[Federal Register: August 15, 2003 (Volume 68, Number 158)]
[Notices]
[Page 48902-48908]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15au03-59]
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ENVIRONMENTAL PROTECTION AGENCY
[OPPT-2003-0033; FRL-7315-3]
Solicitation of Applications for Lead-Based Paint Program Grants;
Notice of Availability of Funds
AGENCY: Environmental Protection Agency (EPA).
ACTION: Notice.
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SUMMARY: This notice announces EPA's intent to enter into cooperative
agreements with States, Territories, Indian Tribes, Intertribal
Consortia, and the District of Columbia to provide financial assistance
for purposes of developing and carrying out EPA-authorized lead-based
paint programs. These programs and this financial assistance are
authorized by section 404 of the Toxic Substances Control Act (TSCA).
In order for Indian Tribes and Intertribal Consortia to be eligible for
financial assistance under this program, the Indian Tribes must
demonstrate that they meet the criteria for treatment as a State. The
total amount of fiscal year (FY) 2003 funding to be awarded to States,
Territories, Indian Tribes, Intertribal Consortia, and the District of
Columbia for development and implementation of EPA-authorized lead-
based paint programs, and for EPA's direct implementation of such
programs for those States, Territories, the District of Columbia, and
Indian Tribes that do not have EPA-authorized programs is $12.5
million. For FY2003, the Agency is allocating up to $1.0 million of
these funds for the Indian Tribes and Intertribal Consortia.
DATES: Applications submitted by States, Territories, and the District
of Columbia for financial assistance, identified by docket ID number
OPPT-2003-0033, must be received by EPA Regional staff on or before
September 15, 2003. Applications submitted by Indian Tribes and
Intertribal Consortia for financial assistance, identified by docket ID
number OPPT-2003-0033, must be received by EPA Regional staff on or
before September 29, 2003.
ADDRESSES: Applications may be submitted by mail, or in some instances
electronically. Please follow the detailed instructions provided in
Unit I. of the SUPPLEMENTARY INFORMATION. To ensure
[[Page 48903]]
proper receipt by EPA, it is imperative that you identify docket ID
number OPPT-2003-0033 in the subject line on the first page of your
response.
FOR FURTHER INFORMATION CONTACT: For general information contact:
Barbara Cunningham, Director, Environmental Assistance Division
(7408M), Office of Pollution Prevention and Toxics, Environmental
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460;
telephone number: (202) 554-1404; e-mail address: TSCA-Hotline@epa.gov. For technical information contact: The appropriate Regional Lead
Coordinator listed in Unit I.C. of the SUPPLEMENTARY INFORMATION.
SUPPLEMENTARY INFORMATION:
I. General Information
A. Does This Action Apply to Me?
This action is directed to States, Territories, eligible Indian
Tribes, and Intertribal Consortia, and the District of Columbia to
develop and carry out authorized lead-based paint programs under TSCA
section 404. In order for Indian Tribes and Intertribal Consortia to be
eligible for financial assistance under this program, the Tribes or
Intertribal Consortia must demonstrate that they meet the criteria at
40 CFR 35.693 for treatment as a State. In order for Intertribal
Consortia to be eligible for financial assistance under TSCA section
404(g) they must also meet the requirements at 40 CFR 35.504. If you
have any questions regarding the applicability of this action to a
particular entity, consult the technical person listed under FOR
FURTHER INFORMATION CONTACT.
B. How Can I Get Additional Information, Including Copies of This
Document or Other Related Documents?
1. Docket. EPA has established an official public docket for this
action under docket identification (ID) number OPPT-2003-0033. The
official public docket consists of the documents specifically
referenced in this action. The official public docket is the collection
of materials that is available for public viewing at the EPA Docket
Center, Rm. B102-Reading Room, EPA West, 1301 Constitution Ave., NW.,
Washington, DC. The EPA Docket Center is open from 8:30 a.m. to 4:30
p.m., Monday through Friday, excluding legal holidays. The EPA Docket
Center Reading Room telephone number is (202) 566-1744 and the
telephone number for the OPPT Docket, which is located in EPA Docket
Center, is (202) 566-0280.
2. Electronic access. You may access this Federal Register document
electronically through the EPA Internet under the ``Federal Register''
listings at http://www.epa.gov/fedrgstr/.
You may also access this document on the Home Page for the Office
of Pollution Prevention and Toxics at http://www.epa.gov/lead. Select
``What's New.'' Hard copies of this document are available from the
appropriate Regional Primary Lead person listed in Unit I.C.
An electronic version of the public docket is available through
EPA's electronic public docket and comment system, EPA Dockets. You may
use EPA Dockets at http://www.epa.gov/edocket/ to submit or view public
comments, access the index listing of the contents of the official
public docket, and to access those documents in the public docket that
are available electronically. Although not all docket materials may be
available electronically, you may still access any of the publicly
available docket materials through the docket facility identified in
Unit I.B.1. Once in the system, select ``search,'' then key in the
appropriate docket ID number.
C. How and to Whom Do I Submit an Application?
You may submit an application through the mail, or in some
instances electronically, to the Regional Lead Coordinator in the
appropriate EPA Regional Office. The mailing addresses and contact
telephone numbers for these offices are listed below. To ensure proper
receipt by EPA, it is imperative that you identify docket ID number
OPPT-2003-0033 in the subject line on the first page of your response.
Region I: (Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, and Vermont), Regional Contact--James Bryson, USEPA Region I,
One Congress St., Suite 1100 (CPT), Boston, MA 02114-0203; telephone
number: (617) 918-1524; e-mail address: bryson.jamesm@epa.gov. Region II: (New Jersey, New York, Puerto Rico, and the Virgin
Islands), Regional Contact--Lou Bevilacqua, USEPA Region II, MS-225,
2890 Woodbridge Ave., Edison, NJ 08837; telephone number: (732) 321-
6671; e-mail address: bevilacqua.lou@epa.gov. Region III: (Delaware, Maryland, Pennsylvania, Virginia, West
Virginia, and the District of Columbia), Regional Contact--Demian
Ellis, USEPA Region III, (3WC33), 1650 Arch Street, Philadelphia, PA
19103-2029; telephone number: (215) 814-3114; e-mail address:
ellis.demian@epa.gov. Region IV: (Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, South Carolina, and Tennessee), Regional Contact--Keith
Bates, USEPA Region IV, 61 Forsyth Street, S.W., Atlanta, GA 30303;
telephone number: (404) 562-8992; e-mail address: bates.keith@epa.gov. Region V: (Illinois, Indiana, Michigan, Minnesota, Ohio, and
Wisconsin), Regional Contact--David Turpin, USEPA Region V (DT-8J), 77
W. Jackson Blvd., Chicago, IL 60604; telephone number: (312) 886-7836;
e-mail address: turpin.david@epa.gov. Region VI: (Arkansas, Louisiana, New Mexico, Oklahoma, and Texas),
Regional Contact--Eva Steele, USEPA Region VI, 1445 Ross Ave., 12th
Floor, Dallas, TX 75202; telephone number: (214) 665-7211; e-mail
address: steele.eva@epa.gov. Region VII: (Iowa, Kansas, Missouri, and Nebraska), Regional
Contact--Randall Whipple, USEPA Region VII, ARTD/RALI, 901 North 5th,
Kansas City, KS 66101; telephone number: (913) 551-7093; e-mail
address: whipple.randall@epa.gov. Region VIII: (Colorado, Montana, North Dakota, South Dakota, Utah,
and Wyoming), Regional Contact--David Combs, USEPA Region VIII, 999
18th St., Suite 300, Denver, CO 80202; telephone number: (303) 312-
6021; e-mail address: combs.dave@epa.gov. Region IX: (Arizona, California, Hawaii, Nevada, American Samoa,
and Guam), Regional Contact--Mary Aycock, USEPA Region IX, (CMD-4-2),
75 Hawthorne St., San Francisco, CA 94105; telephone number: (415) 947-
4169; e-mail address: aycock.mary@epa.gov. Region X: (Alaska, Idaho, Oregon, and Washington), Regional
Contact--Barbara Ross, USEPA Region X, Solid Waste and Toxics Unit
(WCM-128), 1200 Sixth Ave., Seattle, WA 98101; telephone number: (206)
553-1985; e-mail address: ross.barbara@epa.gov.
D. What Should I Consider as I Prepare My Application for EPA?
1. Purpose and scope. EPA awards non-matching cooperative
agreements under TSCA section 404(g) to States, Territories, eligible
Indian Tribes and Intertribal Consortia, and the District of Columbia
to develop and carry out authorized lead-based paint programs. The term
``Territory'' includes the Commonwealth of Puerto Rico, the Virgin
Islands, Guam, American Samoa, the Northern Mariana Islands, and any
other Territory or possession of the United States. Also, hereinafter,
the term ``States'' includes the ``District of Columbia.'' In the past,
recipients of the grants have used the funds to assist in program
development and prepare for
[[Page 48904]]
program authorization. EPA intends to continue to support the
development and authorization of these programs as well as
implementation of authorized programs as budget constraints allow. This
Notice has been developed based on the knowledge that some States,
Tribes, and Territories have received authorization and that several
States and Indian Tribes are continuing to develop their programs. This
Notice addresses the criteria EPA will consider when evaluating the
grant proposals submitted to the Agency.
Under TSCA section 404, EPA authorizes States, Territories, and
eligible Indian Tribes and Intertribal Consortia to administer lead-
based paint programs in lieu of the corresponding Federal program.
These lead-based paint programs are intended to reduce the incidence of
childhood lead poisoning by ensuring that individuals conducting lead-
based paint activities are properly trained and certified and that
renovation contractors provide lead-hazard information to building
owners and residents. EPA issued regulations to establish these lead-
based paint programs under the authority of TSCA sections 402 and 406.
In 40 CFR part 745, subpart L, EPA promulgated regulations pursuant
to TSCA section 402 that cover the training and certification of
individuals engaged in lead-based paint activities. In 40 CFR part 745,
subpart E, EPA issued regulations pursuant to TSCA section 406. The
regulation requires persons performing renovation in residential
housing to provide a lead hazard information pamphlet to the owner and
occupant of the housing prior to renovation. The procedures for
authorizing States, Territories, and eligible Indian Tribes and
Intertribal Consortia to implement these lead-based paint programs are
found at 40 CFR part 745, subpart Q.
2. Goal and objectives. Pursuant to Title IV of TSCA, EPA
encourages States, Territories, Indian Tribes, and Intertribal
Consortia to seek authorization of their own lead-based paint programs.
EPA's goal is to have authorized programs in all States and a large
number of Territories, and on a large number of Indian Tribal lands.
EPA therefore recommends that parties seek funding through the TSCA
Title IV section 404(g) assistance program, which is being implemented
to assist with development and implementation of lead-based paint
programs.
Since 1994, EPA has been offering financial assistance under TSCA
section 404(g) in the form of cooperative agreements without matching-
fund requirements. In the upcoming funding cycle, the Agency will
continue to work with eligible applicants to develop cooperative
agreements consistent with the objectives critical to the ultimate
success of implementation of a national lead program, with the emphasis
on State, Territorial, Indian Tribal, and Intertribal Consortium
programs. Although EPA's goal is to have authorized programs in all
States and a large number of Territories, and on a large number of
Indian Tribal lands, the Agency and Congress anticipated that there
would be a number of States, Territories, and Indian Tribes that would
not seek program authorization. Consistent with authority granted in
the Agency's FY 1998 Appropriation Act (Ref. 1), and the provisions
contained within, EPA is authorized to use section 404(g) funds to
implement a Federal lead-based paint program for non-authorized States,
Territories, and Indian Tribes. See 40 CFR 35.116 and 40 CFR 35.516.
[Note: Where the Agency has direct implementation responsibilities, EPA
cannot provide financial assistance under this grant program to non-
authorized States, Indian Tribes, or Intertribal Consortia, or
Territories to assist the Agency in implementing and enforcing a
Federal program under TSCA section 404(h).]
The cooperative agreements must be used to develop and implement
authorized programs. States, Territories, Indian Tribes, and
Intertribal Consortia that do not have authorized programs may receive
cooperative agreement funding, but only for the continued development
of lead-based paint programs which will meet the requirements of TSCA
Title IV. To receive continued funding, States, Territories, Indian
Tribes, and Intertribal Consortia without an authorized program must be
making progress toward an authorized program. Therefore, the Regional
Offices, as part of their grant oversight responsibilities, will work
with the grantees to determine the appropriate amount of continued
funding based upon the amount of developmental work to be completed as
the grantee makes progress toward authorization. Eligible parties may
utilize this grant support in a way that complements and does not
duplicate activities for which they already receive or could receive
financial assistance from other Federal sources (e.g., Center for
Disease Control (CDC) and U.S. Department of Housing and Urban
Development (HUD)).
This section 404(g) Notice is one of two Notices that announce the
availability of funds for Indian Tribes and Intertribal Consortia
conducting various lead-based paint activities. A separate Federal
Register notice titled Educational Outreach and Baseline Assessment of
Existing Exposure and Risks of Exposure to Lead Poisoning of Tribal
American Children, also called Title X Tribal Lead Grant Program, will
be published at a later date. As stated in this unit, Indian Tribes and
Intertribal Consortium, as well as all grantees, will not be awarded
grants to fund the same activities from more than one source. Although
a Tribe may apply to receive grant funding from both Notices, they each
have very distinct objectives. The grant program opportunities
described in the other Notice may serve as precursors to, but not as
equivalents or supplements to, the section 404(g) lead-based paint
grant program described in this Notice. Grant funds will not be awarded
to Tribes who apply for both grant programs during the same time. The
section 404(g) lead-based paint grant program, for which funding is
provided in this Notice, involves infrastructure development for the
anticipated implementation of a lead program and does not include
activities (testing for lead in blood, paint, dust, or soil samples, or
general outreach and education activities) listed in the other Notice.
Under TSCA, authorized lead-based paint training and certification
programs are required to collect fees to cover certain costs incurred
by the program. These fees are considered ``program income,'' which is
defined as ``gross income received by a grantee or subgrantee directly
generated by a grant supported activity, or earned only as a result of
the grant agreement during the grant period.'' See 40 CFR 31.25(b). It
includes income from fees for services performed by the recipient.
Program income generated by activities supported under TSCA section
404(g) grants may include fees that a State, Territory, Indian Tribe,
or Intertribal Consortium charges for training, accreditation,
certification, licensing or other services performed by the lead
training and certification programs, as well as fees that are collected
which provide for enforcement of standards and regulations.
Consequently, States, Indian Tribes, Intertribal Consortia, and
Territories must comply with the rules governing ``program income,''
found at 40 CFR 31.25, and use the funds generated by grant supported
activities to assist with program operation costs.
3. Eligibility. States, Territories, Indian Tribes, and Intertribal
Consortia are eligible to apply for financial assistance under this
program if they are either implementing an EPA-authorized lead-based
paint program pursuant to 40 CFR part 745, subpart Q or developing
[[Page 48905]]
a lead-based paint program that may be authorized in the future.
However, funds will be awarded based upon the progress made by the
applicant in developing an acceptable program, including implementing
regulations. Failure to make satisfactory progress toward program
authorization will result in a State, Territory, Indian Tribe, or
Intertribal Consortium not receiving funding. The EPA Regional Offices,
as part of their grant oversight responsibilities, will have discretion
with respect to determining whether sufficient progress is being made
by a given State, Territory, Indian Tribe, and/or Intertribal
Consortium toward the development and implementation of a program under
TSCA Title IV.
States, Territories, eligible Indian Tribes and Intertribal
Consortia may choose to combine section 404(g) grant funds with other
environmental program grants as part of a performance partnership grant
(PPG) if the requirements in 40 CFR 35.130 through 35.138 (which apply
to States) and 40 CFR 35.530 through 35.538 (which apply to Indian
Tribes and Intertribal Consortia) are adhered to by the grantee.
4. Authority. The TSCA Title IV lead-based paint program is a
cooperative agreement program administered by EPA under the authority
of section 404(g) of TSCA. Regulations governing these cooperative
agreements are found at 40 CFR part 31 (Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local
Governments). Regulations which supplement the EPA general assistance
regulations found in 40 CFR part 31 are found at 40 CFR part 35,
subpart A and subpart B. Contained within 40 CFR part 35 are specific
sections which govern grants and cooperative agreements for the lead-
based paint program under section 404(g); 40 CFR 35.270 through 35.273
(applicable to States, Territories, and the District of Columbia), and
40 CFR 35.690 through 35.693 (applicable to Indian Tribes and
Intertribal Consortia). The EPA Regional Offices administer the section
404(g) cooperative agreements pursuant to a delegation of authority
which permits the 10 EPA Regional Administrators to enter into
cooperative agreements with eligible States, Territories, Indian
Tribes, and Intertribal Consortia.
5. Activities to be funded. This Notice was developed by EPA's
Office of Pollution Prevention and Toxics (OPPT) in cooperation with
the Agency's 10 Regional Offices, to describe in more detail the
required elements of grant agreements funded under TSCA section 404(g),
to describe the eligible activities that will be considered for
funding, and to facilitate and support Regional administration of this
program. EPA's list of eligible grant activities includes activities
that are outlined as required elements of authorized lead-based paint
programs, including development of enabling legislation and
regulations, enforcement components, as well as other items associated
with performance reporting. The elements are specified in 40 CFR
745.325 through 745.327, and are repeated in this unit to assist with
the development of applicant work plans.
More recently, EPA promulgated its final TSCA section 403 lead
hazard standards. The hazard standards were published on December 22,
2000, and can be found at 40 CFR part 745, subpart D. The final TSCA
section 403 standards also amended the work practice standards for
lead-based paint activities found at 40 CFR 745.227. These amendments
establish clearance standards for dust, limit reuse of abated soil, add
a requirement for interpreting composite dust clearance samples, and
change risk assessment and clearance sampling requirements to ensure
compatibility between sampling results and the TSCA section 403 hazard
standards and section 402 clearance standards. In order to maintain
their authorization, authorized State, Territory, Indian Tribe, and
Intertribal Consortium lead-based paint activities programs must
develop lead hazard and clearance standards that are as protective of
human health and the environment as the Federal standards (40 CFR
745.324). TSCA section 404(g) funds can be utilized by authorized
States, Territories, Indian Tribes, and Intertribal Consortia to
develop and/or adopt lead hazard standards and clearance standards for
lead in soil, dust, and paint.
Another potential regulatory change should be considered by
applicants. Pursuant to TSCA section 402(c)(3), EPA is developing a
program that will integrate both regulatory and voluntary components,
to the extent that each is feasible, to govern the conduct of
renovation and remodeling activities that create lead-based paint
hazards. As with existing EPA lead-based paint regulations, States,
Territories, Indian Tribes, and Intertribal Consortia will be given the
opportunity to seek program authorization. While it may be some time
before this program is in place, States, Territories, Indian Tribes,
and Intertribal Consortia are encouraged to begin considering the need
for such a program in their jurisdiction. TSCA section 404(g) funds can
be utilized to assist in the regulatory component of this program. In
the interim, EPA has developed a model renovators training curriculum
titled ``Minimizing Lead-Based Paint Hazards During Renovation,
Remodeling, and Repainting.'' EPA has made this course available, and
is encouraging its use voluntarily until the renovation and remodeling
rule is effective. The course is available on the internet at http://www.epa.gov/lead/rrmodel.htm
, and a limited number of printed copies
are available from the National Lead Information Center at 1-800-424-
LEAD.
Although the list is not exhaustive, the following activities are
eligible for funding under section 404(g) if they are conducted in
support of developing and implementing lead-based paint programs
authorized pursuant to 40 CFR part 745, subpart Q. In addition, the
Agency will consider for funding other activities which focus on the
development and implementation of authorized programs, such as:
a. Develop and/or adopt lead hazard standards and clearance
standards for lead in soil, dust, and paint.
b. Develop and/or enact enabling legislation.
c. Adopt implementing regulations.
d. Develop a system to document certification of inspectors, risk
assessors, supervisors, workers and project designers.
e. Adjust or enhance the appropriate infrastructure to accommodate
additional program responsibilities.
f. Maintain, improve and/or develop the appropriate infrastructure
to successfully administer and enforce a program to ensure that
individuals engaged in lead-based paint activities are properly
trained, that training programs are accredited, and that contractors
and firms engaged in such activities are certified.
g. Maintain, improve and/or develop the appropriate infrastructure
to successfully administer and enforce a program to ensure that
renovation contractors provide lead-hazard information to building
owners and residents.
h. Oversee the conduct of certified contractors engaged in lead-
based paint activities to ensure that they are conducting their
activities according to all applicable regulations, including
monitoring inspection, risk assessment, and abatement activities per
the authorized program.
i. Oversee accredited training programs per the authorized program.
j. Develop and/or revise as needed, work practice standards for the
conduct of lead-based paint activities associated with inspections,
risk assessments, and abatement.
[[Page 48906]]
k. Monitor compliance with work practice standards or regulations
for the conduct of abatement per the authorized program.
l. Implement the timely training of enforcement inspectors.
m. Implement lead-based paint compliance assistance programs.
n. Implement compliance and enforcement inspection sampling
techniques.
o. Adopt or develop specific lead-based paint hazard values or
standards.
p. Maintain, improve, and/or develop specific procedures and
supporting documentation to carry out the enforcement program as
described in an authorized program. Typical activities could include
development of administrative or civil action procedures and the
associated warning letters, notices of noncompliance, or the
equivalent.
q. Maintain, improve, and/or develop specific procedures and
supporting documentation to carry out the tracking of tips and
complaints as described in the authorized program. Typical activities
could include development of methods of recording the receipt of
complaints, referring lead-based paint complaints to appropriate State
or local agencies, tracking the follow-up investigation, tracking any
enforcement action associated with the complaint, and notifying
citizens of the disposition of their complaints.
r. Prepare a report per 40 CFR 745.327(d) and/or 40 CFR part 31
grant reporting requirements on the applicant's program progress and
performance.
s. Develop and/or revise as needed, the lead-based paint programs,
including regulations or procedures for decertification, suspension,
revocation or modification of approvals and certificates.
t. Develop and/or revise as needed, requirements for the
administration of a third-party certification exam.
u. Develop and/or revise as needed, lead-based paint programs'
authority to enter, for purposes of inspection, and other relevant
enforcement authorities.
v. Develop and/or revise as needed, enforcement remedies,
procedures, etc.
w. Maintain, improve and/or develop techniques for targeting lead-
based paint activities' inspections.
x. Improve the timeliness of the processing and follow-up of
inspection reports and other information generated through enforcement-
related activities associated with a lead-based paint program.
y. Enhance the capacity to improve compliance with Lead Program
laws, and effectively develop and issue enforcement remedies/responses
to violations.
z. Foster activities that would increase the efficiency of an
applicant's program to ensure that individuals engaged in lead-based
paint activities are properly trained; that training programs are
accredited; and that contractors engaged in such activities are
certified. These activities could include initiatives to develop local
capacity in low-income and rural areas, to promote increased
competition in the regulated community through agreements which permit
entities recognized by an outside jurisdiction to operate in the
grantees jurisdiction (referred to as ``reciprocity''), and similar
efforts.
6. Award and distribution of funds. EPA currently expects that up
to $12.5 million of FY2003 appropriated funds will be available during
the FY2003 funding cycle for financial assistance under TSCA section
404(g) for awards to States, Territories, Indian Tribes, and
Intertribal Consortia for development and implementation of EPA-
authorized lead-based paint programs, and for EPA's direct
implementation of programs in States, Territories, and Indian Tribes
that do not have EPA authorized programs. Additional TSCA section
404(g) carry-over funds from previous years may also be available from
some Regions. For FY2003 funding, the Agency is setting-aside $1
million of the $12.5 million for eligible Indian Tribes and Intertribal
Consortia. The remaining $11.5 million plus any available carry-over
dollars will be used to fund State, Territorial, and Federal lead-based
paint programs.
a. Financial assistance to Indian Tribes and Intertribal Consortia.
Each Indian Tribe and Intertribal Consortium that submits a qualifying
proposal and is making sufficient progress toward the development and/
or implementation of an acceptable lead-based paint program, as
determined by the EPA Regional Offices, may receive base funding of
$50,000. Though Indian Tribes and Intertribal Consortia may submit
qualifying proposals, the award of funds will be based upon the
applicant's progress in developing an acceptable program, including
implementing regulations and seeking program authorization from EPA.
Failure to make satisfactory progress toward program authorization may
result in the Indian Tribe or Intertribal Consortium receiving reduced
or no funding. The Regional Offices will have the discretion, as part
of their grant oversight responsibilities, to determine if the progress
being made toward program authorization is sufficient to warrant
funding. Further distribution of the Indian Tribal and Intertribal
Consortia set-aside funds will be dependent upon the number of
applicants, the progress that the grantee is making in developing a
program, the status of expenditures of previously awarded funds,
population, and the relative strength of the proposal. After the
closing date for submittal of Indian Tribe and Intertribal Consortium
applications specified in this Notice, EPA Headquarters and Regional
Offices will consider each of the proposals, and make decisions about
the level of funding to be awarded to each of the applicants. Following
those decisions, EPA Headquarters will transfer the funds to the
Regional Offices for award to the Tribes and Intertribal Consortia.
Indian Tribal and Intertribal Consortia set-aside funds are not
included in the formula funds pool for States and Territories discussed
in Unit I.D.6.b.
b. Financial assistance to States and Territories. The process used
by EPA for determining award funding levels for States and Territories
involves two steps. EPA Headquarters first determines, based on various
factors discussed below, the funding level that will be made available
to each of the EPA Regional Offices for grantee awards in the
respective regions. Following distribution of the funds to the EPA
Regional Offices, the Regional Offices then make decisions on the
actual funding level to be received by each of the grantees.
The Agency currently uses a three-tiered system to implement step
one: The process for deciding the amount of FY2003 cooperative
agreement funds that will be distributed to the EPA Regional Offices.
This system is designed to provide a base funding level for each
qualified applicant and to provide funding for EPA Headquarters and
Regional Offices to address direct program implementation
responsibilities, while providing funds targeted to areas with the
greatest potential lead burden. The system accomplishes this first by
providing a discretionary funding set-aside that is used to fund
special needs among the grantees; second by providing a base funding
set-aside for every State and Territorial applicant; and third by
providing funding based on a formula that considers the relative lead
burden estimated to exist within a State or Territory.
The discretionary funding set-aside involves setting aside $200,000
of funds for each of the 10 EPA Regional Offices (total $2.0 million)
for discretionary funding of grantee activities as well as the Regional
direct implementation activities. These funds are primarily
[[Page 48907]]
intended to provide each Region with the means of awarding funds to
States and Territories based upon the progress that the grantee is
making in developing a program, the overall quality of the program,
and/or identified needs. The EPA Regional Offices will also have the
discretion to use these dollars to help support the Federal lead-based
paint programs in non-authorized States, Territories, and Tribal lands
within the Region.
The base funding set-aside provides a base level of funds for every
State and Territorial applicant. Each State that submits a qualifying
proposal and is making sufficient progress toward development and
implementation of an authorized lead-based paint program may receive a
base funding allotment of $100,000. Each Territory that submits a
qualifying proposal and is making sufficient progress toward
implementation of an acceptable program may receive a $50,000 base.
However, base level funding for non-authorized States and Territories
may be reduced by the Regional Offices depending on progress made
toward the development and/or implementation of acceptable programs.
Funds are also set aside and are apportioned to EPA Regional and EPA
Headquarters Offices based upon direct implementation funding needs.
These funds are intended to ensure that EPA has adequate funds to
directly implement the lead-based paint program in non-authorized
States, Territories, and Indian Tribes.
Once base and discretionary funding set-asides are accounted for,
the remaining State and Territorial funds are allocated through the
third tier of the process, which involves allocating funds for every
State and Territorial applicant based on a formula that considers the
relative lead burden estimated to exist within States and Territories.
States and Territories whose funding requests exceed their base
allotments can be given additional funds (``formula funds'') based upon
their relative lead burden, and for this exercise, all 50 States, the
District of Columbia, and the Territories are used to calculate the
formula distribution.
In calculating the lead burden for the formula rankings, EPA uses
readily available data derived from the 2000 Census and the 2001
National Survey of Lead and Allergens in Housing prepared by the U.S.
Department of Housing and Urban Development. The formula uses four
factors to generate an estimate of the potential lead problem, or
``lead burden,'' in each State and Territory. Two of these factors, the
number of housing units with lead-based paint and the number of
children under age 6, express the potential magnitude of the lead
problem. The remaining two factors, the percentage of young children in
poverty and the number of low-income housing units with lead-based
paint, express the potential severity of the problem.
In determining formula rankings, each State and Territory is scored
independently for each factor, and the four individual factor scores
for each of the States and Territories are then summed to obtain an
overall score for that applicant (a combined factor score). The
combined factor scores of all States and Territories applying for
formula funds are then summed, and the percentage of the total sum
represented by the individual State's or Territory's score is then
identified. The applicant's formula allotment is determined by
multiplying the total formula funding by the percentage scores of the
individual State or Territory.
After funding levels (base, discretionary, and formula set-asides)
are determined for each State and Territory, the funds will be pooled
for each Region and transferred in bulk to the respective Regional
accounts.
Following distribution of the funds to the Regional Office
accounts, then the second step in the distribution process occurs;
Regional Offices determining the actual funding level to be received by
each of the grantees. Funding levels per grantee will be determined by
the Regional Offices based on the application submitted and may be
decreased or increased based on performance and/or by fiscal need,
which may include an evaluation of the progress that the grantee is
making in developing a program, an evaluation of the performance of the
grantee in implementing a program, an evaluation of expenditures of
previously awarded funds, and/or an evaluation of future funding needs.
7. Submission requirements. Applicants are directed to 40 CFR part
35, subpart A and subpart B for details on the submission requirements
for grant applications. To be considered for funding, each application
must include the following components listed in 40 CFR part 35.104
(applicable to States and Territories) or 40 CFR part 35.505
(applicable to Indian Tribes and Intertribal Consortia):
i. Meet the requirements in 40 CFR part 31, subpart B.
ii. Include a proposed work plan that meets the requirements in 40
CFR 35.107 (for States and Territories) or 40 CFR 35.507 (for Indian
Tribes or Intertribal Consortia).
iii. Specify the environmental program and the amount of funds
requested.
For TSCA Title IV section 404(g) funding for Indian Tribes, EPA is
soliciting pre-application grant proposals prior to the submittal of
the forms and certifications listed in this unit. This pre-application
procedure entails the applicants initially submitting only a work plan
and a budget. The Agency will use the applicants' work plans and
budgets to select programs to be funded under this grant program. After
EPA conducts a review of all submitted pre-applications, successful
applicants will be contacted and requested to submit the other required
documents listed in this unit, such as the ``Application for Federal
Assistance'' form (Standard Form 424 or SF424), and the ``Budget
Information: Non-Construction Programs'' form (SF424A). In addition, as
part of the pre-application, Indian Tribes and/or Intertribal Consortia
must include all appropriate information to demonstrate that they meet
the criteria at 40 CFR 35.693 for treatment as a State. In order for
Intertribal Consortia to be eligible for financial assistance under
section 404(g), they must include all appropriate information to
demonstrate that they meet the requirements at 40 CFR 35.504 concerning
eligibility.
The following forms and certifications, which are contained in
EPA's ``Application Kit for Assistance,'' must be included in all
applications:
a. Standard Form 424 (Application for Federal Assistance).
b. Standard Form 424A (Budget Information: Non-Construction
Programs).
c. Standard Form 424B (Assurances: Non-Construction Programs).
d. Standard Form LLL (Disclosure of Lobbying Activities).
e. Certification Regarding Debarment and Suspension.
f. EPA Form 4700-4 (Compliance Review Report Form).
g. Quality Assurance Statement.
Application Kits for Assistance are available from any of EPA's 10
Regional Offices.
The following regulations may also be helpful to the applicants as
they prepare their financial assistance applications: 40 CFR part 7
(Nondiscrimination in Programs Receiving Federal Assistance from the
EPA); 40 CFR part 12 (Nondiscrimination on the Basis of Handicap in
Programs or Activities Conducted by the EPA); 40 CFR part 32
(Government Wide Debarment and Suspension and Government Wide
Requirements for Drug-Free Workplace); and 40 CFR part 29
(Intergovernmental
[[Page 48908]]
Review of EPA Programs and Activities).
Where a single State or Territorial agency has been designated as
responsible for coordinating lead activities, EPA encourages that
agency to apply for funding under TSCA section 404(g). Coordination of
Federally funded lead activities by a single agency is viewed as
conducive to achieving integration of lead activities. Early
consultations are recommended between prospective applicants and their
EPA Regional Offices. Because TSCA grants will be administered at the
Regional level, these consultations can be critical to the success of a
project or program, and can also contribute substantially to efficient
program operations. As part of the work plan, EPA Regional Offices may
ask for additional information that will be useful in evaluating the
program such as the status of enabling legislation, a detailed line-
item budget with sufficient information to clearly justify costs, a
list of work products or deliverables, a schedule for their completion
and application for program authorization under TSCA, and a description
of any financial assistance received from other Federal sources
concerning the lead program. Applicants must also include all
appropriate information on program income in accordance with 40 CFR
31.25.
Work plans are to be negotiated between applicants and their
Regional Offices to ensure that both EPA and State, Territorial, or
Tribal priorities are addressed. Any application from a State,
Territory, Indian Tribe, or Intertribal Consortium that is not making
sufficient progress toward implementation of an acceptable program will
not be funded. Also, any applicant proposing the collection of
environmental or health related measurements or data generation must
adequately address the requirements of 40 CFR 31.45 relating to quality
assurance/quality control. EPA issued final guidance that provides
details about EPA's requirements for the preparation of ``quality
management plans.'' The finalized document is titled ``EPA Requirements
for Quality Management Plans'' (EPA QA/R-2, March 2001), and is
available from each Regional Office.
8. Application procedures. Applications must be submitted to the
appropriate EPA Regional Office in duplicate; one copy to the Regional
lead program branch and the other to the Regional grants management
branch. In the case of electronic applications, if allowed by a
particular EPA Regional Office, the applicant should follow the
procedures required by the Regional Office for submission of electronic
applications. After the formula funding calculations are determined and
the funds are transferred to the appropriate EPA Regional account, the
Regional Office lead contact person will contact the applicant and
discuss the final award allotment. EPA Regional Offices may request the
applicant to modify its proposed work plan and cooperative agreement
based upon the final cooperative agreement allotment. For Tribal
applicants, final negotiations for the award of the grants, including
the completion of a final work plan and budget, will be completed after
the determination of successful applicants.
9. Reporting. Pursuant to 40 CFR 31.40, grantees shall, at a
minimum, submit annual performance reports to the appropriate EPA
Regional Office. These requirements were approved by the Office of
Management and Budget (OMB) under OMB Control Number 2030-0020 (General
Administrative Requirement for Assistance Programs). The individual
Regional Offices may require that these reports be submitted on a
quarterly or semiannual basis, but not more frequently than quarterly.
The specific information contained within the report will include, at a
minimum, a comparison of actual accomplishments to the objectives
established for the period. Regional Offices may ask for the inclusion
of specific data (e.g., providing to EPA specific address information
associated with the abatement notifications that are received by the
grantee) as part of the annual performance report from the grantees
which may be useful for Agency reporting under the Government
Performance and Results Act. It is assumed that any data that is
requested to be submitted by the grantee will already have been
collected pursuant to the grantee's work plan.
II. What Action is the Agency Taking?
EPA is soliciting applications from States, Territories, Indian
Tribes, Intertribal Consortia, and the District of Columbia for
financial assistance for purposes of developing and carrying out EPA-
authorized lead-based paint programs. Approximately $12.5 million is
available to fund cooperative agreements with States, Indian Tribes,
Intertribal Consortia, Territories, and the District of Columbia for
development and implementation of EPA-authorized lead-based paint
programs.
III. Statutory Authority and Regulations
EPA is authorized under TSCA section 404(g) to make grants to
develop and carry out authorized lead-based paint programs. Regulations
governing these cooperative agreements are found at 40 CFR part 31 and
part 35.
IV. Submission to Congress and the Comptroller General
Grant solicitations such as this are considered rules for the
purpose of the Congressional Review Act (CRA). The CRA, 5 U.S.C. 801 et
seq., as added by the Small Business Regulatory Enforcement Fairness
Act of 1996 (SBREFA), generally provides that, before a rule may take
effect, the agency promulgating the rule must submit a rule report,
which includes a copy of the rule, to each House of the Congress and to
the Comptroller General of the United States. EPA will submit a report
containing this rule and other required information to the U.S. Senate,
the U.S. House of Representatives, and the Comptroller General of the
United States prior to publication of the rule in the Federal Register.
This rule is not a ``major rule'' as defined by 5 U.S.C. 804(2).
V. Reference
1. Departments of Veterans Affairs and Housing and Urban
Development, and Independent Agencies Appropriations Act, Public Law
105-65, 111 Stat. 1374.
List of Subjects
Environmental protection, Grants, Lead, Training and accreditation.
Dated: August 8, 2003.
Susan B. Hazen,
Acting Assistant Administrator, Office of Prevention, Pesticides and
Toxic Substances.
[FR Doc. 03-20898 Filed 8-14-03; 8:45 am]
BILLING CODE 6560-50-S