Toxic Substances Compliance Monitoring Cooperative Agreements

To (1) assist States, territories and possessions of the U.S.

including the District of Columbia, the commonwealth of Puerto Rico, and Indian Tribes in developing and maintaining compliance monitoring programs to prevent or eliminate unreasonable risks to health or the environment associated with
chemical substances or mixtures within the States, specifically asbestos, PCBs, and lead-based paint; (2) encourage regulatory activities within the States to establish their own programs for lead-based paint and asbestos (waiver programs); and (3) for asbestos waiver state programs and lead-based paint programs fund enforcement activities.

EPA provides funding for cooperative compliance monitoring grants to States and Tribes under TSCA to conduct inspections to ensure compliance with the PCB regulations, the asbestos in schools requirements (inspections at charter schools, public schools, private schools and religious schools), the Model Accreditation Plan (MAP), and TSCA Asbestos Worker Protection Standards, and to conduct lead-based paint activities.

Authorized States also conduct enforcement for the lead-based program.

States that have obtained an EPA waiver from the asbestos regulation (Subpart E of Part 763) also have enforcement responsibilities.

Funding Priority - Fiscal Year 2008: For the Fiscal Year 2008 TSCA asbestos grant programs, asbestos waiver states have higher funding priority.

For the TSCA PCB, Lead and asbestos programs compliance monitoring activities are a funding priority, specifically ensuring uniform coverage of regulated community.

The activities in priority order are tracking and responding to tips, complaints, and situations involving non-compliance.

In addition, funding to ensure that state inspectors who conduct inspections using EPA credentials meet the minimum training standards will also be a priority.

The standards are found in the September 30, 2004 "Guidance for Issuing Federal EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct Inspections on Behalf of EPA." It is a priority for states to conduct inspections and respond to tips and complaints (including taking enforcement action where appropriate).

Special attention should be given to tips alleging asbestos contamination at schools.

Any person may file a complaint with the Administrator or with the Governor of the State in which the school building is located with respect to asbestos-containing material in a school building.

Inspections should address charter schools, public schools, private schools and religious schools.

Inspections may be conducted for the Model Accreditation Plan (MAP), and the TSCA Asbestos Worker Protection Standards.

In non-waiver states with grants, the regions will follow-up on violations referred by the states, and develop appropriate enforcement responses.

States must forward to the regional office inspection reports from inspections conducted with EPA credentials for appropriate follow-up.

Where applicable, the regions should encourage states to apply for the "waiver" program.

The PCB program is part of the Agency's Persistent Bioaccumulative Toxics (PBT) program.

Due to their persistence, PCBs present major environmental/public health problems, especially when they reach food or water.

Priorities for PCBs should be determined based on EPA's National Program Guidance, Regional priorities, and State priorities.

Also for PCBs, EPA headquarters encourages the purchase and use of tablet personal computers with EPA developed template to automate the PCB inspection process and funding for travel related with training in the use of the table and PCB template.

States with authorized lead-based paint programs will focus compliance monitoring activities on individuals and firms which conduct lead abatement with the training and certification, and work practice standards requirements.

States with authorized renovation notice rules will also monitor those requirements.Stateswith authorized lead-based paint programs will focus compliance monitoring activities on individuals and firms which conduct lead abatement with the training and certification, and work practice standards requirements.

States with authorized renovation notice rules will also monitor those requirements.

Funding priorities in FY 2008, assuming the same funding provided in FY 2007, will be: (1) existing programs to ensure their continuance provided they continue to meet certain standards, ensuring inspection coverage of regulated community; (2) activities leading to waiver status for asbestos programs; (3) training activities as necessary for meeting training requirements necessary for obtaining/continuing EPA credentials in those programs which require the use of EPA credentials (the PCB compliance monitoring programs and asbestos programs in non-waiver states); (4) new programs that provide inspection activity where there is an identified need; and (5) activities that further the use of new technology for conducting field inspections, e.g., use of personal computer Tablets to improve the efficiency of inspections, including travel and training.

States with authorized lead-based paint programs will focus compliance monitoring activities on individuals and firms which conduct lead abatement with the training and certification, and work practice standards requirements.

States with authorized renovation notice rules will also monitor those requirements.

Funding priorities in FY2009: Assuming the same funding provided in FY 2008, will be: (1) existing compliance monitoring programs to ensure their continuance provided they meet certain standards, specifically ensuring uniform inspection coverage of regulated community; (2) activities leading to waiver status for asbestos programs; (3) training activities as necessary for meeting training requirements necessary for obtaining/continuing EPA credentials in those programs which require the use of EPA credentials (the PCB compliance monitoring programs and asbestos programs in non-waiver states); (4) new programs that provide inspection activity where there is an identified need; and (5) activities that further the use of new technology for conducting field inspections, e.g., use of personal computer Tablets and PCB template to improve the efficiency of inspections.

States with authorized lead-based paint programs will focus compliance monitoring activities on individuals and firms which conduct lead abatement and their continuance with the training and certification, and work practice standards requirements.here is an identified need; and (6) activities that further the use of new technology for conducting field inspections, e.g., use of personal computer Tablets to improve the efficiency of inspections.

States with authorized lead-based paint programs will focus compliance monitoring activities on individuals and firms which conduct lead abatement with the training and certification, and work practice standards requirements.

States with authorized renovation notice rules will also monitor those requirements.

Examples of Funded Projects

State agencies participating in the Federal/State enforcement cooperative agreement program receive funds to support and enhance compliance monitoring (inspection) and enforcement activities, as appropriate for the specific program.

Examples of program activities that may be funded include development of State enabling legislation for enforcement, inspections/investigations to evaluate compliance, follow-up inspections, initiation of appropriate enforcement action when violations are detected, equipment for inspections, development of compliance monitoring strategies/targeting approaches, development of software or e-forms capable of automating inspection data collection activities in the field, and training/workshops.

In addition, EPA is encouraging states/tribes to purchase Personal Portable Computers, i.e., Tablet PCs, that are compatible for use with PCB inspection software developed by EPA for conducting inspections and writing inspection reports.

The National Compliance Monitoring Branch (NCMPB) developed a PCB Inspection Template to make inspections more efficient and consistent by allowing the inspector to use handwriting recognition software to collect data electronically.

The software prints EPA notification forms; collects inspection data for opening and closing conferences, records reviews, and walkthroughs; makes available necessary reference materials; and assists in inspection report writing.

For Template software and training in the use of the Tablet PCs and PCB Template, state/tribes may request the PCB software and training on its use through their regional project officer.

It is anticipated software for asbestos inspections will be available in the near future.

Once developed, states are encouraged to purchase Tablet PCs compatible with the software developed and to use the Tablets to conduct the inspection and prepare the inspection report.


Agency - Environmental Protection Agency

The mission of the Environmental Protection Agency is to protect human health and the environment. Since 1970, EPA has been working for a cleaner, healthier environment for the American people.

Office - Contact appropriate EPA Regional Office listed in Appendix IV of the Catalog.


Program Accomplishments

Twenty-three Asbestos, nine PCB, and thirty six Lead State cooperative agreements were awarded in FY 07 and FY 08. A similar number are expected to be awarded in FY 09. Agencies participating in the Federal enforcement cooperative agreement program receive funds to support and enhance toxic substance compliance monitoring/enforcement activities. Two additional states, Missouri and North Dakota, purchased and will use PC Tablets and the PCB Template to conduct PCB inspections. Typical program activities for asbestos include compliance inspections at facilities regulated under TSCA, and initiation of appropriate enforcement action waiver states or referral to EPA for case review and appropriate enforcement action when violations are detected. Based on regional data, 1043 compliance monitoring inspections were conducted in FY 07 and 1008 compliance monitoring inspections will be conducted by the end of FY 08 (per Regional and state commitments). These numbers include the non-waiver states. Typical program activities for PCB include compliance inspections at facilities regulated under TSCA and initiation of appropriate enforcement action or referral to EPA for case review and appropriate enforcement action when violations are detected. Based on regional data, 302 compliance monitoring inspections were conducted in FY 07, 351 compliance monitoring inspections will be conducted by the end of FY 08, and a similar number of inspections will be conducted in FY 09 if funding levels are the same. Typical program activities for Lead include compliance inspections at facilities regulated under TSCA and, initiation of appropriate enforcement action waiver states or referral to EPA for case review and appropriate enforcement action when violations are detected. Based on the data inputted into the National Compliance Data Base (NCDB) system and regional data, 171 compliance monitoring inspections were conducted in FY 07 and a similar number of compliance monitoring inspections is anticipated in FY 08.

Uses and Use Restrictions

Grant funds are available for costs specifically incurred by States, tribes, and tribal consortiums in developing, enhancing and maintaining comprehensive compliance monitoring/enforcement programs under TSCA, including PCBs, asbestos, and lead-based paint.

Funded activities may include inspector training, inspection supplies, and laboratory costs, including personnel and equipment; reimbursement for salaries, travel, training, and per diem expenses for inspectors, analysts, and program managers; and other functions related to grant activities.

For those programs where inspections are conducted using EPA credentials, prior to conducting inspections under the Grant, the State/Tribe must have an authorization agreement and the inspectors must complete the minimum inspector training, including health and safety training, and conduct inspections according to the September 2004 Guidance for Issuing Federal EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct Inspections on Behalf of EPA.

They must also have a signed authorization agreement with EPA.



Eligibility Requirements

Applicant Eligibility

In order to be eligible to apply for STAG TSCA Compliance Monitoring Agreements State Agencies and Indian Tribes should have toxic substance compliance responsibilities and have the authority to enter into these cooperative agreements.

For Lead, State Agencies, Indian Tribes, and tribal consortiums that have toxic substance compliance responsibilities, who have the authority to enter into these cooperative agreements, and who have their own lead laws in place are eligible to apply for assistance under STAG TSCA Compliance Monitoring Grants.

Beneficiary Eligibility

States, the District of Columbia, the U.S. Virgin Islands, the Commonwealth of Puerto Rico, Indian Tribes and Intertribal Consortia, and any territory or possession of the United States.

Credentials/Documentation

The applicant must supply evidence of legal authority to conduct toxic substance compliance program activities contemplated under the grant and a workable program officially adopted for the agency. Costs will be determined in accordance with OMB Circular No.A-87 for State and local governments.

Aplication and Award Process

Preapplication Coordination

Discussions or informal meetings with Regional program office concerning program preparation are advisable.

The standard application forms as furnished by the Federal agency and required by OMB Circular No.

A-102 must be used for this program.

This program is excluded from coverage under E.O.

12372.

Application Procedures

Requests for application forms and completed applications should be submitted to the appropriate EPA Regional Office (see Appendix IV of the Catalog). Applicants may be able to use http://www.grants.gov to electronically apply for certain grant opportunities under this CFDA. This program is excluded from coverage under OMB Circular No.A-110.

Award Procedures

Each application shall be subjected to administrative coordination to determine adequacy in relation to grant regulations, and to technical and program evaluation to determine merit and relevancy of the project. States will be notified of Federal Assistance awards through the Federal Assistance Awards Data System (FAADS). "Applicants may use http://www.grants.gov to electronically apply for certain grant opportunities under this CFDA."

Deadlines

Applications are due 60 days prior to the beginning of the budget period, normally August 1.

Authorization

Toxic Substances Control Act (TSCA), as amended, Section 28, and 404(g) Public Law 102-550, 15 U.S.C. 2601 et seq.

Range of Approval/Disapproval Time

About 60 days.

Appeals

Disputes will be resolved under 40 CFR 30.63 or 40 CFR 31.70, as applicable.

Renewals

Applicant must reapply.

Assistance Considerations

Formula and Matching Requirements

Under TSCA Section 28, no grant may exceed 75 percent of the establishment and operation costs of such a program during the period for which the grant is made. Thus, recipients must contribute 25% of the total costs for activities conducted under Section 28 of TSCA (i.e., the PCB and Asbestos grants). There are no cost-sharing or matching fund requirements for lead-based paint enforcement grants under Section 404(g). There is no statutory formula aside from the required 25 percent contribution of the States for the PCB and asbestos grants.

Length and Time Phasing of Assistance

Cooperative Agreements are normally funded for a 12-month period. Payments will be on an advance letter of credit or reimbursement basis; recipients must request the initial advance payment on the form SF 270, Request for Advance or Reimbursement.

Post Assistance Requirements

Reports

As required in the Annual Program Guidance for inclusion in the grant award, grantees must submit mid-year and year-end evaluations.

For inspections conducted using credentials issued by EPA to the state or tribal employee, the inspection report must be submitted to the regional office for review pursuant to the authorization agreements.

Audits

Grants and cooperative agreements are subject to inspections and audits by the Comptroller General of the United States, the EPA Office of Inspector General, other EPA staff, or any authorized representative of the Federal government. Reviews by the EPA Project Officer and the Grants Specialist may occur each year. In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend $500,000 or more in a year in Federal awards shall have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in OMB Circular No. A-133.

Records

Financial records, including all documents to support entries on accounting records and to substantiate charges to each cooperative agreement, must be kept available to personnel authorized to examine EPA grant accounts. All records must be maintained for 3 years from the date of the submission of the annual financial status report or longer if questions still remain, such as those raised as a result of audit.

Financial Information

Account Identification

68-0108-0-1-304.

Obigations

FY 07 $5,710,300; FY 08 $5,019,000; and FY 09 $5,099,000.

Range and Average of Financial Assistance

$18,900 to $236,000/year; $90,000/year.

Regulations, Guidelines, and Literature

EPA Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (40 CFR Part 31); Environmental Protection Agency, State and Local Assistance (40 CFR Part 35 Subpart A), October 12, 1982; "EPA Assistance Administration Manual," available from the National Technical Information Service, Springfield, VA 22161 on a subscription basis, Order No.: NTIS UB/031.

Information Contacts

Regional or Local Office

Contact appropriate EPA Regional Office listed in Appendix IV of the Catalog.

Headquarters Office

For PCB and asbestos program information: Phyllis Flaherty, Chief, National Compliance Monitoring Policy Branch, Compliance Assessment and Media Programs Division, Office of Enforcement and Compliance Assurance, (2223A), U.S. EPA, 1200 Pennsylvania Ave. N.W., Washington, DC 20460; Telephone: (202) 564-4131; Fax: (202)-564-0050; E-mail: Flaherty.Phyllis@epa.gov. For Lead-based paint program information: John Mason, Sector Analysis and Implementation Branch, Compliance Assistance and Sector Programs Division, Office of Enforcement and Compliance Assurance (2224A), EPA, 1200 Pennsylvania Ave. N.W., Washington, DC 20460; Telephone: (202) 564-7037; Fax: (202) 564-0009; E-mail: Mason.John@epa.gov.

Criteria for Selecting Proposals

Each application will be reviewed by the Environmental Protection Agency according to criteria including the following: (1) Need: The need for the development, improvement, and/or maintenance of a comprehensive compliance monitoring/enforcement program within the State; (2) Level of Activity: The amount of regulated chemicals and facilities, and the potential risk to human health and the environment; (3) Long-Term Impact: The potential of the cooperative agreement to have a long-term beneficial impact on human health and the environment resulting from the compliance program; and (4) Effectiveness of program: The past level and effectiveness of the State regulatory program, number of inspections conducted by state and number of trained inspectors that have completed the minimum training set forth in the September 30, 2004 "Guidance for Issuing Federal EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct Inspections on Behalf of EPA."



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