Toxic Substances Compliance Monitoring Cooperative Agreements (66.701)

Program

66.701 Toxic Substances Compliance Monitoring Cooperative Agreements

Federal Agency

Agency: Environmental Protection Agency
Office: Office of Enforcement and Compliance Assurance

Authorization

Toxic Substances Control Act (TSCA), Section 28&404(g), Public Law 102-550, 15 U.S.C 2601.

Program Number

66.701

Last Known Status

Active

Objectives

To 1) To 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), TSCA Section 6 Ban and Phase Down Rule, and the 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 for FY 09- For the TSCA PCB, asbestos, and Lead programs inspection activities are a funding priority. For the Fiscal Year 2009, existing TSCA asbestos and, PCB compliance programs, Lead programs and new asbestos waiver states have higher funding priority. The activities in priority order are tracking and responding to tips/complaints, situations involving non-compliance and inspections to ensure coverage of the regulated community. In addition, funding to ensure that state inspectors who conduct inspections using EPA credentials continue to meet the minimum training standards will also be a priority. The standards are found in EPA Order 3510: EPA Federal Credentials for Inspections and Enforcement of Federal Environmental Statutes which references the specific requirements 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." States with inspectors using EPA credentials to conduct inspections need to have authorizations agreements in place and inspectors must complete the minimum training requirements.

For the Asbestos Compliance Monitoring Program, it is a priority for states to conduct inspections at Local Education Agency's (LEA's)and respond to tips and complaints Priority attention should be given to tips alleging asbestos contamination at schools. Under AHERA, "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. If the Administrator or Governor receives a

Complaint under this subsection containing allegations which provide a reasonable basis to believe that a violation of this Act has occurred, the Administrator or Governor shall investigate and respond (including taking enforcement action where appropriate) to the complaint within a reasonable period of time." Inspections may also be conducted for the Model Accreditation Plan (MAP), TSCA Ban and Phase down Rule (TSCA Section 6), and the TSCA Asbestos Worker Protection Standards. In non-waiver states with grants, states must submit to the regional office inspection reports from inspections conducted with EPA credentials for case review and appropriate follow-up. Where applicable, the regions should encourage states to apply for the "asbestos waiver" program. Non-waiver states must submit inspection reports to the region for review and appropriate enforcement action.

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. It is a priority that there is adequate PCB compliance monitoring coverage throughout the regions. States must submit to the regional office inspection reports from inspections conducted with EPA credentials for case review and appropriate follow-up. Also for PCBs, EPA strongly encourages the purchase and use of tablet personal computers with EPA developed templates to automate the PCB inspection process. Software and training are available from EPA headquarters.

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 FY 10, assuming the same funding provided in FY09, will be: 1) existing compliance monitoring programs to ensure their continuance provided they continue to meet certain standards; 2) activities leading to waiver status for asbestos programs; 3) training activities as necessary for meeting training requirements necessary for obtaining and keeping 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 with the training and certification, and work practice standards requirements. States with authorized renovation notice rules will also monitor those requirements.

Types of Assistance

Cooperative Agreements

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. OMB Circular No. A-87 applies to this program.

Application 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. Environmental impact information is not required for this program. This program is excluded from coverage under E.O. 12372.

Application Procedure

OMB Circular No. A-102 applies to this program. This program is excluded from coverage under OMB Circular No. A-110. 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 Procedure

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

Contact the headquarters or regional office, as appropriate, for application deadlines.

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

This program has no statutory formula.

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.

This program does not have MOE requirements.

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. See the following for information on how assistance is awarded/released: Other.

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. Program reports are required. No cash reports are required. Progress reports are required. No expenditure reports are required. Performance monitoring is required under this program.

Audits

In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will 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 Circular No. A-133. 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.

Program Accomplishments

Fiscal Year 2008: Twenty-four Asbestos, nine PCB, and thirty six Lead State cooperative agreements were awarded in FY 08 and FY 09. A similar number are expected to be awarded in FY 10. Agencies participating in the Federal enforcement cooperative agreement program receive funds to support and enhance toxic substance compliance monitoring/ enforcement activities. To data, many states including, Indiana, Missouri, North Dakota, Tennessee, and Illinois have purchased, have received training from EPA, and are using PC Tablets and the PCB inspection software to conduct PCB inspections.

Typical program activities for asbestos include compliance inspections at facilities regulated under TSCA, preparation of inspection reports, case preparation activities for some programs, and for waiver states, taking enforcement action and for non-waiver states, referral and submission of inspection reports to EPA for case review and appropriate enforcement action when violations are detected. Based on regional data, the following are the asbestos inspection numbers, 1,043 compliance monitoring inspections were conducted in FY 08 and 1,025 compliance monitoring inspections will be conducted in FY 09 (per the Region's and states commitments, and similar numbers in FY 10). These numbers include the non-waiver states.

Typical program activities for the PCB grant program include compliance inspections at facilities regulated under TSCA, initial case preparation, and submission of inspection reports to EPA for review and enforcement action, if appropriate. Based on regional data the following are the PCB inspection numbers, 351 compliance monitoring inspections were conducted in FY 08, and approximately 350 inspections will be conducted in FY 09, and similar number of inspections will be conducted in FY 10 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 by authorized 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 the following are the Lead inspection numbers, approximately 6000 section 402/406 lead paint inspections by authorized states in FY 2008, and anticipate similar levels of compliance monitoring activities for FY 2009. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Financial Information

Account Identification

68-0108-0-1-304.

Obligations

(Cooperative Agreements) FY 08 $5,273,600; FY 09 est $5,099,000; FY 10 est $5,099,000

Range and Average of Financial Assistance

For PCB and Asbestos: $18,900 to $221,000/year; $90,000/year

For Lead: 21,400 - 36,200; 28,500/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.

Related Programs

Not Applicable.

Information Contacts

Regional or Local Office

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

Headquarters Office

Phyllis Flaherty National Compliance Monitoring Policy Branch, Compliance Assessment and Media Programs Division, Office of Enforcement and Compliance Assurance, (2223A), U.S. EPA, 1200 Pennsylvania Ave. NW., , Washington, District of Columbia 20460 Email: Flaherty.Phyllis@epa.gov Phone: (202) 564-4131

Web Site Address

http://www.epa.gov/compliance/

Examples of Funded Projects

Fiscal Year 2008: 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. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

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.".