section above. The public record 

addresses sites at which response 

actions have been completed in the 

previous year or are planned in the 

upcoming year. In contrast, the ‘‘timely 

survey and inventory’’ element, 

described above, refers to identifying 

brownfield sites regardless of planned 

or completed actions. 

B. Making the Public Record Easily 

Accessible 

EPA’s goal is to enable states and 

tribes to make the public record and 

other information, such as information 

from the ‘‘survey and inventory’’ 

element, easily accessible. For this 

reason, EPA will allow states and tribes 

to use section 128(a) funding to make 

such information available to the public 

via the internet or other avenues. For 

example, the Agency would support 

funding state and tribal efforts to 

include detailed location information in 

the public record such as the street 

address, and latitude and longitude 

information for each site.8 States and 

tribes should ensure that all affected 

communities have appropriate access to 

the public record by making it available 

on-line, in print at libraries, or at other 

community gathering places. 

In an effort to reduce cooperative 

agreement reporting requirements and 

increase public access to the public 

record, EPA encourages states and tribes 

to place their public record on the 

internet. If a state or tribe places the 

public record on the internet, maintains 

the substantive requirements of the 

public record, and provides EPA with 

the link to that site, EPA will, for 

purposes of cooperative agreement 

funding only, deem the public record 

reporting requirement met. 

C. Long-Term Maintenance of the Public 

Record 

EPA encourages states and tribes to 

maintain public record information, 

including data on institutional controls, 

on a long-term basis (more than one 

year) for sites at which a response action 

has been completed. Subject to EPA 

regional office approval, states or tribes 

may include development and operation 

of systems that ensure long-term 

maintenance of the public record, 

including information on institutional 

controls (such as ensuring the entity 

responsible for oversight, monitoring, 

and/or maintenance of the institutional 

and engineering controls is 

implementing those activities) in their 

work plans.9

VII. Use of Funding 

A. Overview 

Section 128(a)(1)(B) describes the 

eligible uses of cooperative agreement 

funds by states and tribes. In general, a 

state or tribe may use funding to 

‘‘establish or enhance’’ its response 

program. Specifically, a state or tribe 

may use cooperative agreement funds to 

build response programs that include 

the four elements outline in section 

128(a)(2). Eligible activities include, but 

are not limited to, the following: 

• Developing legislation, regulations, 

procedures, ordinances, guidance, etc. 

that establish or enhance the 

administrative and legal structure of a 

response program; 

• Establishing and maintaining the 

required public record described in 

Section VI of this guidance; 

• Operation, maintenance and longterm monitoring of institutional controls 

and engineering controls; 

• Conducting site-specific activities, 

such as assessment or cleanup, provided 

such activities establish and/or enhance 

the response program and are tied to the 


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10EPA expects states and tribes will familiarize 

themselves with US EPA’s brownfields technical 

assistance opportunities for brownfields 

communities. For more information on technical 

assistance opportunities, please visit: https://

www.epa.gov/brownfields. 

11For more information about EPA’s Brownfields 

Environmental Workforce Development and Job 

Training Program, please visit: https://

www.epa.gov/brownfields/types-brownfields-grantfunding. 

12An example of prioritizing sites based on need 

can be focusing on environmental justice. EPA 

defines environmental justice as the fair treatment 

and meaningful involvement of all people 

regardless of race, color, national origin, or income 

with respect to the development, implementation, 

and enforcement of environmental laws, 

regulations, and policies. EPA has this goal for all 

communities and persons across the nation. 

Environmental justice will be achieved when 

everyone enjoys the same degree of protection from 

environmental and health hazards and equal access 

to the decision-making process to have a healthy 

environment in which to live, learn, and work. For 

more information, please visit www.epa.gov/ 

environmentaljustice. 

four elements. In addition to the 

requirement under CERCLA section 

128(a)(2)(C)(ii) to provide for public 

comment on cleanup plans and site 

activities, EPA strongly encourages 

states and tribes to seek public input 

regarding the priority of sites to be 

addressed-especially from local 

communities with health risks related to 

exposure to hazardous waste or other 

public health concerns, those in 

economically disadvantaged or remote 

areas, and those with limited experience 

working with government agencies. EPA 

will not provide section 128(a) funds 

solely for assessment or cleanup of 

specific brownfield sites; site-specific 

activities must be part of an overall 

section 128(a) work plan that includes 

funding for other activities that establish 

or enhance the four elements; 

• Capitalizing a revolving loan fund 

(RLF) for brownfields cleanup as 

authorized under CERCLA section 

104(k)(3). These RLFs are subject to the 

same statutory requirements and 

cooperative agreement terms and 

conditions applicable to RLFs awarded 

under section 104(k)(3). Requirements 

include a 20 percent match (in the form 

of money, labor, material, or services 

from a non-federal source) on the 

amount of section 128(a) funds used for 

the RLF, a prohibition on using EPA 

cooperative agreement funds for 

administrative costs relating to the RLF, 

and a prohibition on using RLF loans or 

subgrants for response costs at a site for 

which the recipient may be potentially 

liable under section 107 of CERCLA. 

Other prohibitions relevant to CERCLA 

section 104(k)(4) also apply; and 

• Purchasing environmental 

insurance or developing a risk-sharing 

pool, indemnity pool, or insurance 

mechanism to provide financing for 

response actions under a state or tribal 

response program. 

B. Uses Related to Establishing a State 

or Tribal Response Program 

Under CERCLA section 128(a), 

establish includes activities necessary to 

build the foundation for the four 

elements of a state or tribal response 

program and the public record 

requirement. For example, a state or 

tribal response program may use section 

128(a) funds to develop regulations, 

ordinances, procedures, guidance, and a 

public record. 

States and tribes also need to comply 

with Grants Policy Issuance (GPI) 17–01 

Sustainability in EPA Cooperative 

Agreements. 

C. Uses Related to Enhancing a State or 

Tribal Response Program 

Under CERCLA section 128(a), 

enhancing a state or tribal response 

program includes related to activities 

that add to or improve a state or tribal 

response program or increase the 

number of sites at which response 

actions are conducted under such 

programs. 

The exact enhancement activities that 

may be allowable depend upon the 

work plan negotiated between the EPA 

regional office and the state or tribe. For 

example, regional offices and states or 

tribes may agree that section 128(a) 

funds may be used for outreach and 

training directly related to increasing 

awareness of its response program, and 

improving the skills of program staff. It 

may also include developing better 

coordination and understanding of other 

state response programs, (e.g., RCRA or 

Underground Storage Tanks (USTs)). As 

another example, states and tribal 

response program enhancement 

activities can also include outreach to 

local communities to increase 

awareness about brownfields, building a 

sustainable brownfields program, 

federal brownfields technical assistance 

opportunities 10 (e.g., holding 

workshops to assist communities to 

apply for federal Brownfields grant 

funding), and knowledge regarding the 

importance of monitoring engineering 

and institutional controls. Additionally, 

enhancement activities can include 

facilitating the participation of the state 

and local agencies (e.g., transportation, 

water, other infrastructure) in 

implementation of brownfields projects. 

States and tribes can also help local 

communities collaborate with local 

workforce development entities or 

Brownfields Environmental Workforce 

Development Job training recipients on 

the assessment and cleanup of 

brownfield sites.11 States and tribes also 

need to comply with Grants Policy 

Issuance (GPI) 17–01 Sustainability in 

EPA Cooperative Agreements. Other 

enhancement uses may be allowable as 

well. 

D. Uses Related to Site-Specific 

Activities 

1. Eligible Uses of Funds for SiteSpecific Activities 

Site-specific assessment and cleanup 

activities should establish and/or 

enhance the response program and be 

tied to the four elements. Site-specific 

assessments and cleanups can be both 

eligible and allowable if the activities 

are included in the work plan 

negotiated between the EPA regional 

office and the state or tribe, but 

activities must comply with all 

applicable laws and are subject to the 

following restrictions: 

a. Section 128(a) funds can only be 

used for assessments or cleanups at sites 

that meet the definition of a brownfields 

site at CERCLA section 101(39). EPA 

encourages states and tribes to use sitespecific funding to perform assessment 

(e.g., phase I, phase II, supplemental 

assessments and cleanup planning) and 

cleanup activities that will expedite the 

reuse and redevelopment of sites, and 

prioritize sites based on need.12

Furthermore, states and tribes that 

perform site-specific activities should 

plan to directly engage with and involve 

affected communities. For example, a 

Community Relations Plan (CRP) could 

be developed to provide reasonable 

notice about a planned cleanup, as well 

as opportunities for the public to 

comment on the cleanup. States and 

tribes should work towards securing 

additional funding for site-specific 

activities by leveraging resources from 

other sources such as businesses, nonprofit organizations, education and 

training providers, and/or federal, state, 

tribal, and local governments; 

b. Absent EPA approval, no more than 

$200,000 per site assessment can be 

funded with section 128(a) funds, and 

no more than $200,000 per site cleanup 

can be funded with section 128(a) 

funds; 

c. Absent EPA approval, the state/ 

tribe may not use funds awarded under 

this agreement to assess and/or clean-up 

sites owned or operated by the recipient 


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13Oversight of assessment and cleanup activities 

performed by responsible parties (other than the 

state or tribe) does not count toward the 50% limit. 

14A cooperative agreement is an agreement to a 

state/tribe that includes substantial involvement by 

EPA on activities described in the work plan which 

may include technical assistance, collaboration on 

program priorities, etc. 

or held in trust by the United States 

Government for the recipient; and 

d. Assessments and cleanups cannot 

be conducted at sites where the state/ 

tribe is a potentially responsible party 

pursuant to CERCLA section 107, 

except: 

• At brownfield sites contaminated 

by a controlled substance as defined in 

CERCLA section 101(39)(D)(ii)(I); or 

• When the recipient would satisfy 

all of the elements set forth in CERCLA 

section 101(40) to qualify as a bona fide 

prospective purchaser, or would satisfy 

all elements 101(40), except where the 

date of acquisition of the property was 

on or before January 11, 2002. 

Subawards are defined at 2 CFR 

200.92 and may not be awarded to forprofit organizations. If the recipient 

plans on making any subawards under 

the cooperative agreement, then they 

become a pass-through entity. As the 

pass-through entity, the recipient must 

report on its subaward monitoring 

activities under 2 CFR 200.331(d). 

Additional reporting requirements for 

these activities will be included in the 

cooperative agreement. In addition, 

subawards cannot be provided to 

entities that may be potentially 

responsible parties (pursuant to 

CERCLA section 107) at the site for 

which the assessment or cleanup 

activities are proposed to be conducted, 

except: 

1. At brownfields sites contaminated 

by a controlled substance as defined in 

CERCLA section 101(39)(D)(ii)(I); or 

2. When the recipient would satisfy 

all of the elements set forth in CERCLA 

section 101(40) to qualify as a bona fide 

prospective purchaser, or would satisfy 

all elements of CERCLA 101(40)(D) 

except where the date of acquisition of 

the property was on or before January 

11, 2002. 

2. Limitations on the Amount of Funds 

Used for Site-Specific Activities and 

Waiver Process 

States and tribes may use section 

128(a) funds for site-specific activities 

that improve state or tribal capacity. 

However, the amount recipients may 

request for site-specific assessments and 

cleanups may not exceed 50% of the 

total amount of funding.13 In order to 

exceed the 50% site-specific funding 

limit, a state or tribe must submit a 

waiver request. The total amount of the 

site-specific request may not exceed the 

recipient’s total funding level for the 

previous year. The funding request must 

include a brief justification describing 

the reason(s) for spending more than 

50% of an annual allocation on sitespecific activities. An applicant, when 

requesting a waiver, must include the 

following information in the written 

justification: 

• Total amount requested for sitespecific activities; 

• Percentage of the site-specific 

activities (assuming waiver is approved) 

in the total budget; 

• Site-specific activities that will be 

covered by this funding. If known, 

provide site specific information and 

describe how work on each site 

contributes to the development or 

enhancement of your state/tribal site 

response program. Explain how the 

community will be (or has been) 

involved in prioritization of site work 

and especially those sites where there is 

a potential or known significant 

environmental impact to the 

community; 

• An explanation of how this shift in 

funding will not negatively impact the 

core programmatic capacity (i.e., the 

ability to establish/enhance the four 

required elements of a response 

program) and how the core program 

activities will be maintained in spite of 

an increase in site-specific work. 

Recipients must demonstrate that they 

have adequate funding from other 

sources to effectively carry out work on 

the four elements for EPA to grant a 

waiver of the 50% limit on using 128(a) 

funds for site-specific activities; and 

• An explanation as to whether the 

sites to be addressed are those for which 

the affected community(ies) has 

requested work be conducted (refer to 

Section VII.A Overview of Funding for 

more information). 

EPA Headquarters will review waiver 

requests based on the information in the 

justification and other information 

available to the Agency. EPA will 

inform recipients whether the waiver is 

approved. 

3. Uses Related to Site-Specific 

Activities at Petroleum Brownfield Sites 

States and tribes may use section 

128(a) funds for activities that establish 

and enhance response programs 

addressing petroleum brownfield sites. 

Subject to the restrictions listed above 

(see Section VII.D.1) for all site-specific 

activities, the costs of site-specific 

assessments and cleanup activities at 

petroleum contaminated brownfield 

sites, as defined in CERCLA section 

101(39)(D)(ii)(II), are both eligible and 

allowable if the activity is included in 

the work plan negotiated between the 

EPA regional office and the state or 

tribe. Section 128(a) funds used to 

capitalize a Brownfields RLF may be 

used at brownfield sites contaminated 

by petroleum to the extent allowed 

under CERCLA section 104(k)(3). 

4. Additional Examples of Eligible SiteSpecific Activities 

Other eligible uses of funds for sitespecific related include, but are not 

limited to, the following activities: 

• Technical assistance to federal 

brownfields cooperative agreement 

recipients; 

• Development and/or review of 

quality assurance project plans (QAPPs); 

and 

• Entering data into the Assessment 

Cleanup and Redevelopment Exchange 

System (ACRES) database 

E. Uses Related to Activities at ‘‘NonBrownfield’’ Sites 

Other uses not specifically referenced 

in this guidance may also be eligible 

and allowable. Recipients should 

consult with their regional state or tribal 

contact for additional guidance. Costs 

incurred for activities at non-brownfield 

sites may be eligible and allowable if 

such activities are included in the 

state’s or tribe’s work plan. Direct 

assessment and cleanup activities may 

only be conducted on eligible 

brownfield sites, as defined in CERCLA 

section 101(39). 

VIII. General Programmatic Guidelines 

for 128(a) Grant Funding Requests 

Funding authorized under CERCLA 

section 128(a) is awarded through a 

cooperative agreement 14 between EPA 

and a state or a tribe. The program 

administers cooperative agreements 

under the Uniform Administrative 

Requirements, Cost Principles and 

Audit requirements for Federal Awards 

regulations for all entity types including 

states, tribes, and local governments 

found in the Code of Federal 

Regulations at 2 CFR part 200 and any 

applicable EPA regulations in Title 2 

CFR Subtitle B—Federal Agency 

Regulations for Grants and Agreements 

Chapter 15 as well as applicable 

provisions of 40 CFR part 35 Subparts 

A and B. Under these regulations, the 

cooperative agreement recipient for a 

section 128(a) grant is the government to 

which a cooperative agreement is 

awarded and which is accountable for 

use of the funds provided. The 

cooperative agreement recipient is the 

legal entity even if only a particular 

component of the entity is designated in 

the cooperative agreement award 


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15For purposes of 128(a) funding, the state’s or 

tribe’s public record applies to that state’s or tribe’s 

response program(s) that utilized the section 128(a) 

funding. 

document. Further, unexpended 

balances of cooperative agreement funds 

are subject to restrictions under 40 CFR 

35.118 and 40 CFR 35.518. EPA 

allocates funds to state and tribal 

response programs consistent with 40 

CFR 35.420 and 40 CFR 35.737. 

A. One Application per State or Tribe 

Subject to the availability of funds, 

EPA regional offices will negotiate and 

enter into section 128(a) cooperative 

agreements with eligible and interested 

states or tribes. EPA will accept only one 

application from each eligible state or 

tribe. 

B. Maximum Funding Request 

For Fiscal Year 2018, EPA will 

consider funding requests up to a 

maximum of $1.0 million per state or 

tribe. Please note that demand for this 

program continues to increase. Due to 

the increasing number of entities 

requesting funding, it is likely that the 

FY18 states and tribal individual 

funding amounts will be less than the 

FY17 individual funding amounts. 

C. Define the State or Tribal Response 

Program 

States and tribes must define in their 

work plan the ‘‘section 128(a) response 

program(s)’’ to which the funds will be 

applied, and may designate a 

component of the state or tribe that will 

be EPA’s primary point of contact. 

When EPA funds the section 128(a) 

cooperative agreement, states and tribes 

may distribute these funds among the 

appropriate state and tribal agencies that 

are part of the section 128(a) response 

program. This distribution must be 

clearly outlined in their annual work 

plan. 

D. Separate Cooperative Agreements for 

the Capitalization of RLFs Using Section 

128(a) Funds 

If a portion of the section 128(a) grant 

funds requested will be used to 

capitalize a revolving loan fund for 

cleanup, pursuant to section 104(k)(3), 

two separate cooperative agreements 

must be awarded (i.e., one for the RLF 

and one for non-RLF uses). States and 

tribes must, however, submit one initial 

request for funding, delineating the RLF 

as a proposed use. Section 128(a) funds 

used to capitalize an RLF are not 

eligible for inclusion into a Performance 

Partnership Grant (PPG). 

E. Authority To Manage a Revolving 

Loan Fund Program 

If a state or tribe chooses to use its 

section 128(a) funds to capitalize a 

revolving loan fund program, the state 

or tribe must have the lead authority to 

manage the program (e.g., hold loans, 

make loans, enter into loan agreements, 

collect repayment, access and secure the 

site in event of an emergency or loan 

default). If the agency/department listed 

as the point of contact for the section 

128(a) cooperative agreement does not 

have this authority, it must be able to 

demonstrate that another agency within 

that state or tribe has the authority to 

manage the RLF and is willing to do so. 

F. Section 128(a) Cooperative 

Agreements Can Be Part of a 

Performance Partnership Grant (PPG) 

States and tribes may include section 

128(a) cooperative agreements in their 

PPG as described in 69 FR 51756, 

August 20, 2004. Section 128(a) funds 

used to capitalize an RLF or purchase 

environmental insurance or develop a 

risk sharing pool, an indemnity pool, or 

insurance mechanism to provide 

financing for response actions under a 

state or tribal response program are not 

eligible for inclusion in the PPG. 

G. Project Period 

EPA regional offices will determine 

the project period for each cooperative 

agreement. These may be for multiple 

years depending on the regional office’s 

cooperative agreement policies. Each 

cooperative agreement must have an 

annual budget period tied to an annual 

work plan. While not prohibited, preaward costs are subject to 40 CFR 35.113 

and 40 CFR 35.513. 

H. Demonstrating the Four Elements 

As part of the annual work plan 

negotiation process, states or tribes that 

do not have VRP MOAs must 

demonstrate that their program 

includes, or is taking reasonable steps to 

include, the four elements described in 

Section V. EPA will not fund state or 

tribal response program annual work 

plans if EPA determines that these 

elements are not met or reasonable 

progress is not being made. EPA may 

base this determination on the 

information the state or tribe provides to 

support its work plan, on progress 

reports, or on EPA’s review of the state 

or tribal response program. 

I. Establishing and Maintaining the 

Public Record 

Prior to funding a state’s or tribe’s 

annual work plan, EPA regional offices 

will verify and document that a public 

record, as described in Section VI and 

below, exists and is being maintained.15

Specifically for: 

• States or tribes that received initial 

funding prior to FY17: Requests for 

FY18 funds will not be accepted from 

states or tribes that fail to demonstrate, 

by the December 15, 2017 request 

deadline, that they established and are 

maintaining a public record. (Note, this 

would potentially impact any state or 

tribe that had a term and condition 

placed on their FY17 cooperative 

agreement that prohibited drawdown of 

FY17 funds prior to meeting the public 

record requirement). States or tribes in 

this situation will not be prevented from 

drawing down their prior year funds 

once the public record requirement is 

met; and 

• States or tribes that received initial 

funding in FY17: By the time of the 

actual FY18 award, the state or tribe 

must demonstrate that they established 

and maintained the public record (those 

states and tribes that do not meet this 

requirement will have a term and 

condition placed on their FY18 

cooperative agreement that prohibits the 

drawdown of FY18 funds until the 

public record requirement is met). 

J. Demonstration of Significant 

Utilization of Prior Years’ Funding 

States and tribes should be aware that 

EPA and its Congressional 

appropriations committees place 

significant emphasis on the utilization 

of prior years’ funding. Unused funds 

prior to FY17 will be considered in the 

allocation process. Existing balances of 

cooperative agreement funds as 

reflected in EPA’s Financial Data 

Warehouse as of January 1, 2018 may 

result in an allocation amount below a 

recipient’s FY17 allocation amount or, if 

appropriate the deobligation and 

reallocation of prior funding by EPA 

Regions as provided for in 40 CFR 

35.118 and 40 CFR 35.518. 

EPA Regional staff will review EPA’s 

Financial Database Warehouse to 

identify the amount of remaining prior 

year(s) funds. The requestor should 

work, as early as possible, with both 

their own finance department, and with 

their Regional Project Officer to 

reconcile any discrepancy between the 

amount of unspent funds showing in 

EPA’s system, and the amount reflected 

in the recipient’s records. The recipient 

should obtain concurrence from the 

Region on the amount of unspent funds 

requiring justification by the deadline 

for this request for funding. 

K. Allocation System and Process for 

Distribution of Funds 

After the December 15, 2017, request 

deadline, EPA’s Regional Offices will 

submit summaries of state and tribal 

requests to EPA Headquarters. Before 


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doing so, regional offices may take into 

account additional factors when 

determining recommended allocation 

amounts. Such factors include, but are 

not limited to, the depth and breadth of 

the state or tribal program, and scope of 

the perceived need for funding (e.g., size 

of state or tribal jurisdiction or the 

proposed work plan balanced against 

capacity of the program, amount of 

current year funding, funds remaining 

from prior years, etc.). 

After receipt of the regional 

recommendations, EPA Headquarters 

will consolidate requests and make 

decisions on the final funding 

allocations. 

EPA regional offices will work with 

interested states and tribes to develop 

their preliminary work plans and 

funding requests. Final cooperative 

agreement work plans and budgets will 

be negotiated with the regional office 

once final allocation determinations are 

made. Please refer to process flow chart 

below (dates are estimates and subject to 

change): 

IX. Information To Be Submitted With 

the Funding Request 

A. Summary of Planned Use of FY18 

Funding 

All states and tribes requesting FY18 

funds must submit (to their regional 

brownfields contact, shown on the last 

page of this guidance) a draft work plan 

of the funds with associated dollar 

amounts to their regional brownfields 

contact listed on the last page. Please 

contact your regional brownfields 

contact or visit www.epa.gov/ 

brownfields/brownfieldscomprehensive-environmentalresponse-compensation-and-liabilityact-cercla for a sample draft work plan. 

For entities which received CERCLA 

128(a) funding in previous years, 

respond to the following: 

1. Funding Request. 

a. Prepare a draft work plan and 

budget for your FY18 funding request. 

The funding requested should be 

reasonably spent in one year. The 

requestor should work, as early as 

possible, with their EPA regional 

program contact to ensure that the 

funding amount requested and related 

activities are reasonable. 

b. In your funding request, include 

the prior years’ funding amount. Include 

any funds that you, the recipient, have 

not received or drawn down in 

payments (i.e., funds EPA has obligated 

for grants that remain in EPA’s 

Financial Data Warehouse). EPA will 

take into account these funds in the 

allocation process when determining 

the recipient’s programmatic needs. The 

recipient should include a detailed 

explanation and justification of prior 

year funds that remain in EPA’s 

Financial Data Warehouse. The 

recipient should consult with the region 

regarding the amount of unspent funds 

which require explanation to ensure 

they have addressed the full amount of 

any remaining balance. 

If you do not have an MOA with EPA, 

demonstrate how your program 

includes, or is taking reasonable steps to 

include, the four elements described in 

Section VI. 

Note: Programmatic Capability—[Only 

Respond if Specifically Requested by Region] 

EPA Regions may request 

demonstration of Programmatic 

Capability if the returning grantee has 

experienced key staff turnover or if the 

grantee has open programmatic review 

findings. An entity’s corresponding EPA 

Region will notify returning recipients if 

the information below is required, and 

it must be included with your funding 

request. Describe the organizational 

structure you will utilize to ensure 

sound program management to 

guarantee or confirm timely and 

successful expenditure of funds, and 

completion of all technical, 

administrative and financial 

requirements of the program and 

cooperative agreement. 

a. Include a brief description of the 

key qualifications of staff to manage the 

response program and/or the process 

you will follow to hire staff to manage 

the response program. If key staff is 

already in place, include their roles, 

expertise, qualifications, and 

experience. 

b. Discuss how this response program 

fits into your current environmental 

program(s). If you do not have an 

environmental program, describe your 

process to develop, or interest to start 

one. 

c. Describe if you have had adverse 

audit findings. If you had problems with 

the administration of any grants or 

cooperative agreements, describe how 

you have corrected, or are correcting, 

the problems. 

For tribal entities which have never 

received CERCLA 128(a) funding, 

respond to the following: 

2. Funding Request. 

a. Describe your plan to establish a 

response program, why it is a priority 

for your tribe, and why CERCLA 128(a) 

funding will be beneficial to your 

program. If your tribe is already 

supported by a tribal consortia receiving 

CERCLA 128(a) funding, explain why 

additional resources are necessary. 

b. Prepare a draft work plan and 

budget for your first funding year. The 

funding requested should be reasonably 

spent in one year. For budget planning 

purposes, it is recommended that you 

assume funding sufficient to support 0.5 

staff to establish a response program and 

some travel to attend regional and 

national trainings or events. 

3. Programmatic Capability. 

a. Describe the organizational 

structure you will utilize to ensure 

sound program management to 

guarantee or confirm timely and 

successful expenditure of funds, and 

completion of all technical, 

administrative and financial 

requirements of the program and 

cooperative agreement. 

b. Include a brief description of the 

key qualifications of staff to manage the 

response program and/or the process 

you will follow to hire staff to manage 

the response program. If key staff is 

already in place, include their roles, 


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expertise, qualifications, and 

experience. 

c. Discuss how this response program 

fits into your current environmental 

program(s). If you don’t have an 

environmental program, describe your 

process to develop, or interest to start 

one. 

d. Describe if you have had adverse 

audit findings. If you had problems with 

the administration of any grants or 

cooperative agreements, describe how 

you have corrected, or are correcting, 

the problems. 

X. Terms and Reporting 

Cooperative agreements for state and 

tribal response programs will include 

programmatic and administrative terms 

and conditions. These terms and 

conditions will describe EPA’s 

substantial involvement including 

technical assistance and collaboration 

on program development and sitespecific activities. Each of the 

subsections below summarizes the basic 

terms and conditions, and related 

reporting that will be incorporated into 

your cooperative agreement. 

A. Progress Reports 

In accordance with 2 CFR 200.328 

and any EPA specific regulations, state 

and tribes must provide progress reports 

meeting the terms and conditions of the 

cooperative agreement negotiated. State 

and tribal costs for complying with 

reporting requirements are an eligible 

expense under the section 128(a) 

cooperative agreement. As a minimum, 

state or tribal progress reports must 

include both a narrative discussion and 

performance data relating to the state or 

tribe accomplishments and 

environmental outputs associated with 

the approved budget and work plan. 

Reports should also provide an 

accounting of section 128(a) funding. If 

applicable, the state or tribe must 

include information on activities related 

to establishing or enhancing the four 

elements of the state’s or tribe’s 

response program. All recipients must 

provide information related to 

establishing or, if already established, 

maintaining the public record. 

Depending upon the activities included 

in the state’s or tribe’s work plan, the 

recipient may also need to report on the 

following: 

1. Interim and final progress reports. 

Reports must prominently display the 

following information as reflected in the 

current EPA strategic plan: Strategic 

Plan Goal 3: Cleaning Up Communities 

and Advancing Sustainable 

Development; Strategic Plan Objective 

3.1: Promote Sustainable and Livable 

Communities; and Work plan 

Commitments and Timeframes. EPA’s 

strategic plan can be found on the 

internet at http://www.epa.gov/ 

planandbudget/strategicplan.html. 

2. Reporting for Non-MOA states and 

tribes. All recipients without a VRP 

MOA must report activities related to 

establishing or enhancing the four 

elements of the state’s or tribe’s 

response program. For each element 

state/tribes must report how they are 

maintaining the element or how they are 

taking reasonable steps to establish or 

enhance the element as negotiated in 

individual state/tribal work plans. For 

example, pursuant to CERCLA section 

128(a)(2)(B), reports on the oversight 

and enforcement authorities/ 

mechanisms element may include: 

• A narrative description and copies 

of applicable documents developed or 

under development to enable the 

response program to conduct 

enforcement and oversight at sites. For 

example: 

Æ Legal authorities and mechanisms 

(e.g., statutes, regulations, orders, 

agreements); and 

Æ policies and procedures to 

implement legal authorities; and other 

mechanisms; 

• A description of the resources and 

staff allocated/to be allocated to the 

response program to conduct oversight 

and enforcement at sites as a result of 

the cooperative agreement; 

• A narrative description of how 

these authorities or other mechanisms, 

and resources, are adequate to ensure 

that: 

Æ A response action will protect 

human health and the environment; and 

be conducted in accordance with 

applicable federal and state law; and if 

the person conducting the response 

action fails to complete the necessary 

response activities, including operation 

and maintenance or long-term 

monitoring activities, the necessary 

response activities are completed; and 

• A narrative description and copy of 

appropriate documents demonstrating 

the exercise of oversight and 

enforcement authorities by the response 

program at a brownfields site. 

3. Reporting for site-specific 

assessment or cleanup activities. 

Recipients with work plans that include 

funding for brownfields site assessment 

or cleanup must input information 

required by the OMB-approved Property 

Profile Form into the ACRES database 

for each site assessment and cleanup. In 

addition, recipients must report how 

they provide the affected community 

with prior notice and opportunity for 

meaningful participation as per 

CERCLA section 128(a)(2)(C)(ii), on 

proposed cleanup plans and site 

activities. For example, EPA strongly 

encourages states and tribes to seek 

public input regarding the priority of 

sites to be addressed and to solicit input 

from local communities, especially 

potential environmental justice 

communities, communities with a 

health risk related to exposure to 

hazardous waste or other public health 

concerns, economically disadvantaged 

or remote communities, and 

communities with limited experience 

working with government agencies. 

4. Reporting for other site-specific 

activities. Recipients with work plans 

that include funding for other sitespecific related activities must include a 

description of the site-specific activities 

and the number of sites at which the 

activity was conducted. For example: 

• Number and frequency of oversight 

audits of licensed site professional 

certified cleanups; 

• Number and frequency of state/ 

tribal oversight audits conducted; 

• Number of sites where staff 

conducted audits, provided technical 

assistance, or conducted other oversight 

activities; and 

• Number of staff conducting 

oversight audits, providing technical 

assistance, or conducting other 

oversight activities. 

5. Reporting required when using 

funding for an RLF. Recipients with 

work plans that include funding for a 

revolving loan fund must include the 

information required by the terms and 

conditions for progress reporting under 

CERCLA section 104(k)(3) RLF 

cooperative agreements. 

6. Reporting environmental insurance. 

Recipients with work plans that include 

funding for environmental insurance 

must report: 

• Number and description of 

insurance policies purchased (e.g., name 

of insurer, type of coverage provided, 

dollar limits of coverage, any buffers or 

deductibles, category and identity of 

insured persons, premium, first dollar 

or umbrella, whether site specific or 

blanket, occurrence or claims made, 

etc.); 

• The number of sites covered by the 

insurance; 

• The amount of funds spent on 

environmental insurance (e.g., amount 

dedicated to insurance program, or to 

insurance premiums); and 

• The amount of claims paid by 

insurers to policy holders. 

The regional offices may also request 

that information be added to the 

progress reports, as appropriate, to 

properly document activities described 

by the cooperative agreement work plan. 


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EPA regions may allow states or tribes 

to provide performance data in 

appropriate electronic format. 

The regional offices will forward 

progress reports to EPA Headquarters, if 

requested. This information may be 

used to develop national reports on the 

outcomes of CERCLA section 128(a) 

funding to states and tribes. 

B. Reporting of Program Activity Levels 

States and tribes must report, by 

December 15, 2017, a summary of the 

previous federal fiscal year’s work 

(October 1, 2016 through September 30, 

2017). The following information must 

be submitted to your regional project 

officer: 

• Environmental programs where 

CERCLA section 128(a) funds are used 

to support capacity building (general 

program support, non-site-specific 

work). Indicate as appropriate from the 

following: 

llBrownfields 

llUnderground Storage Tanks/ 

Leaking Underground Storage Tanks 

llFederal Facilities 

llSolid Waste 

llSuperfund 

llHazardous Waste Facilities 

llVCP (Voluntary Cleanup Program, 

Independent Cleanup Program, etc.) 

llOtherlllll; 

• Number of properties (or sites) 

enrolled in a response program during 

FY17; 

• Number of properties (or sites) 

where documentation indicates that 

cleanup work is complete and all 

required institutional controls (IC’s) are 

in place, or not required; 

• Total number of acres associated 

with properties (or sites) in the previous 

bullet; 

• Number of properties where 

assistance was provided, but the 

property was not enrolled in the 

response program (OPTIONAL); 

• Date that the public record was last 

updated; 

• Estimated total number of 

properties (or sites) in your brownfields 

inventory; 

• Number of audits/inspections/ 

reviews/other conducted to ensure 

engineering controls and institutional 

controls are still protective; and 

• Did you develop or revise 

legislation, regulations, codes, guidance 

documents or policies related to 

establishing or enhancing your 

Voluntary Cleanup Program/Response 

Program during FY17? If yes, please 

indicate the type and whether it was 

new or revised. 

EPA may require states/tribes to 

report specific performance measures 

related to the four elements that can be 

aggregated for national reporting to 

Congress. 

C. Reporting of Public Record 

All recipients must report, as 

specified in the terms and conditions of 

their cooperative agreement, and in 

Section VIII.I of this guidance, 

information related to establishing, or if 

already established, maintaining the 

public record, described above. States 

and tribes can refer to an already 

existing public record (e.g., Web site or 

other public database to meet the public 

record requirement). To meet the 

reporting requirement, recipients 

reporting may only be required to 

demonstrate that the public record (a) 

exists and is up-to-date, and (b) is 

adequate. A public record must, as 

appropriate, include the following 

information: 

A list of sites at which response 

actions have been completed in the past 

year including: 

• Date the response action was 

completed; 

• site name; 

• name of owner at time of cleanup, 

if known; 

• location of the site (street address, 

and latitude and longitude); 

• whether an institutional control is 

in place; 

• type of institutional control(s) in 

place (e.g., deed restriction, zoning 

restriction, local ordinance, state 

registries of contaminated property, 

deed notices, advisories, etc.); 

• nature of the contamination at the 

site (e.g., hazardous substances, 

contaminants or pollutants, petroleum 

contamination, etc.); and 

• size of the site in acres. 

A list of sites planned to be addressed 

by the state or tribal response program 

in the coming year including: 

• Site name and the name of owner 

at time of cleanup, if known; 

• location of the site (street address, 

and latitude and longitude); 

• to the extent known, whether an 

institutional control is in place; 

• type of the institutional control(s) 

in place (e.g., deed restriction, zoning 

restriction, local ordinance, state 

registries of contaminated property, 

deed notices, advisories, etc.); 

• to the extent known, the nature of 

the contamination at the site (e.g., 

hazardous substances, contaminants, or 

pollutants, petroleum contamination, 

etc.); and 

• size of the site in acres 

D. Award Administration Information 

1. Subaward and Executive 

Compensation Reporting 

Applicants must ensure that they 

have the necessary processes and 

systems in place to comply with the 

subaward and executive total 

compensation reporting requirements 

established under OMB guidance at 2 

CFR part 170, unless they qualify for an 

exception from the requirements, 

should they be selected for funding. 

2. System for Award Management 

(SAM) and Data Universal Numbering 

System (DUNS) Requirements 

Unless exempt from these 

requirements under OMB guidance at 2 

CFR part 25 (e.g., individuals), 

applicants must: 

1. Be registered in SAM prior to 

submitting an application or proposal 

under this announcement. SAM 

information can be found at https://

www.sam.gov/portal/public/SAM/; 

2. Maintain an active SAM 

registration with current information at 

all times during which they have an 

active federal award or an application or 

proposal under consideration by an 

agency; and 

3. Provide their DUNS number in 

each application or proposal submitted 

to the agency. Applicants can receive a 

DUNS number, at no cost, by calling the 

dedicated toll-free DUNS Number 

request line at 1–866–705–5711, or 

visiting the D&B Web site at: http://

www.dnb.com. 

If an applicant fails to comply with 

these requirements, it will affect their 

ability to receive the award. 

Please note that the Central Contractor 

Registration (CCR) system has been 

replaced by the System for Award 

Management (SAM). To learn more 

about SAM, go to SAM.gov or https://

www.sam.gov/portal/public/SAM/. 

3. Submitting an Application via 

Grants.gov 

If funding is provided it will be 

provided through a cooperative 

agreement award. All cooperative 

agreement applications for noncompetitive assistance agreements must 

be submitted using Grants.gov. Below is 

the information that the applicant will 

use to submit their State and Tribal 

Response Program Grant applications 

via Grants.gov: CDFA number: 66.817, 

Funding Opportunity Number (FON): 

EPA–CEP–02, To learn more about the 

Grants.gov submission requirements, go 

to http://www.epa.gov/grants/howapply-grants. 


asabaliauskas on DSKBBXCHB2PROD with NOTICES
44624 Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 

4. Use of Funds 

An applicant that receives an award 

under this announcement is expected to 

manage assistance agreement funds 

efficiently and effectively, and make 

sufficient progress towards completing 

the project activities described in the 

work-plan in a timely manner. The 

assistance agreement will include terms 

and conditions related to implementing 

this requirement. 

REGIONAL STATE AND TRIBAL BROWNFIELDS CONTACTS

Region State Tribal 

1. CT, ME, MA, 

NH, RI, VT.

James Byrne, 5 Post Office Square, Suite 100 (OSRR07–2), 

Boston, MA 02109–3912, Phone (617) 918–1389 Fax (617) 

918–1294.

AmyJean McKeown, 5 Post Office Square, Suite 100 

(OSRR07–2), Boston, MA 02109–3912, Phone (617) 918– 

1248 Fax (617) 918–1294. 

2. NJ, NY, PR, 

VI.

John Struble, 290 Broadway, 18th Floor, New York, NY 

10007–1866, Phone (212) 637–4291 Fax (212) 637–3083.

Phillip Clappin, 290 Broadway, 18th Floor, New York, NY 

10007–1866, Phone (212) 637–4431 Fax (212) 637–3083. 

3. DE, DC, MD, 

PA, VA, WV.

Michael Taurino, 1650 Arch Street (3HS51), Philadelphia, PA 

19103, Phone (215) 814–3371 Fax (215) 814–3274.

4. AL, FL, GA, 

KY, MS, NC, 

SC, TN.

Cindy Nolan, 61 Forsyth Street SW., 10th Fl (9T25), Atlanta, 

GA 30303–8960, Phone (404) 562–8425 Fax (404) 562– 

8788.

Olga Perry, 61 Forsyth Street SW., 10th Fl (9T25), Atlanta, 

GA 30303–8960, Phone (404) 562–8534 Fax (404) 562– 

8788. 

5. IL, IN, MI, 

MN, OH, WI.

Jan Pels, 77 West Jackson Boulevard (SB–5J), Chicago, IL 

60604–3507, Phone (312) 886–3009 Fax (312) 692–2161.

Kirstin Kuenzi, 77 West Jackson Boulevard (SB–5J), Chicago, IL 60604–3507, Phone (312) 886–6015 Fax (312) 

697–2075. 

6. AR, LA, NM, 

OK, TX.

Amber Howard, 1445 Ross Avenue, Suite 1200 (6SF), Dallas, TX 75202–2733, Phone (214) 665–3172 Fax (214) 

665–6660.

Freda Hardaway, 1445 Ross Avenue, Suite 1200 (6SF), Dallas, TX 75202–2733, Phone (214) 665–8342 Fax (214) 

665–6660. 

7. IA, KS, MO, 

NE.

Susan Klein, 11201 Renner Boulevard (SUPRSTAR), 

Lenexa, KS 66219, Phone (913) 551–7786 Fax (913) 551– 

9786.

Jennifer Morris, 11201 Renner Boulevard (SUPRSTAR), 

Lenexa, KS 66219, Phone (913) 551–7341 Fax (913) 551– 

9341. 

8. CO, MT, ND, 

SD, UT, WY.

Christina Wilson, 1595 Wynkoop Street (EPR–AR), Denver, 

CO 80202–1129, Phone (303) 312–6706 Fax (303) 312– 

6065.

Melisa Devincenzi, 1595 Wynkoop Street (EPR–AR), Denver, 

CO 80202–1129, Phone (303) 312–6377 Fax (303) 312– 

6962. 

9. AZ, CA, HI, 

NV, AS, GU, 

MP.

Eugenia Chow, 75 Hawthorne St. (SFD–6–1), San Francisco, 

CA 94105, Phone (415) 972–3160 Fax (415) 947–3520.

Jose Garcia, Jr., 600 Wilshire Blvd, Suite 1460, Los Angeles, 

CA 90017, Phone (213) 244–1811 Fax (213) 244–1850. 

10. AK, ID, OR, 

WA.

Mary K. Goolie, 222 West 7th Avenue #19 (AOO), Anchorage, AK 99513 Phone (907) 271–3414 Fax (907) 271– 

3424.

Mary K. Goolie, 222 West 7th Avenue #19 (AOO), Anchorage, AK 99513 Phone (907) 271–3414 Fax (907) 271– 

3424. 

XI. Statutory and Executive Order 

Reviews 

Under Executive Order 12866 (58 FR 

51735, October 4, 1993), this action is 

not a ‘‘significant regulatory action’’ and 

is therefore not subject to review under 

Executive Orders 12866 and 13563 (76 

FR 3821, January 21, 2011). Because this 

action is not subject to notice and 

comment requirements under the 

Administrative Procedures Act or any 

other statute, it is not subject to the 

Regulatory Flexibility Act (5 U.S.C. 601 

et seq.) or Sections 202 and 205 of the 

Unfunded Mandates Reform Act of 1999 

(UMRA) (Pub. L. 104–4). In addition, 

this action does not significantly or 

uniquely affect small governments. This 

action does not create new binding legal 

requirements that substantially and 

directly affect Tribes under Executive 

Order 13175 (63 FR 67249, November 9, 

2000). This action does not have 

significant Federalism implications 

under Executive Order 13132 (64 FR 

43255, August 10, 1999). Because this 

action has been exempted from review 

under Executive Order 12866, this 

action is not subject to Executive Order 

13211, entitled Actions Concerning 

Regulations That Significantly Affect 

Energy Supply, Distribution, or Use (66 

FR 28355, May 22, 2001) or Executive 

Order 13045, entitled Protection of 

Children from Environmental Health 

Risks and Safety Risks (62 FR 19885, 

April 23, 1997). This action does not 

contain any information collections 

subject to OMB approval under the 

Paperwork Reduction Act (PRA), 44 

U.S.C. 3501 et seq., nor does it require 

any special considerations under 

Executive Order 12898, entitled Federal 

Actions to Address Environmental 

Justice in Minority Populations and 

Low-Income Populations (59 FR 7629, 

February 16, 1994). This action does not 

involve technical standards; thus, the 

requirements of Section 12(d) of the 

National Technology Transfer and 

Advancement Act of 1995 (15 U.S.C. 

272 note) do not apply. The 

Congressional Review Act, 5 U.S.C. 801 

et seq., generally provides that before 

certain actions may take effect, the 

agency promulgating the action must 

submit a report, which includes a copy 

of the action, to each House of the 

Congress and to the Comptroller General 

of the United States. Because this final 

action does not contain legally binding 

requirements, it is not subject to the 

Congressional Review Act. 

Dated: September 1, 2017. 

David R. Lloyd, 

Director, Office of Brownfields and Land 

Revitalization, Office of Land and Emergency 

Management. 

[FR Doc. 2017–20436 Filed 9–22–17; 8:45 am] 

BILLING CODE 6560–50–P 

FEDERAL RESERVE SYSTEM 

Formations of, Acquisitions by, and 

Mergers of Bank Holding Companies 

The companies listed in this notice 

have applied to the Board for approval, 

pursuant to the Bank Holding Company 

Act of 1956 (12 U.S.C. 1841 et seq.) 

(BHC Act), Regulation Y (12 CFR part 

225), and all other applicable statutes 

and regulations to become a bank 

holding company and/or to acquire the 

assets or the ownership of, control of, or 

the power to vote shares of a bank or 

bank holding company and all of the 

banks and nonbanking companies 

owned by the bank holding company, 

including the companies listed below. 

The applications listed below, as well 

as other related filings required by the 

Board, are available for immediate 

inspection at the Federal Reserve Bank 

indicated. The applications will also be 


asabaliauskas on DSKBBXCHB2PROD with NOTICES