[Federal Register Volume 83, Number 189 (Friday, September 28, 2018)]
[Notices]
[Pages 49079-49088]
[FR Doc No: 2018-20736]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9984-33-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 FY2019

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The Environmental Protection Agency (EPA) will accept
requests, from October 15, 2018 through December 14, 2018, 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 2019, 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, 2018. EPA expects to
make non-competitive grant awards to states and tribes which apply
during fiscal year 2019.

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: Rachel Lentz, EPA's Office of Land and
Emergency Management, Office of Brownfields and Land Revitalization,
(202) 566 2745, [email protected] 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 2019 section
128(a) funds \4\.
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    \1\ The term ``state'' is defined in this document as defined in
CERCLA section 101(27).
    \2\ The term ``Indian tribe'' is defined in this document as it
is defined in CERCLA section 101(36). Intertribal consortia, as
defined in the Federal Register Notice at 67 FR 67181, Nov. 4, 2002,
are also eligible for funding under CERCLA section 128(a).
    \3\ Categorical grants are issued by the U.S. Congress to fund
state and local governments for narrowly defined purposes.
    \4\ The Agency may waive any provision of this guidance that is
not required by statute, regulation, Executive Order or overriding
Agency policies.
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    Section 128(a)(1)(B)(ii)(III) of the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA), as amended,
authorizes a noncompetitive $1.5 million grant program to assist small
communities, Indian tribes, rural areas, or disadvantaged areas to
carryout section CERCLA 104(k)(7) (by providing training, research, and
technical assistance to individuals and organizations, as appropriate,
to facilitate the inventory of brownfields sites, site assessments,
remediation of brownfield sites, community involvement, or site
preparation). The guidance regarding CERCLA 128(a)(1)(B)(ii)(III) Small
Technical Assistance Grants is located in Appendix A.
    The Catalogue of Federal Domestic Assistance entry for the section
128(a) State and Tribal Response Program cooperative agreements is
66.817. This grant program is eligible to be included in state and
tribal Performance Partnership Grants under 40 CFR part 35 Subparts A
and B, with the exception of funds used to capitalize a revolving loan
fund for brownfield remediation under section 104(k)(3); or purchase
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, 2018 through
December 14, 2018. Requests EPA receives after December 14, 2018 will
not be considered for FY2019 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 FY2019.
    Requests submitted by the December 14, 2018 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 multi-faceted, 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.
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    \5\ Section 128(a) was added to CERCLA in 2002 by the Small
Business Liability Relief and Brownfields Revitalization Act
(Brownfield Amendments).
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    This funding is intended for those states and tribes that have the
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
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    \6\ States or tribes that are parties to VRP MOAs and that
maintain and make available a public record are automatically
eligible for section 128(a) funding.
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    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 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:
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    \7\ States and tribes establishing this element may find useful
information on public participation on EPA's community involvement
website at https://www.epa.gov/superfund/superfund-community-involvement.
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    a. Public access to documents and related materials that a state,
tribe, or party conducting the cleanup is relying on or developing to
make cleanup decisions or conduct site activities;
    b. prior notice and opportunity for meaningful public comment on
cleanup plans and site activities, including the input into the
prioritization of sites; and
    c. a mechanism by which a person who is, or may be, affected by a
release or threatened release of a hazardous substance, pollutant, or
contaminant at a 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.
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    \8\ For further information on data quality requirements for
latitude and longitude information, please see EPA's data standards
website available at https://www.epa.gov/sites/production/files/2015-06/documents/latlongstandard-v2a_10022014.pdf.
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    In an effort to reduce cooperative agreement reporting requirements
and increase public access to the public record, EPA encourages states
and tribes to place their public record on the internet. If a state or
tribe places the public record on the internet, maintains the
substantive requirements of the public record, and provides EPA with
the link to that site, EPA will, for purposes of cooperative agreement
funding only, deem the public record reporting requirement met.

C. Long-Term Maintenance of the Public Record

    EPA encourages states and tribes to maintain public record
information, including data on institutional controls, on a long-term
basis (more than one year) for sites at which a response action has
been completed. Subject to EPA regional office approval, states or
tribes may include development and operation of systems that ensure
long-term maintenance of the public record, including information on
institutional controls (such as ensuring the entity responsible for
oversight, monitoring, and/or maintenance of the institutional and
engineering controls is implementing those activities) in their work
plans.\9\
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    \9\ States and tribes may find useful information on
institutional controls on the EPA's institutional controls website
at http://www.epa.gov/superfund/policy/ic/index.htm.
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VII. Use of Funding

A. Overview

    Section 128(a)(1)(B) describes the eligible uses of cooperative
agreement funds by states and tribes. In general, a state or tribe may
use funding to ``establish or enhance'' its response program.
Specifically, a state or tribe may use cooperative agreement funds to
build response programs that 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 long-term 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 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 (training examples include ASTM
standards for conducting Limited Transaction Screens, Environmental
Phase I and Phase IIs). 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,
attending health fairs and cleanup days to inform individuals how to
identify hazards in their own living areas, abandoned buildings, and
among dumping areas), 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.
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    \10\ EPA expects states and tribes will familiarize themselves
with US EPA's brownfields technical assistance opportunities for
brownfields communities. For more information on technical
assistance opportunities, please visit: https://www.epa.gov/brownfields.
    \11\ For more information about EPA's Brownfields Environmental
Workforce Development and Job Training Program, please visit:
https://www.epa.gov/brownfields/types-brownfields-grant-funding.
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D. Uses Related to Site-Specific Activities

1. Eligible Uses of Funds for Site-Specific Activities
    Site-specific assessment and cleanup activities should establish
and/or enhance the response program and be tied to the four elements.
Site-specific assessments and cleanups can be both eligible and
allowable if the activities is included in the work plan negotiated
between the EPA regional office and the state or tribe, but activities
must comply with all applicable laws and are subject to the following
restrictions:
    a. Section 128(a) funds can only be used for assessments or
cleanups at sites that meet the definition of a brownfields site at
CERCLA section 101(39). EPA encourages states and tribes to use site-
specific funding to perform assessment (e.g., phase 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, non-profit organizations, education and
training providers, and/or federal, state, tribal, and local
governments;
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    \12\ An 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.
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    b. absent EPA approval, no more than $200,000 per site assessment
can be funded with section 128(a) funds, and no more than $200,000 per
site cleanup can be funded with section 128(a) funds;
    c. absent EPA approval, the state/tribe may not use funds awarded
under this agreement to assess and/or clean up sites owned or operated
by the recipient or held in trust by the United States Government for
the recipient; and
    d. assessments and cleanups cannot be conducted at sites where the
state/tribe is a potentially responsible party 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
for-profit 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
funding request must include a brief justification describing the
reason(s) for spending more than 50% of an annual allocation on site-
specific activities. An applicant, when requesting a waiver, must
include the following information in the written justification:
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    \13\ Oversight of assessment and cleanup activities performed by
responsible parties (other than the state or tribe) does not count
toward the 50% limit.
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     Total amount requested for site-specific activities;
     percentage of the site-specific activities (assuming
waiver is approved) in the total budget;
     site-specific activities that will be covered by this
funding. If known, provide site specific information and describe how
work on each site contributes to the development or enhancement of your
state/tribal site response program. 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 Site-Specific Activities
    Other eligible uses of funds for site-specific related include, but
are not limited to, the following activities:
     Technical assistance to federal brownfields cooperative
agreement recipients;
     development and/or review of quality assurance project
plans (QAPPs); and
     entering data into the Assessment Cleanup and
Redevelopment Exchange System (ACRES) database

E. Uses Related to Activities at ``Non-Brownfield'' 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 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.
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    \14\ A cooperative agreement is an agreement to a state/tribe
that includes substantial involvement by EPA on activities described
in the work plan which may include technical assistance,
collaboration on program priorities, etc.
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A. One Application per State or Tribe

    Subject to the availability of funds, EPA regional offices will
negotiate and enter into section 128(a) cooperative agreements with
eligible and interested states or tribes. EPA will accept only one
application from each eligible state or tribe.

B. Maximum Funding Request

    For Fiscal Year 2019, 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 FY19 states and
tribal individual funding amounts will be less than the FY18 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 (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, pre-award costs are subject to 40 CFR
35.113 and 40 CFR 35.513.

H. Demonstrating the Four Elements

    As part of the annual work plan negotiation process, states or
tribes that do not have VRP MOAs must demonstrate that their program
includes, or is taking reasonable steps to include, the four elements
described in Section V. EPA will not fund 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:
---------------------------------------------------------------------------

    \15\ For purposes of 128(a) funding, the state's or tribe's
public record applies to that state's or tribe's response program(s)
that utilized the section 128(a) funding.
---------------------------------------------------------------------------

     States or tribes that received initial funding prior to
FY18: Requests for FY19 funds will not be accepted from states or
tribes that fail to demonstrate, by the December 14, 2018 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 FY18 cooperative agreement that
prohibited drawdown of FY18 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 FY18: By
the time of the actual FY19 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 FY19 cooperative agreement that prohibits the
drawdown of FY19 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 FY18 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,
2019 may result in a decreased 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.

K. Allocation System and Process for Distribution of Funds

    After the December 14, 2018, request deadline, EPA's Regional
Offices will submit summaries of state and tribal requests to EPA
Headquarters. Before 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):
[GRAPHIC] [TIFF OMITTED] TN28SE18.000

IX. Information To Be Submitted With the Funding Request

A. Summary of Planned Use of FY19 Funding

    All states and tribes requesting FY19 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/brownfields-comprehensive-environmental-response-compensation-and-liability-act-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 FY19 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 consider 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 consortium 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, expertise, qualifications, and experience.
    c. 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.
    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 site-specific 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 1: Core Mission: Deliver real
results to provide Americans with clean air, land, and water, and
ensure chemical safety; Strategic Plan Objective 1.3: Revitalize Land
and Prevent

Contamination; and Work Plan Commitments and Timeframes. EPA's
strategic plan can be found on the internet at http://www.epa.gov/planandbudget/strategicplan.html.
    2. Reporting for Non-MOA states and tribes. All recipients without
a VRP MOA must report activities related to establishing or enhancing
the four elements of the state's or tribe's response program. For each
element state/tribes must report how they are maintaining the element
or how they are taking reasonable steps to establish or enhance the
element as negotiated in individual state/tribal work plans. For
example, pursuant to CERCLA section 128(a)(2)(B), reports on the
oversight and enforcement authorities/mechanisms element may include:
     A narrative description and copies of applicable documents
developed or under development to enable the response program to
conduct enforcement and oversight at sites. For example:
    [cir] Legal authorities and mechanisms (e.g., statutes,
regulations, orders, agreements); and
    [cir] policies and procedures to implement legal authorities; and
other mechanisms;
     a description of the resources and staff allocated/to be
allocated to the response program to conduct oversight and enforcement
at sites as a result of the cooperative agreement;
     a narrative description of how these authorities or other
mechanisms, and resources, are adequate to ensure that:
    [cir] a response action will protect human health and the
environment; and be conducted in accordance with applicable federal and
state law; and if the person conducting the response action fails to
complete the necessary response activities, including operation and
maintenance or long-term monitoring activities, the necessary response
activities are completed; and
     a narrative description and copy of appropriate documents
demonstrating the exercise of oversight and enforcement authorities by
the response program at a brownfields site.
    3. Reporting for site-specific assessment or cleanup activities.
Recipients with work plans that include funding for brownfields site
assessment or cleanup must input information required by the OMB-
approved Property Profile Form into the ACRES database for each site
assessment and cleanup. In addition, recipients must report how they
provide the affected community with prior notice and opportunity for
meaningful participation as per CERCLA section 128(a)(2)(C)(ii), on
proposed cleanup plans and site activities. For example, EPA strongly
encourages states and tribes to seek public input regarding the
priority of sites to be addressed and to solicit input from local
communities, especially potential environmental justice communities,
communities with a health risk related to exposure to hazardous waste
or other public health concerns, economically disadvantaged or remote
communities, and communities with limited experience working with
government agencies.
    4. Reporting for other site-specific activities. Recipients with
work plans that include funding for other site-specific related
activities must include a description of the site-specific activities
and the number of sites at which the activity was conducted. For
example:
     Number and frequency of oversight audits of licensed site
professional certified cleanups;
     number and frequency of state/tribal oversight audits
conducted;
     number of sites where staff conducted audits, provided
technical assistance, or conducted other oversight activities; and
     number of staff conducting oversight audits, providing
technical assistance, or conducting other oversight activities.
    5. Reporting required when using funding for an RLF. Recipients
with work plans that include funding for 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.
    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 14, 2018, a summary of
the previous federal fiscal year's work (October 1, 2017 through
September 30, 2018). 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:
    __Brownfields
    __Underground Storage Tanks/Leaking Underground Storage Tanks
    __Federal Facilities
    __Solid Waste
    __Superfund
    __Hazardous Waste Facilities
    __VCP (Voluntary Cleanup Program, Independent Cleanup Program,
etc.)
    __Other____;
     number of properties (or sites) enrolled in a response
program during FY18;
     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 FY18? 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., website 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 website 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 non-
competitive 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/how-apply-grants.
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   AmyJean McKeown, 5
                               Office Square,        Post Office Square,
                               Suite 100 (OSRR07-    Suite 100 (OSRR07-
                               2), Boston, MA        2), Boston, MA
                               02109-3912, Phone     02109-3912, Phone
<PHONE_NUMBER>, Fax<PHONE_NUMBER>, Fax
<PHONE_NUMBER>.<PHONE_NUMBER>.
2--NJ, NY, PR, VI...........  John Struble, 290     Phillip Clappin, 290
                               Broadway, 18th        Broadway, 18th
                               Floor, New York, NY   Floor, New York, NY
                               10007-1866, Phone     10007-1866, Phone
<PHONE_NUMBER>, Fax<PHONE_NUMBER>, Fax
<PHONE_NUMBER>.<PHONE_NUMBER>.
3--DE, DC, MD, PA, VA, WV...  Michael Taurino,      Michael Taurino,
                               1650 Arch Street      1650 Arch Street
                               (3HS51),              (3HS51),
                               Philadelphia, PA      Philadelphia, PA
                               19103, Phone (215)    19103, Phone (215)
                               814-3371, Fax<PHONE_NUMBER>, Fax (215)
                               814-3274.             814-3274.
4--AL, FL, GA, KY, MS, NC,    Cindy Nolan, 61       Olga Perry, 61
 SC, TN.                       Forsyth Street SW,    Forsyth Street SW,
                               10TH FL (9T25),       10TH FL (9T25),
                               Atlanta, GA 30303-    Atlanta, GA 30303-
                               8960, Phone (404)     8960, Phone (404)
                               562-8425, Fax<PHONE_NUMBER>, Fax (404)
                               562-8788.             562-8788.
5--IL, IN, MI, MN, OH, WI...  Keary Cragan, 77      Rosita Clark, 77
                               West Jackson          West Jackson
                               Boulevard (SB-5J),    Boulevard (SB-5J),
                               Chicago, IL 60604-    Chicago, IL 60604-
                               3507, Phone (312)     3507, Phone (312)
                               353-5669, Fax<PHONE_NUMBER>, Fax (312)
                               692-2161.             697-2075.

6--AR, LA, NM, OK, TX.......  Roger Hancock, 1445   Roger Hancock, 1445
                               Ross Avenue, Suite    Ross Avenue, Suite
                               1200 (6SF), Dallas,   1200 (6SF), Dallas,
                               TX 75202-2733,        TX 75202-2733,
                               Phone (214) 665-      Phone (214) 665-
                               6688, Fax (214) 665-  6688, Fax (214) 665-
                               6660.                 6660.
7--IA, KS, MO, NE...........  Susan Klein, 11201    Jennifer Morris,
                               Renner Boulevard      11201 Renner
                               (SUPRSTAR), Lenexa    Boulevard
                               KS 66219, Phone       (SUPRSTAR), Lenexa
<PHONE_NUMBER>, Fax   KS 66219, Phone
<PHONE_NUMBER>.<PHONE_NUMBER>, Fax
<PHONE_NUMBER>.
8--CO, MT, ND, SD, UT, WY...  Christina Wilson,     Melisa Devincenzi,
                               1595 Wynkoop Street   1595 Wynkoop Street
                               (EPR-AR), Denver,     (EPR-AR), Denver,
                               CO 80202-1129,        CO 80202-1129,
                               Phone (303) 312-      Phone (303) 312-
                               6706, Fax (303) 312-  6377, Fax (303) 312-
                               6065.                 6962.
9--AZ, CA, HI, NV, AS, GU,    Eugenia Chow, 75      Jose Garcia, Jr.,
 MP.                           Hawthorne St. (SFD-   600 Wilshire Blvd,
                               6-1), San             Suite 1460, Los
                               Francisco, CA         Angeles, CA 90017,
                               94105, Phone (415)    Phone (213) 244-
                               972-3160, Fax (415)   1811, Fax (213) 244-
                               947-3520.             1850.
10--AK, ID, OR, WA..........  Mary K. Goolie, 222   Mary K. Goolie, 222
                               West 7th Avenue #19   West 7th Avenue #19
                               (AOO), Anchorage,     (AOO), Anchorage,
                               AK 99513 Phone        AK 99513 Phone
<PHONE_NUMBER>, Fax<PHONE_NUMBER>, Fax
<PHONE_NUMBER>.<PHONE_NUMBER>.
------------------------------------------------------------------------

Appendix A

Funding Guidance for CERCLA 128(a) Small Technical Assistance Grants

    Section 128(a)(1)(B)(ii)(III) of the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA), as amended,
authorizes a noncompetitive $1.5 million grant program to assist
small communities, Indian tribes, rural areas, or disadvantaged
areas to carryout section CERCLA 104(k)(7) (by providing training,
research, and technical assistance to individuals and organizations,
as appropriate, to facilitate the inventory of brownfields sites,
site assessments, remediation of brownfield sites, community
involvement, or site preparation). Statutory definitions of
communities eligible to receive funding on behalf of a state or
tribe. A recipient can define community as a census track:
    Disadvantaged Area--The term `disadvantaged area' means a
community with an annual median household income that is less than
80 percent of the statewide annual median household income, as
determined by the President based on the latest available decennial
census and/or
    Small Community--the term `small community' means a community
with a population of not more than 15,000 individuals, as determined
by the President based on the latest available decennial census.
    State and tribes with active CERCLA 128(a) grants and are
requesting funds in fiscal year 2019 are eligible to submit one
request on behalf of a small community or disadvantaged area. The
maximum amount of funding allowed is $20,000. The funding will be
awarded as part of the FY19 CERCLA 128(a) funding grant. Requests
will be considered based on the following:
     Readiness of the recipient and community to complete
the project within a year of award,
     the recipient is in good standing with their current
CERCLA 128(a) grant,
     has documented support from the community benefiting
from this grant, and
     adequately responds to the criteria listed below.
    Information to include in the request:
     The amount of funding requested,
     a description of the target community and how they meet
the statutory definition of disadvantaged area or small community,
     a description of the proposed project, including a
description of key activities, and how it will further brownfields
reuse,
     the expected outcomes and timeline to complete the
project,
     how/who will be conducting the activities (e.g., state,
tribe, contractor)
     if additional resources are necessary to complete the
project, please explain how you will secure them,
     an explanation of why existing state and tribal funding
is inadequate to complete the proposed project,
     and demonstrate that the community supports the state
or tribe receiving the grant
    Requests should be no more than 2 pages.
    These funds may not be places in Performance Partnership Grants.

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 12, 2018.
David R. Lloyd,
Director, Office of Brownfields and Land Revitalization, Office of Land
and Emergency Management.
[FR Doc. 2018-20736 Filed 9-27-18; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register: May 1, 2008 (Volume 73, Number 85)]
[Notices]
[Page 24100-24101]
[DOCID:fr01my08-88]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-57712; File No. SR-Phlx-2007-69]

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.;
Order Granting Approval of a Proposed Rule Change, as Modified by
Amendment Nos. 1 and 2 Thereto, Relating to Obvious Errors

April 24, 2008.

I. Introduction

    On September 4, 2007, the Philadelphia Stock Exchange, Inc.
(``Phlx'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to amend Phlx Rule 1092, the
Exchange's obvious error rule (``Obvious Error Rule''). On February 29,
2008, the Exchange filed Amendment No. 1 to the proposed rule change.
On March 11, 2008, the Exchange filed Amendment No. 2 to the proposal.
The proposed rule change, as modified, was published for comment in the
Federal Register on March 18, 2008.\3\ The Commission received no
comment letters on the proposal, as modified. This order approves the
proposed rule change, as modified by Amendment Nos. 1 and 2.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Securities Exchange Act Release No. 57482 (March 12, 2008),
73 FR 14544.
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    The Exchange proposes to amend Rule 1092 to: (i) Change the
definition of Theoretical Price to mean either the last National Best
Bid price, with respect to an erroneous sell transaction or the last
National Best Offer price, with respect to an erroneous buy
transaction, just prior to the trade; (ii) allow an Options Exchange
Official \4\ to establish the Theoretical Price when there are no
quotes for comparison purposes, or when the National Best Bid/Offer
(``NBBO'') for the affected series, just prior to the erroneous
transaction, was at least two times the permitted bid/ask differential
permitted under Exchange Rule 1014(c)(1)(A)(i)(a); (iii) establish the
Theoretical Price for transactions occurring as part of the Exchange's
automated opening system as the first quote after the transaction(s) in
question that does not reflect the erroneous transaction(s); (iv)
determine the average quote width for the underlying security by adding
the quote widths of sample quotations at regular 15-second intervals
during the two minutes preceding and following an erroneous
transaction; (v) delete the provision pertaining to trades that are
automatically executed when the specialist or Registered Options Trader
(``ROT'') sells $.10 or more below parity; (vi) permit nullification of
transactions that occur during trading halts in the affected option on
the Exchange or in the underlying security in specified situations; and
(vii) increase the time period, which varies depending on the status of
the party, within which a party who believes it participated in an
erroneous transaction must notify the Exchange's Market Surveillance
Department, and allow a longer notification time period for certain
erroneous transactions involving a non-broker-dealer customer that
occur as part of the Phlx's automated opening process.
---------------------------------------------------------------------------

    \4\ See Phlx Rule 1(pp).
---------------------------------------------------------------------------

    The Commission finds that the proposed rule change is consistent
with the requirements of the Act and the rules and regulations
thereunder applicable to a national securities exchange \5\ and, in
particular, the requirements of Section 6(b) of the Act \6\ and the
rules and regulations thereunder. Specifically, the Commission finds
that the proposal is consistent with Section 6(b)(5) of the Act,\7\ in
that the proposal is designed to promote just and equitable principles
of trade, remove impediments to and perfect the mechanism of a free and
open market and a national market system, and, in general, protect
investors and the public interest.
---------------------------------------------------------------------------

    \5\ In approving this proposal, the Commission has considered
the proposed rule's impact on efficiency, competition, and capital
formation. 15 U.S.C. 78c(f).
    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Commission considers that, in most circumstances, trades that
are executed between parties should be honored. On rare occasions, the
price of the executed trade indicates an ``obvious error'' may exist,
suggesting that it is unrealistic to expect that the parties to the
trade had come to a meeting of the minds regarding the terms of the
transaction. In the Commission's view, the determination of whether an
``obvious error'' has occurred should be based on specific and
objective criteria and subject to specific and objective procedures.
    The Commission believes that the proposed revisions to the
definition of Theoretical Price provide clear and objective standards
for determining when an obvious price error exists. The Commission also
believes that the proposed revisions to the time periods

for requesting review of a transaction, including for certain erroneous
transactions involving a non-broker-dealer customer that occur during
the Exchange's automated opening process, as well as the proposal to
sample quotations at 15-second intervals to determine the average quote
width of the underlying security, represent reasonable modifications to
the Obvious Error Rule. Furthermore, the Commission believes that
eliminating the provision pertaining to trades that are automatically
executed when the specialist or ROT sells $.10 or more below parity and
permitting the nullification of transactions that occur during trading
halts in the affected option on the Exchange or in the underlying
security in specified situations are clear and objective. Therefore,
the Commission believes that the proposed changes to the Obvious Error
Rule are appropriate.

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\8\ that the proposed rule change (SR-Phlx-2007-69), as modified by
Amendment Nos. 1 and 2, is hereby approved.
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    \8\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
---------------------------------------------------------------------------

    \9\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E8-9539 Filed 4-30-08; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 77, Number 16 (Wednesday, January 25, 2012)]
[Notices]
[Pages 3752-3754]
[FR Doc No: 2012-1472]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RD11-8-000]

Commission Information Collection Activities (FERC-7http://www.nerc.com/page.php?cid=3|25I); Comment
Request

AGENCY: Federal Energy Regulatory Commission.

ACTION: Comment request.

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SUMMARY: In compliance with the requirements of the Paperwork Reduction
Act of 1995, 44 U.S.C. 3507(a)(1)(D), the Federal Energy

Regulatory Commission (Commission or FERC) is submitting the
information collection FERC-7http://www.nerc.com/page.php?cid=3|25I, Mandatory Reliability Standards for
the Northeast Power Coordinating Council, to the Office of Management
and Budget (OMB) for review of the information collection requirements.
Any interested person may file comments directly with OMB and should
address a copy of those comments to the Commission as explained below.
The Commission solicited comments in an order published in the Federal
Register (76 FR 66057, 10/http://www.nerc.com/page.php?cid=3|25/2011) requesting public comments. FERC
received no comments on the FERC-7http://www.nerc.com/page.php?cid=3|25I and is making this notation in
its submission to OMB.

DATES: Comments on the collection of information are due by February
24, 2012.

ADDRESSES: Comments filed with OMB, identified by collection FERC-7http://www.nerc.com/page.php?cid=3|25I,
should be sent via email to the Office of Information and Regulatory
Affairs<EMAIL_ADDRESS>Attention: Federal Energy Regulatory
Commission Desk Officer. The Desk Officer may also be reached via
telephone at<PHONE_NUMBER>.
    A copy of the comments should also be sent to the Federal Energy
Regulatory Commission, identified by the Docket No. RD11-8-000, by
either of the following methods:
     eFiling at Commission's Web Site: http://www.ferc.gov/docs-filing/efiling.asp.
     Mail/Hand Delivery/Courier: Federal Energy Regulatory
Commission, Secretary of the Commission, 888 First Street NE.,
Washington, DC 20426.
    Instructions: All submissions must be formatted and filed in
accordance with submission guidelines at: http://www.ferc.gov/help/submission-guide.asp. For user assistance contact FERC Online Support
by email at<EMAIL_ADDRESS>or by phone at:<PHONE_NUMBER>
(toll-free), or<PHONE_NUMBER> for TTY.
    Docket: Users interested in receiving automatic notification of
activity in this docket or in viewing/downloading comments and
issuances in this docket may do so at http://www.ferc.gov/docs-filing/docs-filing.asp.

FOR FURTHER INFORMATION CONTACT: Ellen Brown may be reached by email at
<EMAIL_ADDRESS>by telephone at<PHONE_NUMBER>, and by fax at
(202) 273-0873.

SUPPLEMENTARY INFORMATION:
    Title: FERC-7http://www.nerc.com/page.php?cid=3|25I, Mandatory Reliability Standards for the Northeast
Power Coordinating Council.
    OMB Control No.: To be determined.
    Type of Request: Three-year approval of the FERC-7http://www.nerc.com/page.php?cid=3|25I information
collection requirements.
    Abstract: This information collection relates to FERC-approved
Reliability Standard, PRC-002-NPCC-01--Disturbance Monitoring. This
Northeast Power Coordinating Council (NPCC) regional Reliability
Standard requires respondents to provide recording capability necessary
to monitor the response of the Bulk-Power System to system
disturbances, including scheduled and unscheduled outages; requires
each reliability coordinator to establish requirements for its area's
dynamic disturbance recording needs; and establishes disturbance data
reporting requirements.
    Reliability Standard PRC-002-NPCC-01 introduces several new
mandatory and enforceable requirements for the applicable entities.
However, NPCC presently has criteria \1\ and published guidance \2\
addressing similar requirements that the new Reliability Standard make
mandatory. Thus, it is currently usual and customary for affected
entities within NPCC to create, maintain and store some of the same or
equivalent information identified in Reliability Standard PRC-002-NPCC-
01. Therefore, many of the requirements contained in PRC-002-NPCC-01 do
not impose new burdens on the affected entities.\3\
---------------------------------------------------------------------------

    \1\ Disturbance Monitoring Equipment Criteria (Aug. 2007),
available at https://www.npcc.org/Standards/Criteria/A-15.pdf
(Disturbance Monitoring Criteria).
    \2\ Guide for Application of Disturbance Recording Equipment
(Sept. 2006), available at https://www.npcc.org/Standards/Guides/B-26.pdf (Application Guide).
    \3\ 5 CFR 1320.3(b)(2) (2011).
---------------------------------------------------------------------------

    Several requirements contained in regional Reliability Standard
PRC-002-NPCC-01 do introduce entirely new responsibilities for the
applicable entities and each of these is listed in the estimated annual
burden section below.
    Type of Respondents: Transmission owners, generator owners and
reliability coordinators within the NPCC region.\4\
---------------------------------------------------------------------------

    \4\ These entity types are contained in the North American
Electric Reliability Corporation's compliance registry. See http://www.nerc.com/page.php?cid=3|25[verbar]http://www.nerc.com/page.php?cid=3|25 for more information.
---------------------------------------------------------------------------

    Estimate of Annual Burden: \5\
---------------------------------------------------------------------------

    \5\ Burden is defined as the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. For
further explanation of what is included in the information
collection burden, reference 5 Code of Federal Regulations 1320.3.

----------------------------------------------------------------------------------------------------------------
                                           Number of       Number of
            PRC-002-NPCC-01               respondents    responses per    Average  burden hours    Total annual
                                         annually \6\     respondent          per response             hours
                                                   (1)             (2)  (3).....................         (1x2x3)
----------------------------------------------------------------------------------------------------------------
R13: GO \7\ and TO to document                       1               1  Record Retention--10....              10
 acquisition and installation of
 dynamic disturbance recorders. GO,
 TO, and RC to develop and employ
 implementation schedule.
R14.5: GO and TO maintenance and                   163              12  Record Retention--5.....           9,780
 testing program for stand-alone
 disturbance monitoring equipment
 includes monthly verification of
 active analog quantities.
R14.7: GO and TO requirement to return              33               1  Reporting (assessment                330
 failed units to service in 90 days.                                     and dist. of records)--
 Record kept of efforts if greater                                       10.
 than 90 days \8\.
                                                                       -----------------------------------------
                                                                        Record Retention--10....             330
R17: RC maintains data on equipment,                 5               1  Reporting (assessmenthttp://www.nerc.com/page.php?cid=3|25 25
 and provide to RE upon request.                                         and dist. of data)--5.
                                                                       -----------------------------------------
                                                                        Record Retention--10....              50
                                       -------------------------------------------------------------------------

    Sub-total.........................  ..............  ..............  Reporting (assessment                355
                                                                         and dist).
                                                                       -----------------------------------------
                                                                        Record Retention........          10,170
                                       -------------------------------------------------------------------------
        Total.........................  ..............  ..............  ........................          10,5http://www.nerc.com/page.php?cid=3|25
----------------------------------------------------------------------------------------------------------------

    The total estimated annual cost resulting from this Reliability
Standard is made up the hourly wage cost for record retention and
reporting, and the compliance cost for new equipment. The total cost
\9\ is $1,077,360 ($284,760 + $42,600 + $750,000). The individual
components of this cost are:
---------------------------------------------------------------------------

    \6\ The estimate below regarding the number of respondents is
based on the NERC compliance registry as of August 29, 2011. After
accounting for double counting, the net number of entities
responding will be approximately 167 entities registered as a
transmission owner, generation owner, or reliability coordinator.
    \7\ For purposes of this chart, generation owner is abbreviated
to GO, transmission owner is abbreviated to TO, and reliability
coordinator is abbreviated to RC.
    \8\ We estimate that an entity will experience a unit failure
greater than 90 days once every five years. Therefore, 20 percent of
NPCC's 163 generator owners and transmission owners will experience
a unit failure of this duration each year.
    \9\ In the initial order there was a calculation error in the
total cost and in the record retention cost. The difference is minor
and has been corrected here.
---------------------------------------------------------------------------

     Estimated annual record retention cost \10\ = 10,170 hours
@ $28/hour = $284,360
---------------------------------------------------------------------------

    \10\ The hourly reporting cost is based on the estimated cost of
an engineer to implement the requirements of the rule. The record
retention cost comes from Commission staff research on record
retention requirements.
---------------------------------------------------------------------------

     Estimated annual reporting cost = 355 hours @ $120/hour =
$ 42,600
    Total estimated non-hourly annual compliance cost \11\ (acquisition
and installation of dynamic disturbance recorders) = $750,000
---------------------------------------------------------------------------

    \11\ We estimate that annually, approximately one entity within
NPCC will have to procure dynamic disturbance recording capability
and the total acquisition and installation cost will range between
$150,000 and $750,000. We use the higher estimate here.
---------------------------------------------------------------------------

    Comments: Comments are invited on: (1) Whether the collection of
information is necessary for the proper performance of the functions of
the Commission, including whether the information will have practical
utility; (2) the accuracy of the agency's estimate of the burden and
cost of the collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility and clarity of the information collection; and (4) ways to
minimize the burden of the collection of information on those who are
to respond, including the use of automated collection techniques or
other forms of information technology.

    Dated: January 18, 2012.
Kimberly D. Bose,
Secretary.
[FR Doc. 2012-1472 Filed 1-24-12; 8:45 am]
BILLING CODE 6717-01-P