[Federal Register Volume 62, Number 100 (Friday, May 23, 1997)]
[Pages 28471-28474]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-13642]



[OPPTS-00211; FRL-5716-3]

Cooperative Agreements to Develop and Carry Out Authorized State 
Training, Accreditation and Certification Programs for Lead-Based Paint 

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of funds availability; solicitation of applications for 
financial assistance.


SUMMARY: This notice announces EPA's intent to enter into cooperative 
agreements with States, Territories, the District of Columbia and 
federally-recognized Indian governing bodies to provide financial 
assistance for purposes of developing and carrying out EPA-authorized 
training, accreditation and certification programs for professionals 
engaged in lead-based paint activities. These State programs and this 
financial assistance are authorized by section 404 of the Toxic 
Substances Control Act (TSCA). The notice describes eligible 
activities, application procedures and requirements, and funding 
criteria. EPA anticipates that up to $12,500,000 will be available 
during federal fiscal year 1997 (FY97) for awards to eligible 
recipients. There are no matching share requirements for this 
assistance. This is the fourth year that funding is being made 
available for this cooperative agreement program. Subject to future 
budget limitations, EPA plans to provide this support on a continuing 
multi-year or program basis. All cooperative agreements will be 
administered by the appropriate EPA regional office. This cooperative 
agreement program is the first of two assistance programs that will be 
administered by EPA related to authorized State lead programs this 
year. The second program was formerly administered by the Department of 
Housing and Urban Development and will be announced in the Federal 
Register at a later date.

DATES: In order to be considered for funding during the FY97 award 
cycle, all applications must be received by the appropriate EPA 
regional office on or before June 23, 1997. EPA will make its award 
decisions and execute its FY97 cooperative agreements by September 30, 

FOR FURTHER INFORMATION CONTACT: For general information, contact: 
Susan B. Hazen, Director, Environmental Assistance Division (7408), 
Office of Pollution Prevention and Toxics, Environmental Protection 
Agency, Rm E-543B, 401 M St., SW., Washington, DC 20460, (202) 554-
1404, TDD: (202) 554-0551, e-mail: TSCA-H[email protected]. For 
technical information, contact the appropriate Regional Primary Lead 
Contact person listed in Unit VI. of this notice.

SUPPLEMENTARY INFORMATION: Under TSCA section 404(g), EPA will award 
non-matching cooperative agreements to States, Territories, the 
District of Columbia and federally-recognized Indian governing bodies 
to develop and carry out programs established under section 402 for the 
training of individuals engaged in lead-based paint activities, the 
accreditation of training programs for these individuals, and the 
certification of contractors engaged in lead-based paint activities. 
Under section 404(a), States may seek EPA authorization to administer 
these programs. To achieve authorization under TSCA, programs must: (1) 
Be as protective of human health and the environment as the federal 
program established under TSCA section 402 or 406, or both, and (2) 
provide adequate enforcement. For States, Territories, the District of 
Columbia and federally-recognized Indian governing bodies that fail to 
obtain EPA authorization by August 31, 1998, the Agency will administer 
and enforce the TSCA section 402 requirements (15 U.S.C. 2682, as 
amended on October 28, 1992) or 406 (15 U.S.C. 2686(b)) in that State.
    Pursuant to section 404(g) of TSCA, EPA encourages States, 
Territories, the District of Columbia and federally-recognized Indian 
governing bodies to seek authorization of their own training, 
accreditation, and certification programs for lead-based paint 
activities. EPA therefore recommends that eligible parties seek funding 
through the TSCA section 404(g) assistance program, which is now being 
implemented to help achieve these ends. EPA further recommends that 
eligible parties plan to utilize this assistance support in a way that 
complements any related financial assistance they may receive from 
other federal sources. EPA will require all grant applicants under the 
program to provide information on other sources of federal support for 
lead-based paint activities. EPA will use the information in an effort 
to coordinate federally funded lead activities.
    EPA will work with prospective applicants to develop cooperative 
agreements which promote a variety of objectives deemed critical to the 
success of its national lead program. These objectives include: (1) 
Permitting flexible approaches to reducing lead hazards; (2) developing 
a nationwide pool of qualified lead abatement professionals; (3) 
encouraging pollution prevention in lead-based paint activities; (4) 
promoting environmental justice in the reduction of lead exposures and 
the prevention of lead poisoning; (5) fostering the establishment of 
comprehensive and integrated lead management programs by States, 
Territories, the District of Columbia and Indian governing bodies; and 
(6) promoting reciprocity among authorized programs in the training and 
certification of lead abatement professionals.
    The cooperative agreement program announced here is to be 
distinguished from another similar assistance program that will also 
support States in developing a lead-based paint training, accreditation 
and certification Program. This second cooperative agreement program, 
which will be announced in a separate Federal Register Notice at a 
later date, was previously administered by the Department of Housing 
and Urban Development (HUD) under section 1011(g) of Title X of the 
Housing and Community Development Act of 1992. EPA and HUD are 
finalizing an Interagency Agreement whereby EPA, under its section 
404(g) authority, will award the remaining HUD funds.

[[Page 28472]]

I. Eligibility

    All States are eligible to apply for and receive assistance under 
section 404(g) of TSCA. The term ``State,'' for purposes of 
eligibility, refers broadly to any State of the United States, the 
District of Columbia, any federally-recognized Indian governing body, 
the Commonwealth of Puerto Rico, the Virgin Islands, Guam, the Canal 
Zone, American Samoa, the Northern Mariana Islands, and any other 
territory or possession of the United States.

II. Authority

    The ``TSCA State Lead Cooperative Agreement Program'' is a 
financial assistance program administered by EPA under authority of 
TSCA section 404(g) (Title IV of TSCA was enacted as subtitle B of 
Title X). Each of EPA's 10 regional administrators has been delegated 
the authority of section 404(g) to enter into cooperative agreements 
with eligible ``States.''

III. Activities to be Funded

    EPA recognizes that when Title IV was enacted on October 28, 1992, 
States had widely varying capabilities for addressing lead hazards. 
Individual States currently fall within one of three broad categories 
of program development: (1) States without lead programs; (2) States 
with programs that qualify for authorization but that may need 
assistance in carrying out these programs; and (3) States with lead 
programs that will require modification before qualifying for 
authorization. Each State's need for assistance will vary, in part, 
according to the level of lead program development the State has 
attained. The type of program activity a given State seeks to pursue 
may also vary in a corresponding manner.
    Although EPA generally supports all State activities aimed at 
developing or carrying out authorized State lead programs, the Agency 
does recognize certain priorities. Because few States presently have 
adequate lead program capabilities, as measured against TSCA sections 
402 and 406, EPA priorities are: First to support the development of 
new State programs; second to support the continued implementation of 
authorized State programs; and third to support the implementation of 
existing State programs which do not presently qualify for 
authorization but which are otherwise willing to work toward timely 
authorization. Although these priorities do not constitute the Agency's 
criteria for award determinations, EPA will consider these items in its 
cooperative agreement negotiations with applicants.
    EPA has established three general funding categories that reflect 
the different status, or levels, of State lead program development. 
They are not mutually exclusive, and it is permissible for a State's 
work plan to combine elements from two or more categories. Numerous 
examples of activities considered to be eligible for this funding is 
described in a separate EPA document entitled ``State and Tribal 
Cooperative Agreement Guidance for FY 1997.'' Copies of the grant 
guidance may be obtained through any of EPA's 10 regional offices at 
the addresses listed under Unit VI. of this notice. It is important to 
note, however, that the examples presented in the guidance are not 
exhaustive, and applicants are not limited in their proposals to the 
listed tasks. Individual State program innovations are eligible and 
encouraged, so long as the proposed tasks relate to the purposes set 
forth in TSCA section 404(g) and fit within one or more of the three 
general funding categories.

IV. Selection Criteria

    During the FY97 award cycle, EPA expects up to $12,500,000 to be 
available for distribution to eligible applicants. The Agency will use 
a two-tiered system to calculate how much assistance money a State may 
be eligible to receive. This system is aimed at achieving the broadest 
possible State participation, while at the same time, targeting areas 
with the greatest potential lead hazard and risk. It accomplishes this 
by providing for a tier-one distribution of ``base funding,'' followed 
by a tier-two distribution of ``formula funding,'' where additional 
funds are calculated based upon the relative lead burden estimated to 
exist within a State. The actual amount of money that an eligible State 
may receive in this assistance cycle will be determined by the 
appropriate EPA Regional Office. Specifically, applicants with funding 
requirements exceeding the base allotments will be considered by their 
EPA Regional Office for receiving this apportioned additional funding 
based on two factors: the relative ``lead burden'' allocation and the 
applicant's demonstration of the State's progress in obtaining 
authorization for a training, accreditation, and certification program 
for lead-based paint activities.
    For each State and the District of Columbia that submits a 
qualifying proposal, EPA intends to award a base funding allotment of 
$100,000. In addition, base funding of up to $50,000 will be reserved 
for each base ``Territory'' that has been administratively assigned to 
an EPA Regional Office and that has historically participated in EPA 
toxics grant programs. These ``base'' Territories include the U.S. 
Virgin Islands (Region 2), the Commonwealth of Puerto Rico (Region 2), 
Guam (Region 9), and American Samoa (Region 9). Base funding allotments 
maybe subject to change if new statutory requirements are introduced 
into law within the funding cycle. The two remaining ``non-base'' 
Territories, the Canal Zone and the Northern Mariana Islands, are also 
eligible to apply for funding up to, but not exceeding, $50,000 apiece. 
The non-base Territories are not considered in determining the base 
funding allotments. Base allotments are primarily intended to ensure 
that those States and base Territories wishing to pursue authorization 
under TSCA section 404 will be guaranteed a minimum level of funding 
for this purpose. Any unsubscribed base funding will be added to the 
formula funds pool.
    Once base funding allotments have been reserved for all eligible 
applicants, each EPA Regional Office will be allocated $100,000 from 
this year's assistance pool to be distributed at the Region's 
discretion to applicants within that region. In addition, EPA has set-
aside $1,500,000 for Federally-recognized Indian governing bodies. EPA 
cannot reliably predict the level of participation from Indian 
governing bodies and non-base Territories; therefore, where these 
eligible parties do apply for funds, they will be assigned to an 
appropriate regional office for administrative oversight, and that 
regional office will determine the appropriate distribution of funds 
not allocated through the formula funding process described above. 
Indian governing bodies, however, will not receive a formula ranking, 
and will not be eligible to compete for additional formula allocations 
based upon lead burden calculations. All remaining funds will be 
treated as ``formula funds.''
    States, base Territories and the District of Columbia with funding 
requirements exceeding their base allotments can be given apportioned 
additional sums (``formula funds'') based upon their relative lead 
burden and the progress they have made toward establishing a training, 
certification, and accreditation program. In calculating the lead 
burden for the formula rankings, EPA will use readily available data 
derived from the 1990 Census of Population and Housing, together with 
data from the U.S. Department of Housing and Urban Development (HUD). 
The formula uses four factors to generate an estimate of the potential 
lead problem, or ``lead burden,'' in each

[[Page 28473]]

State. 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 
fraction of young children in poverty and the fraction of low-income 
housing units with lead-based paint, express the potential severity of 
the problem.
    In determining formula rankings, each State, base Territory, and 
the District of Columbia is scored independently for each factor, and 
the four individual factor scores for the State, base Territory, or the 
District of Columbia are then summed to obtain an overall score for 
that applicant (a combined factor score). The combined factor scores of 
all States, base Territories, or the District of Columbia applying for 
formula funds (or amounts in excess of their base allotment) are then 
summed, and the percentage of the total sum represented by the 
individual State, base Territory, or District of Columbia's score is 
then calculated. When the total formula funding available is then 
multiplied by the percentage score of an individual State, Territory or 
District of Columbia, the applicant's ceiling formula allotment can be 
obtained. For example, assume that $10,000,000 are available and (1) 
all 50 States but none of the base Territories or the District of 
Columbia applies for formula allotments, (2) State X has a percentage 
score of 2 percent, and (3) a total of $5,000,000 in formula funding is 
available. In determining how much money to allot to State X, EPA would 
multiply $5,000,000 by .02. The product, $100,000, represents the 
maximum additional funding that could be awarded to State X to 
supplement its base allocation. State X would then qualify for up to 
$200,000 in total funding for the fiscal year ($100,000 in base funding 
+ $100,000 in formula funding).
    In general, the maximum, or ceiling, formula allotments will 
fluctuate inversely with the number of applicants. The greater the 
number of applicants, the lower the ceiling will tend to be, and vice 
versa. Formula allotments will be determined only after the annual 
application deadline has passed and EPA has full knowledge of the total 
amount of funds requested. If one or more States or base Territories 
request formula fund amounts below their ceiling allotments, residual 
formula funds will be available. Where this situation develops, if 
there are still other States or base Territories with unfunded needs, 
the formula will be run again. This procedure can be repeated until all 
formula funds have been fully allotted.

V. Submission Requirements

    To be considered for funding, each application must include, at a 
minimum, the following forms and certifications which are contained in 
EPA's ``Application Kit for Assistance'': (1) Standard Form 424 
(Application for Federal Assistance), (2) debarment and suspension 
certification, (3) disclosure of lobbying activities, and (4) a return 
mailing address. In addition to these standard forms, each application 
must also include a work program, a detailed line-item budget with 
sufficient information to clearly justify costs, a list of work 
products or deliverables, and a schedule for their completion or an 
update of an existing schedule from a previous funding year with 
updated work products or deliverables. This year, the State must also 
include a statement in their proposal that describes how the State will 
be able to develop and implement a lead training, accreditation and 
certification program for EPA approval by August 31, 1998.
    Work programs are to be negotiated between applicants and their EPA 
regional offices to ensure that both EPA and State priorities can be 
addressed. Any application from a State, Territory, the District of 
Columbia or Indian governing body without an authorized program must 
demonstrate how the proposed activities will lead to that State's 
pursuit of authorization. Also, any applicant proposing the collection 
of environmentally related measurements or data generation must 
adequately address the requirements of 40 CFR 31.45 relating to quality 
assurance/quality control. These requirements are more specifically 
outlined in the ``Guidance Document for the Preparation of Quality 
Assurance Project Plans'' (May 1993) published by EPA's Office of 
Pollution Prevention and Toxics. This document, as well as the 
application kits referred to above, may be obtained from EPA's regional 

VI. Application Procedures and Schedule

    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. Early consultations 
are recommended between prospective applicants and their EPA regional 
offices. Because TSCA cooperative agreements will be administered at 
the regional level, these consultations can be critical to the ultimate 
success of a State's project or program. After the formula funding 
calculations are determined and the funds are transferred to the 
appropriate EPA Regional account, the lead Regional Office will contact 
the Applicant and discuss the final award allotment. EPA Regional 
Offices may require the Applicant to modify their proposed workplan and 
cooperative agreement based upon the final grant allotment.
    EPA reserves the right, in negotiating the cooperative agreement, 
to delete budget items that, in its judgement, are not necessary for 
the direct support of program purposes, and to request the grantee to 
redirect the deleted sums to other acceptable purposes or make a 
corresponding reduction in the funding request.
    The cooperative assistance shall be used solely for the purpose 
described in the applicant's approved implementation plan and the 
budget, including any changes that may be negotiated and adopted in the 
cooperative agreement.
    For more information about this financial assistance program, or 
for technical assistance in preparing an application for funding, 
interested parties should contact the Regional Primary Lead Contact 
person in the appropriate EPA regional office. The mailing addresses 
and contact telephone numbers for these offices are listed below.
Region I: (Connecticut, Massachusetts, Maine, New Hampshire, Rhode 
Island, Vermont), JFK Federal Building, One Congress St., Boston, MA 
02203. Telephone: (617) 565-3836 (Jim Bryson)
Region II: (New York, New Jersey, Puerto Rico, Virgin Islands), 
Building 5, SDPTSB, 2890 Woodbridge Ave., Edison, NJ 08837-3679. 
Telephone: (908) 321-6671 (Lou Bevilacqua)
Region III: (Delaware, Maryland, Pennsylvania, Virginia, West Virginia, 
District of Columbia), 841 Chestnut Bldg., Philadelphia, PA 19107. 
Telephone: (215) 566-2084 (Gerallyn Valls)
Region IV: (Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina, Tennessee), 100 Alabama St., SW., Atlanta, GA 
30303. Telephone: (404) 562-8998 (Rose Anne Rudd)
Region V: (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin), 
SP-14J, 77 W. Jackson St., Chicago, IL 60604. Telephone: (312) 886-7836 
(David Turpin)
Region VI: (Arkansas, Louisiana, New Mexico, Oklahoma, Texas), 12th 
Floor, Suite 2000, 1445 Ross Ave., Dallas, TX 75202. Telephone: (214) 
665-7577 (Jeff Robinson)
Region VII: (Iowa, Kansas, Missouri, Nebraska), ARTD/RENV, 726

[[Page 28474]]

Minnesota Ave., Kansas City, KS 66101. Telephone: (913) 551-7518 
(Mazzie Talley)
Region VIII: (Colorado, Montana, North Dakota, South Dakota, Utah, 
Wyoming), 999 18th St., Suite 500, Denver, CO 80202. Telephone: (303) 
312-6021 (David Combs)
Region IX: (Arizona, California, Hawaii, Nevada, American Samoa, Guam), 
75 Hawthorne St., San Francisco, CA 94105. Telephone: (415) 744-1094 
(Harold Rush)
Region X: (Alaska, Idaho, Oregon, Washington), Solid Waste and Toxics 
Unit (WCM-128), 1200 Sixth Ave., Seattle, WA 98101. Telephone: (206) 
553-1985 (Barbara Ross)
    The deadline for EPA's receipt of final FY97 applications is June 
23, 1997. Once the application deadline has passed, EPA will process 
the formula funding calculations and determine the initial formula 
ceiling allocations. Final negotiations for the award of cooperative 
agreements can then proceed, but all FY97 agreements must be executed 
no later than September 30, 1997.

List of Subjects

    Environmental protection, Cooperative Agreements, Lead, Training 
and accreditation.

    Dated: May 16, 1997.
Susan H. Wayland,
Acting Assistant Administrator for Prevention, Pesticides and Toxic 

[FR Doc. 97-13642 Filed 5-22-97; 8:45 am]