[Federal Register Volume 66, Number 14 (Monday, January 22, 2001)]
[Proposed Rules]
[Pages 7208-7216]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-1797]



[[Page 7207]]

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Part XIV





Environmental Protection Agency





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40 CFR Part 745



Lead; Notification Requirements for Lead-based Paint Abatement 
Activities and Training; Proposed Rule

  Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / 
Proposed Rules  

[[Page 7208]]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 745

[OPPTS-62165; FRL-6764-7]
RIN 2070-AD31


Lead; Notification Requirements for Lead-based Paint Abatement 
Activities and Training

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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SUMMARY: Under the authority of Section 407 of the Toxic Substances 
Control Act (TSCA), as amended by the Residential Lead-Based Paint 
Hazard Reduction Act of 1992, also known as ``Title X (ten),'' EPA 
proposes to establish notification procedures for certified lead 
abatement professionals conducting lead-based paint activities, and 
accredited training programs providing lead-based paint activities 
courses. Specifically, this proposal seeks to establish the procedures 
that would be used to provide the notification to the Agency that is 
currently required prior to the commencement of lead-based paint 
abatement activities. This proposal also seeks to establish provisions 
which would require accredited training programs to notify the Agency 
under the following conditions: (1) Prior to providing lead-based paint 
activities training courses, and (2) following completion of lead-based 
paint activities training courses. These notification requirements are 
necessary to provide EPA compliance monitoring and enforcement 
personnel with information necessary to track compliance activities and 
to prioritize inspections. Today's proposal, will help to prevent lead 
poisoning in children under the age of six by supporting the Agency's 
implementation of the mandate in Title X to ensure that lead abatement 
professionals involved in inspecting, assessing or removing lead-based 
paint, dust or soil are trained and certified to conduct these 
activities.

DATES: Comments, identified by docket control number OPPTS-62165, must 
be received by EPA on or before February 21, 2001.

ADDRESSES: Comments may be submitted by mail, electronically, or in 
person. Please follow the detailed instructions for each method as 
provided in Unit I.C. under Supplementary Information. To ensure proper 
receipt by EPA, it is imperative that you identify docket control 
number OPPTS-62165 in the subject line on the first page of your 
response.

FOR FURTHER INFORMATION CONTACT: For general information contact: 
Barbara Cunningham, Acting Director, Environmental Assistance Division 
(7408), Office of Pollution Prevention and Toxics, Environmental 
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460; 
telephone number: (202) 554-1404; e-mail address: [email protected].
    For technical information contact: Mike Wilson, National Program 
Chemicals Division (7404), Office of Pollution Prevention and Toxics, 
Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460; telephone number: (202) 260-4664; e-mail address: 
[email protected].

SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    You may be potentially affected by this action if you operate a 
training program required to be accredited under 40 CFR 745.225, or if 
you are a lead abatement professional (individual or firm) who must be 
certified to conduct lead-based paint abatement activities in 
accordance with 40 CFR 745.226. Specifically, the proposed procedure 
for notification of the commencement of lead-based paint abatement 
activities applies to both the certified supervisor and certified firm 
employing that supervisor conducting lead-based paint abatement 
activities. The proposed procedure for notification of lead-based paint 
activities training courses applies to the training manager of an 
accredited training program.
    This proposed rule applies only in States and Indian Tribes that do 
not have authorized programs pursuant to 40 CFR 745.324. For further 
information regarding the authorization status of States and Indian 
tribes contact the National Lead Information Center (NLIC) at 1-800-
424-LEAD. Potentially affected categories and entities may include, but 
are not limited to:

 
------------------------------------------------------------------------
                                        NAICS    Examples of Potentially
             Categories                  Code       Affected Entities
------------------------------------------------------------------------
Lead abatement professionals             562910  Firms and supervisors
                                                  engaged in lead-based
                                                  paint activities.
Training programs                        611519  Training programs
                                                  providing training
                                                  services in lead-based
                                                  paint activities.
------------------------------------------------------------------------

    This listing is not intended to be exhaustive, but rather provides 
a guide for readers regarding entities likely to be affected by this 
action. Other types of entities not listed in the table in this unit 
could also be affected. The North American Industrial Classification 
System (NAICS) codes have been provided to assist you and others in 
determining whether or not this action applies to certain entities. To 
determine whether you or your business is affected by this action, you 
should carefully examine the applicability provisions in 40 CFR part 
745. 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. Electronically. You may obtain electronic copies of this 
document, and certain other related documents that might be available 
electronically, from the Internet Home Page for the EPA Lead Program at 
http://www.epa.gov/lead/. You can also access an electronic copy of 
this document by going directly to the Federal Registerlistings at 
http://www.epa.gov/fedrgstr/, and look up this document using the date 
of publication. To access information about lead-based paint and the 
Lead Program, go directly to EPA's Lead Home Page at http://www.epa.gov/lead.
    2. In person. The Agency has established an official record for 
this action under docket control number OPPTS-62165. The official 
record consists of the documents specifically referenced in this 
action, any public comments received during an applicable comment 
period, and other information related to this action, including any 
information claimed as confidential business information (CBI). This 
official record includes the documents that are physically located in 
the docket, as well as the documents that are referenced in those 
documents. The public version of the official record does not include 
any information claimed as CBI. The public version of the official 
record, which includes printed, paper versions of any

[[Page 7209]]

electronic comments submitted during an applicable comment period, is 
available for inspection in the TSCA Non-confidential Information 
Center, North East Mall Rm. B-607, Waterside Mall, 401 M St., SW., 
Washington, DC. The Center is open from noon to 4 p.m., Monday through 
Friday, excluding legal holidays. The telephone number for the Center 
is (202) 260-7099.

C. How and to Whom Do I Submit Comments?

    You may submit comments through the mail, in person, or 
electronically. To ensure proper receipt by EPA, it is imperative that 
you identify docket control number OPPTS-62165 in the subject line on 
the first page of your response.
    1. By mail. Submit your comments to: Document Control Office 
(7407), Office of Pollution Prevention and Toxics (OPPT), Environmental 
Protection Agency, Ariel Rios Bldg., 1200 Pennsylvania Ave., NW., 
Washington, DC 20460.
    2. In person or by courier. Deliver your comments to: OPPT Document 
Control Office (DCO) in East Tower Rm. G-099, Waterside Mall, 401 M 
St., SW., Washington, DC. The DCO is open from 8 a.m. to 4 p.m., Monday 
through Friday, excluding legal holidays. The telephone number for the 
DCO is (202) 260-7093.
    3. Electronically. You may submit your comments electronically by 
e-mail to: [email protected], or mail your computer disk to the address 
identified above. Do not submit any information electronically that you 
consider to be CBI. Electronic comments must be submitted as an ASCII 
file avoiding the use of special characters and any form of encryption. 
Comments will also be accepted on standard disks in WordPerfect 6.1/8 
or ASCII file format. All comments in electronic form must be 
identified by docket control number OPPTS-62165. Electronic comments 
may also be filed online at many Federal Depository Libraries.

D. How Should I Handle CBI Information That I Want to Submit to the 
Agency?

    Do not submit any information electronically that you consider to 
be CBI. You may claim information that you submit to EPA in response to 
this document as CBI by marking any part or all of that information as 
CBI. Information so marked will not be disclosed except in accordance 
with procedures set forth in 40 CFR part 2. In addition to one complete 
version of the comment that includes any information claimed as CBI, a 
copy of the comment that does not contain the information claimed as 
CBI must be submitted for inclusion in the public version of the 
official record. Information not marked confidential will be included 
in the public version of the official record without prior notice. If 
you have any questions about CBI or the procedures for claiming CBI, 
please consult the technical person identified under FOR FURTHER 
INFORMATION CONTACT.

E. What Should I Consider as I Prepare My Comments for EPA?

    We invite you to provide your views on the various options we 
propose, new approaches we may not have considered, the potential 
impacts of the various options (including possible unintended 
consequences), and any data or information that you would like the 
Agency to consider during the development of the final action. You may 
find the following suggestions helpful for preparing your comments:
     Explain your views as clearly as possible.
     Describe any assumptions that you used.
     Provide copies of any technical information and/or data 
you used that support your views.
     If you estimate potential burden or costs, explain how you 
arrived at the estimate that you provide.
     Provide specific examples to illustrate your concerns.
     Offer alternative ways to improve the proposed rule or 
collection activity.
     Make sure to submit your comments by the deadline in this 
notice.
     To ensure proper receipt by EPA, be sure to identify the 
docket control number assigned to this action in the subject line on 
the first page of your response. You may also provide the name, date, 
and Federal Register citation.

II. Background

A. How Does this Action Fit into EPA's Overall Lead Program?

    The Residential Lead-Based Paint Hazard Reduction Act of 1992 
(Title X) amended TSCA by adding a new Title IV. Several sections of 
Title X directed EPA to promulgate regulations aimed at fulfilling the 
purposes of Title X. These included TSCA section 402, Lead-Based Paint 
Activities Training and Certification, which directs EPA to promulgate 
regulations to govern the training and certification of individuals 
engaged in lead-based paint activities, the accreditation of training 
programs, and the establishment of standards for conducting lead-based 
paint activities. Section 404 of TSCA requires that EPA establish 
procedures for States seeking to establish their own programs for lead-
based paint activities. On August 29, 1996, EPA promulgated a final 
rule under sections 402 and 404 of TSCA titled ``Lead; Requirements for 
Lead-Based Paint Activities in Target Housing and Child-Occupied 
Facilities'' (61 FR 45778). This rule is codified at 40 CFR part 745, 
subparts L and Q.
    One of the standards EPA developed for performing lead-based paint 
activities, codified at 40 CFR 745.227(e)(4), requires notification to 
EPA prior to the commencement of lead-based paint abatement activities 
in a residential dwelling, or child-occupied facility, or as a result 
of a Federal, State, Tribal, or local order. However, the current 40 
CFR 745.227(e)(4) does not detail specific notification procedures. 
Today's proposal includes such procedures.
    Today's proposal also includes requirements for accredited training 
programs (accredited under 40 CFR 745.225) to notify the Agency of 
lead-based paint activities course schedules prior to being taught and 
provide information after the completion of a training course. 
Currently, accredited training programs are asked to voluntarily notify 
the Agency prior to offering a lead-based paint activities course. This 
proposal seeks to codify this practice.
    These proposed notification requirements for lead-based paint 
abatement activities and training courses will assist significantly in 
the implementation of lead-based paint activities regulations codified 
at 40 CFR part 745 subpart L. The notification provisions will help to 
assure compliance by facilitating observation of abatement activities 
and training by EPA compliance monitoring and enforcement personnel.

B. What is the Agency's Authority for Taking this Action?

    EPA is issuing this proposed rule under the authority of section 
407 of the Toxic Substance Control Act (TSCA), 15 U.S.C. 2687. Section 
407 states that regulations of the Administrator under Subchapter IV of 
TSCA shall include such recordkeeping and reporting requirements as may 
be necessary to insure effective implementation. EPA regulations under 
Subchapter IV of TSCA include lead-based paint activities regulations, 
which this proposal seeks to amend, codified at 40 CFR part 745 subpart 
L.

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III. Proposal

A. What are the Requirements for Notification of Lead-based Paint 
Abatement Activities?

    Today's proposed rule includes the procedures that will be used to 
satisfy the requirements for the notification of commencement of lead-
based paint abatement activities in Sec. 745.227(e). This provision 
includes instructions which would require firms certified under 40 CFR 
745.226 to provide notification to the Agency prior to conducting lead-
based paint abatement activities. The original notice, signed by a 
certified supervisor, would be required to be received by the Agency at 
least 10 business days prior to the start of lead-based paint abatement 
activities. An abbreviated notification period is provided for lead-
based paint abatement activities conducted in response to an elevated 
blood lead (EBL) determination and/or a Federal, State, Tribal, or 
local emergency abatement order, where the firm is unable to comply 
with the standard notification period due to the necessity for an 
expeditious response to such event. If lead-based paint abatement 
activities are expected to begin on a date other than that specified in 
the original notice or if the other reported information changes, an 
updated notice would be required. This proposal would prohibit lead-
based paint abatement activities from starting on any date other than 
the one contained in the applicable notification. This notification 
provision would provide EPA compliance monitoring and enforcement 
personnel with information necessary to track compliance activity and 
to prioritize compliance inspections. The notice would include the 
following:
    1. Notification type (Original, Updated, Cancellation).
    2. Date when lead-based paint abatement activities will commence.
    3. Date when lead-based paint abatement activities will end 
(approximation using best professional judgement).
    4. Firm's name, EPA certification number, address, and phone 
number.
    5. Type of building on/in which abatement work will be performed.
    6. Property name (if applicable).
    7. Property address for abatement work, including nearest cross 
streets.
    8. Copy of Federal/State/Tribal/Local emergency abatement order, if 
applicable.
    9. Name, EPA certification number, and signature of the Certified 
Supervisor.
    10. Approximate square footage/acreage to be abated.
    11. Brief description of abatement activities to be performed.
    Notification would be accomplished using any of the following 
methods: written notice, or E-mail. All notices submitted by E-mail 
must be followed with written notice within 24 hours of submission. 
Written notification would be accomplished using either the sample form 
titled ``Notification of Lead-Based Paint Abatement Activities'' or a 
similar form. All written notices would be delivered by U.S. Postal 
Service, fax, commercial delivery service, or hand delivery. When using 
the U.S. Postal Service for delivery, an additional three business days 
should be factored in to ensure Agency receipt of the notice by the 
required date. The notice would have to be signed by a certified 
supervisor. Notification instructions and sample forms would be 
obtained from the National Lead Information Center (NLIC) at 1-800-424-
LEAD, or the Internet at http://www.epa.gov/lead.

B. What are the Requirements for Notification of Lead-based Paint 
Activities Training?

    Today's proposed rule includes requirements for the notification of 
lead-based paint activities training in 40 CFR 745.225(c). This 
provision would require training programs certified under 40 CFR 
745.225 to provide notification to the Agency prior to conducting lead-
based paint activities courses. The original notice would be required 
to be received by the Agency at least 10 business days prior to the 
start of a lead-based paint activities course. An updated notice would 
be required if the starting date for a lead-based paint activities 
course is changed to a date other than that specified in the original 
notice or if the other reported information changes. This proposed rule 
would also prohibit lead-based paint activities courses from starting 
on any date other than the date which is contained in the applicable 
notification. This notification provision would provide EPA compliance 
monitoring and enforcement personnel with information necessary to 
track training program compliance and to prioritize compliance 
inspections. The notice would include the following:
    1. Notification type (Original, Updated, Cancellation).
    2. Training program name, EPA accreditation number, address, and 
phone number.
    3. Course discipline, type (initial/refresher), and the language in 
which instruction will be given.
    4. Date(s) and time(s) of training.
    5. Training location(s) phone number, and street address (including 
nearest cross streets).
    6. Principal instructors name.
    7. Training manager's name and signature.
    Training programs would also be required to provide notice to the 
Agency following completion of a lead-based paint activities course. 
This notice would be provided to the Agency within 10 business days of 
course completion. This notification provision would provide 
information necessary for the following: (1) the evaluation of 
certification applications, and (2) to properly evaluate the training 
and certification credentials of individuals conducting lead-based 
paint abatement activities. This notice would include the following:
    1. Training program name, EPA accreditation number, address, and 
phone number.
    2. Course discipline and type (initial/refresher).
    3. Date(s) of training.
    4. The following student information:
    a. Name.
    b. Address.
    c. Social security number.
    d. Course completion certificate number.
    e. Student test scores.
    5. Training manager's name and signature.
    Notification of lead-based paint activities course schedules and 
notice following completion of lead-based paint activities courses 
would be accomplished using any of the following methods: written 
notice, or by E-mail. All notices submitted by E-mail would be followed 
up with a written notice. Written notification of lead-based paint 
activities course schedules would be accomplished using either the 
sample form titled ``Lead-based Paint Activities Training Course 
Schedule'' or similar form. Written notification following lead-based 
paint activities courses would be accomplished using either the sample 
form titled ``Lead-based Paint Activities Training Course Follow-up'' 
or similar form. All written notices would be delivered by U.S. Postal 
Service, fax, commercial delivery service, or hand delivery. When using 
the U.S. Postal Service for delivery, an additional 3 business days 
should be factored in to ensure Agency receipt of the notice by the 
required date. The notice would have to be signed by the Training 
Manager. Notification instructions and sample forms would be obtained 
from the National Lead Information Center (NLIC) at 1-8001-4241-LEAD, 
or on the Internet at http://www.epa.gov/lead/.

[[Page 7211]]

C. What Were the Principal Issues Considered During the Development of 
this Proposal?

    1. How is notification accomplished? While considering notification 
methods, the Agency reviewed the notification provisions of several 
existing State lead-based paint abatement programs, as well as a 
similar Agency program for asbestos abatement, the National Emission 
Standards for Hazardous Air Pollutants (NESHAP) program. It was 
determined that each of these programs require notification in writing, 
delivered by hand, postal service, or commercial delivery service.
    The NESHAP program received comments regarding the use of faxed 
notification. In the 1990 final rule (55 FR 48406), the NESHAP program 
responded that EPA did not consider fax notification to be sufficiently 
reliable, at the time, to allow their use but might consider the use of 
facsimile machines in the future when their reliability improved.
    For purposes of this proposal, the Agency would like to make use of 
existing technology to simplify the lead-based paint abatement and 
training notification process. The use of fax machines today is 
commonplace and reliability concerns are greatly diminished. Also, E-
mail is a reliable and effective communication tool. Therefore, in 
addition to the more traditional notification methods (mail, commercial 
delivery service, or hand delivery) the Agency is proposing to allow 
fax and E-mail notification. In allowing E-mail notifications, the 
Agency is proposing that E-mail notification would require follow-up 
written notification for the record. However, the original E-mail 
notice would satisfy the applicable notification time requirements.
    The Agency is also particularly interested in receiving comments on 
other electronic reporting mechanisms, including web-based on-line 
reporting. Under the Government Paperwork Elimination Act (GPEA) of 
1998, Public Law No. 105-277, all Federal agencies are required to have 
an electronic means of reporting to government as an alternative to 
reporting on paper by October 2003, and such submissions and 
transactions must be given the same legal effect as a paper submission. 
It requires Federal agencies to provide individuals or entities the 
option to submit information, transact business with the Agency, and 
maintain records electronically, when practicable. In addition, the 
Electronic Signatures in Global and National Commerce Act (E-SIGN) of 
2000, Public Law No. 106-229, is intended to eliminate legal barriers 
to the use of electronic technology in business-to-business and 
consumer transactions. It's basic purpose is to promote the use of 
electronic signatures, electronic contract formation, and electronic 
record-keeping in private commerce by establishing legal equivalence 
between: (1) Contracts written on paper and contracts in electronic 
form; (2) pen-and-ink signatures and electronic signatures; and (3) 
other legally-required written documents and the same information in 
electronic form.
    In compliance with these mandates, EPA is developing a centralized 
Agency-wide electronic report receiving system, called the ``Central 
Data Exchange'' (CDX). Once CDX is in place for a particular reporting 
or submission requirement, regulated entities that wish to submit 
electronic documents directly to EPA would be able to do so using CDX. 
In addition, until CDX is available, and parallel to CDX, the Office of 
Pollution Prevention and Toxics (OPPT) is also developing a user-
friendly electronic reporting process for the information that is 
submitted to EPA under sections 4, 5, 8, and 12(b) of TSCA. OPPT 
expects to implement these electronic reporting options in the first 
quarter of 2001. In providing comments on additional electronic options 
to consider for the notification covered in this proposed rule, EPA 
asks commenters to also provide estimates for the reporting burden 
associated with electronic reporting, differences between the burden of 
reporting electronically versus in paper, availability of technology 
necessary for electronic reporting, and comments or preferences between 
on-line web-based notifications and e-mail electronic options.
    The Agency also considered telephone notification and found it 
inappropriate because it would increase administrative burden, and 
would be less reliable due to inherent problems associated with 
transcribing verbal information. Therefore, the Agency does not intend 
to allow telephone notification.
    2. Time periods for notification. In determining when EPA would 
require receipt of abatement and training notifications, the Agency 
considered input from the following:
    (1) A similar regulatory program NESHAP.
    (2) Existing state notification requirements.
    (3) EPA's Office of Enforcement and Compliance Assistance (OECA).
    The Agency operates a similar regulatory program, the NESHAP, which 
requires Agency notification for asbestos stripping and removal. The 
NESHAP program requires original notification to be postmarked 10 
business days prior to the commencement of asbestos stripping and 
removal projects. NESHAP notification is required in writing, to be 
delivered by hand, U.S. Postal Service, or commercial delivery service. 
The 10 business day period is necessary to review the notice, assign 
appropriate personnel, arrange for travel, and dispatch Agency 
representatives. Travel is often required due to the large geographical 
areas for which the 10 EPA regional offices are responsible.
    The Agency also reviewed several existing State programs including 
California, Texas, Oklahoma, and New Jersey. These States require 5 
days, 7 days, 10 days, and 14 business days respectively for original 
notification of lead-based paint abatement activities. Each of these 
State programs require notification in writing. Although it is 
difficult to directly compare specific notification provisions due 
primarily to differences in staffing and jurisdictional areas at the 
State level, it is important to note that the EPA proposed 10 business 
day notification period is readily comparable to the notification 
periods of these States.
    OECA manages the enforcement and compliance assurance activities 
for the NESHAP program. While the two programs are similar in nature, 
the lead-based paint activities program has a more complex regulatory 
structure with more disciplines and requirements than NESHAP. 
Therefore, OECA recommends that notification be received by the Agency 
at least 10 business days prior to the start of lead-based paint 
abatement activities and training courses, to assure that adequate time 
is allotted for compliance monitoring staff and managers to thoroughly 
review, select, and prepare for potential inspections of work sites and 
training programs. OECA staff emphasize the many activities which must 
be conducted in preparation for a site inspection including: (1) 
Notification processing; (2) inspection determination; (3) travel 
authorization; (4) pre-inspection notification; (5) preliminary 
compliance review; and (6) travel.
    In conclusion, the Agency believes that receipt of notification 10 
business days prior to conducting lead-based paint abatement activities 
or training courses is necessary to facilitate the inspection of 
abatement and training locations. The proposal also would also include 
provisions for updating the original notification. The Agency 
determined that a 10 business day

[[Page 7212]]

notification would also apply to a change in course location, or if the 
course is to be presented earlier than described in the original 
notification. Other changes, including cancellation of a session, need 
only be received by the Agency at least 2 business days before the 
session is scheduled to begin. Such notification periods are 
appropriate to allow proper allocation of EPA compliance monitoring and 
enforcement resources, and to prevent the arrival of Agency personnel 
at the wrong location or time.
    3. Abbreviated notification time period. The Agency understands 
that situations arise which require prompt action and that in these 
situations a firm may find it difficult, if not impossible, to satisfy 
the standard 10 business day notification period for lead-based paint 
abatement activities. In defining when these instances might occur, the 
Agency identified those abatement activities which are required in 
response to a determination that a child has an elevated blood lead 
level (EBL) or as a result of a Federal, State, Tribal, or local 
emergency abatement order as those which would require such prompt 
action. Notification time periods in such instances would be 
abbreviated and require documentation showing evidence of an EBL 
determination or a copy of the order to be included as part of the 
written notification.

IV. Regulatory Assessment Requirements

A. Executive Order 12866

    Under Executive Order 12866, entitled Regulatory Planning and 
Review (58 FR 51735, October 4, 1993), the Office of Management and 
Budget (OMB) has determined that this proposed rule is not a 
``significant regulatory action'' subject to review by OMB under E.O. 
12866, because this action does not meet any of the criteria for a 
``significant regulatory action'' under section 3(f) of E.O. 12866.
    The estimated costs for the first year of implementation are 
estimated to be approximately $440,000, decreasing to an average annual 
estimated cost of approximately $395,000 in subsequent years. For 
additional information about these estimated costs, please refer to the 
document entitled ``Information Collection Request (ICR) Supporting 
Statement for a Proposed Addendum to EPA ICR No. 1715 entitled TSCA 
section 402/404 Training and Certification, Accreditation, and 
Standards for Lead-Based Paint Activities'' (herein the ICR Addendum 
(EPA ICR No. 1715.03)). This document, identified as EPA ICR No. 
1715.03, is an addendum to the existing ICR. A copy is available in the 
public version of the official record described in Unit I.B.2., and may 
also be obtained as described in Unit IV.C.

B. Regulatory Flexibility Act

    Pursuant to section 605(b) of the Regulatory Flexibility Act (5 
U.S.C. 601 et seq.), the Agency hereby certifies that this action, if 
promulgated as proposed, will not have a significant economic impact on 
a substantial number of small entities. The factual basis for the 
Agency's determination is as follows. The Agency already assessed the 
potential small entity impacts of the notification requirement that was 
contained in the 1998 final rule as part of the economic analysis that 
was prepared for that rulemaking, a copy of which is available in the 
public version of the official record for this proposed rule as 
described in Unit I.B.2. In addition, the Agency has estimated the 
impacts of the other requirements contained in this proposed rule, 
which are presented in the ICR Addendum (EPA ICR No. 1715.03).
    In considering the potential small entity impacts of this proposed 
rule, the Agency believes that its previous determination regarding the 
Lead Abatement Training and Certification Final Rule is not affected by 
the notification procedures contained in this proposed rule. Based on 
the estimated total costs of this proposed rule as presented in the ICR 
Addendum (EPA ICR No. 1715.03), EPA has determined that this rulemaking 
is not likely to result in a significant impact on a substantial number 
of small entities. In general, EPA strives to minimize potential 
adverse impacts on small entities when developing regulations to 
achieve the environmental and human health protection goals of the 
statute and the Agency.
    For the purpose of analyzing the potential impacts of this proposed 
rule on small entities, EPA used the definition for small entities that 
is found in section 601 of the RFA. Under section 601, ``small entity'' 
is defined as: (1) A small business that meets Small Business 
Administration (SBA) size standards codified at 13 CFR 121.201; (2) a 
small governmental jurisdiction that is a government of a city, county, 
town, school district or special district with a population of less 
than 50,000; and (3) a small organization that is any not-for-profit 
enterprise which is independently owned and operated and is not 
dominant in its field. The SBA size standards for the small businesses 
potentially affected by this proposed rule is 500 employees or less for 
lead abatement firms whose primary activity is classified as 
environmental remediation (NAICS code 562910), and revenues of $5 
million or less for firms that are accredited to provide lead-based 
paint training (NAICS code 611519). Since SBA recently amended its 
small business size standards, which previously classified small 
business sizes according to the Standard Industrial Classification 
(SIC) system, to classify small business sizes according to the NAICS 
system, the analysis for the Lead Abatement Training and Certification 
Final Rule uses the SBA size standards that were in place in 1996, when 
that analysis and rule were completed. Although it is possible that 
certain businesses could gain or lose ``small'' status as a result of 
SBA's conversion to NAICS, EPA does not believe that any such changes 
would affect its conclusion to certify under the RFA, because the 
incremental costs per entity are not significant, regardless of the 
entity's size. By definition, individuals, States and Indian tribes are 
not considered small entities under the RFA.
    This rule only applies in those States that do not have authorized 
programs pursuant to 40 CFR 745.324, and then only applies if that 
State chooses to seek certification to perform lead abatement 
activities or accreditation to provide lead training. As such, small 
governmental jurisdictions are only impacted if there isn't a State 
authorized program and then only if the small governmental entity 
chooses to seek certification to perform lead abatement activities or 
accreditation to provide lead training on their own.
    Small abatement firms and training providers are only impacted if 
there isn't an authorized State program in their State, and then only 
if they seek certification to perform lead abatement activities or 
accreditation to provide lead training. EPA estimates that, in EPA 
administered states, there could be approximately 1,167 abatement firms 
with 15.36 notifications per firm each year, and approximately 51 
training providers with an estimated 17.93 notifications in the first 
year and an estimated 4 notifications in subsequent years.
    The estimated average cost per notification for abatement firms is 
approximately $5, with an estimated total cost per entity of 
approximately $75. The estimated average cost per notification for 
training providers is approximately $32, with an estimated total cost 
per entity of approximately $298 in the first year and approximately 
$67 in subsequent years. EPA believes that the impact of these costs 
would be

[[Page 7213]]

proportional for both small and large firms, and that the impacts may 
be slightly lower for small governmental jurisdictions that fund 
abatement work due to lower wage rates and overhead expenses. Overall, 
EPA believes that these costs would not result in a significant impact 
on affected small entities.
    Small non-profit organizations are only impacted if they seek 
certification to perform lead abatement activities or accreditation to 
provide lead training on their own. Although EPA believes that non-
profit organizations may seek certification, EPA does not have 
sufficient information about these organizations or their intentions 
regarding certification or accreditation. Nevertheless, given the low 
costs for notification and the relatively small number of non-profit 
organizations EPA believes are likely to seek certification or 
accreditation, EPA does not believe that this affects the Agency's 
determination that this rule is not expected to have a significant 
impact on a substantial number of small entities.
    Any comments regarding the impacts that this action may impose on 
small entities, should be submitted to the Agency in the manner 
specified under Unit I.C. In addition, information relating to this 
determination will be provided to the Chief Counsel for Advocacy of the 
Small Business Administration upon request, and is included in the 
public version of the official record for this rulemaking.

C. Paperwork Reduction Act

    The information collection requirements contained in this proposed 
rule have been submitted to OMB under the Paperwork Reduction Act 
(PRA), 44 U.S.C. 3501 et seq., and in accordance with the procedures at 
5 CFR 1320.11. An Information Collection Request (ICR) document has 
been prepared by EPA (the ICR Addendum (EPA ICR No. 1715.03)), a copy 
of which has been placed in the public version of the official record 
described in Unit I.B.2., and which may also be accessed electronically 
on EPA's homepage at http://www.epa.gov/icr.
    The information requirements contained in this proposal are not 
effective until promulgation and OMB approval, which is represented by 
a currently valid OMB control number. An agency may not conduct or 
sponsor and a person is not required to respond to a collection of 
information subject to OMB approval under the PRA unless it displays a 
currently valid OMB control number. The OMB control numbers for EPA's 
regulations, after initial publication in the Federal Register, are 
maintained in a list at 40 CFR part 9.
    The proposed rules contain four requirements that would impose 
paperwork burdens: reading and interpreting the proposed rules, the 
notification of lead-based paint abatement activities, the notification 
of lead-based paint activities training courses, and notification 
following completing of lead-based paint activities training courses. 
Paperwork burdens are estimated to be 21,254 total hours for the first 
year of implementation, and 19,048 hours annually in subsequent years.
    Under the PRA, ``burden'' means the total time, effort, or 
financial resources expended by persons to generate, maintain, retain, 
or disclose or provide information to or for a Federal agency. This 
includes the time needed to review instructions; develop, acquire, 
install, and utilize technology and systems for the purposes of 
collecting, validating, and verifying information, processing and 
maintaining information, and disclosing and providing information; 
adjust the existing ways to comply with any previously applicable 
instructions and requirements; train personnel to be able to respond to 
a collection of information; search data sources; complete and review 
the collection of information; and transmit or otherwise disclose the 
information.
    Comments, submitted as instructed under Unit I.C., are requested on 
the Agency's need for this information, the accuracy of the provided 
burden estimates, and any suggested methods for minimizing respondent 
burden, including through the use of automated collection techniques. 
The final rule will respond to any OMB or public comments received on 
the information collection requirements contained in this proposal.

D. Unfunded Mandates Reform Act (UMRA)

    Pursuant to Title II of the Unfunded Mandates Reform Act of 1995 
(UMRA) (Public Law No. 104-4), EPA has determined that this regulatory 
action does not contain a Federal mandate that may result in 
expenditures of $100 million or more for State, local, and tribal 
governments, in the aggregate, or the private sector in any one year. 
This proposed rule applies only in States and Indian Tribes that do not 
have authorized programs pursuant to 40 CFR 745.324, and then only 
applies to those States and Indian Tribes who choose to seek 
certification to perform lead abatement activities or accreditation to 
provide lead training. As such, the rule will not impose an enforceable 
duty on any State, local or Tribal governments. Since, this proposed 
rule is estimated to cost approximately $439,573 in the first year of 
implementation, and $395,157 annually in subsequent years, it is not 
expected to result in expenditures by the private sector of $100 
million or more in any given year. As a result, the UMRA requirements 
in sections 202, 204, and 205 do not apply to this proposed rule.
    This proposed rule contains no regulatory requirements that might 
significantly or uniquely affect small governments. Therefore, no 
action is needed under section 203 of the UMRA.

E. Executive Orders 13084 and 13175

    Under Executive Order 13084, entitled Consultation and Coordination 
with Indian Tribal Governments (63 FR 27655, May 19,1998), EPA may not 
issue a regulation that is not required by statute, that significantly 
or uniquely affects the communities of Indian tribal governments, and 
that imposes substantial direct compliance costs on those communities, 
unless the Federal government provides the funds necessary to pay the 
direct compliance costs incurred by the tribal governments. If the 
mandate is unfunded, EPA must provide OMB, in a separately identified 
section of the preamble to the rule, a description of the extent of 
EPA's prior consultation with representatives of affected tribal 
governments, a summary of the nature of their concerns, and a statement 
supporting the need to issue the regulation. In addition, Executive 
Order 13084 requires EPA to develop an effective process permitting 
elected and other representatives of Indian tribal governments ``to 
provide meaningful and timely input in the development of regulatory 
policies on matters that significantly or uniquely affect their 
communities.''
    Today's rule does not significantly or uniquely affect the 
communities of Indian tribal governments, because this proposed rule 
applies only in Indian Tribes that do not have authorized programs 
pursuant to 40 CFR 745.324, and then only applies to those Indian 
Tribes who choose to seek certification to perform lead abatement 
activities or accreditation to provide lead training. Accordingly, the 
requirements of section 3(b) of Executive Order 13084 do not apply to 
this rule.
    On November 6, 2000, the President issued Executive Order 13175, 
entitled Consultation and Coordination with Indian Tribal Governments 
(65 FR 67249). Executive Order 13175 took effect on January 6, 2001, 
and revokes Executive Order 13084 as of that date.

[[Page 7214]]

 EPA developed this proposed rule, however, during the period when 
Executive Order 13084 was in effect; thus, EPA addressed tribal 
considerations under Executive Order 13084. EPA believes that the 
differences between the Executive Order do not affect the Agency's 
activities for this proposed rule. EPA will, however, analyze and fully 
comply with the requirements of Executive Order 13175 before 
promulgating the final rule.

F. Executive Order 13132

    Executive Order 13132, entitled Federalism (64 FR 43255, August 10, 
1999), requires EPA to develop an accountable process to ensure 
``meaningful and timely input by State and local officials in the 
development of regulatory policies that have federalism implications.'' 
``Policies that have federalism implications'' are defined in the 
Executive Order to include regulations that have ``substantial direct 
effects on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government.''
    This proposed rule does not have federalism implications, because 
it will not have substantial direct effects on the States, on the 
relationship between the national government and the States, or on the 
distribution of power and responsibilities among the various levels of 
government, as specified in Executive Order 13132. This proposed rule 
applies only in States that do not have authorized programs pursuant to 
40 CFR 745.324, and then only applies to those States who choose to 
seek certification to perform lead abatement activities or 
accreditation to provide lead training.
    Although section 6 of Executive Order 13132 does not apply to this 
rule, EPA consulted with the States at meetings of the Forum on State 
and Tribal Toxics Action and the annual EPA meeting with State Lead 
Program representatives.

G. Executive Order 12898

    Pursuant to Executive Order 12898, entitled Federal Actions to 
Address Environmental Justice in Minority Populations and Low-Income 
Populations (59 FR 7629, February 16, 1994), the Agency has considered 
environmental justice related issues with regard to the potential 
impacts of this action on the environmental and health conditions in 
low-income and minority communities. The Agency's analysis has 
determined that this proposed action has no disproportionate impact on 
minority or low income populations.

H. Executive Order 13045

    Executive Order 13045, entitled Protection of Children from 
Environmental Health Risks and Safety Risks (62 FR 19885, April 23, 
1997), applies to any rule that (1) is economically significant as 
defined under OMB's guidance related to section 3(f)(1) of Executive 
Order 12866, and (2) addresses an environmental health or safety risk 
that EPA has reason to believe has a disproportionate effect on 
children. If the regulatory action meets both criteria, the Agency must 
evaluate the environmental health or safety effects of the planned rule 
on children; and explain why the planned regulation is preferable to 
other potentially effective and reasonably feasible alternatives 
considered by the Agency.
    This rule is not subject to Executive Order 13045 because it is not 
an ``economically significant regulatory action'' as defined by 
Executive Order 12866 (see Unit IV.A.). Although this proposed rule is 
associated with EPA's overall lead-based-paint management program which 
is designed to reduce health risks to children, this rule itself simply 
establishes an Agency notification procedure and does not directly 
address environmental health or safety risk. This proposed rule does, 
however, help to further the Agency's efforts to prevent lead poisoning 
in children under the age of six by supporting the Agency's 
implementation of the mandate in Title X, which requires that lead 
abatement professionals involved in inspecting, assessing or removing 
lead-based paint, dust or soil be trained and certified to conduct 
these activities.

I. National Technology Transfer and Advancement Act

    This regulatory action does not involve any technical standards 
that would require Agency consideration of voluntary consensus 
standards pursuant to section 12(d) of the National Technology Transfer 
and Advancement Act of 1995 (NTTAA), Public Law No. 104-113, 12(d) (15 
U.S.C. 272 note). Section 12(d) of NTTAA directs EPA to use voluntary 
consensus standards in its regulatory activities unless to do so would 
be inconsistent with applicable law or otherwise impractical. Voluntary 
consensus standards are technical standards (e.g., materials 
specifications, test methods, sampling procedures, business practices, 
etc.) that are developed or adopted by voluntary consensus standards 
bodies. The NTTAA requires EPA to provide Congress, through OMB, 
explanations when the Agency decides not to use available and 
applicable voluntary consensus standards. The Agency invites comment on 
the potential use of voluntary consensus standards in this rulemaking, 
and, specifically, invites the public to identify potentially 
applicable consensus standard(s) and to explain why such standard(s) 
should be used here.

J. Executive Order 12630

    EPA has complied with Executive Order 12630, entitled Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights (53 FR 8859, March 15, 1988), by examining the takings 
implications of this rule in accordance with the Attorney General's 
``Supplemental Guidelines for the Evaluation of Risk and Avoidance of 
Unanticipated Takings'' issued under the Executive Order.

K. Executive Order 12988

    In issuing this proposed rule, EPA has taken the necessary steps to 
eliminate drafting errors and ambiguity, minimize potential litigation, 
and provide a clear legal standard for affected conduct, as required by 
section 3 of Executive Order 12988, entitled Civil Justice Reform (61 
FR 4729, February 7, 1996).

List of Subjects in 40 CFR Part 745

    Environmental protection, Fees, Hazardous substances, Lead 
poisoning, Reporting and recordkeeping requirements.

    Dated: January 16, 2001.

Carol M. Browner,

Administrator.

    Therefore, it is proposed that 40 CFR part 745 be amended as 
follows:

PART 745--[AMENDED]

    1. The authority citation for part 745 would continue to read as 
follows:

    Authority: 15 U.S.C. 2605, 2607, 2615, 2681-2692, and 42 U.S.C. 
4852d.


    2. In Sec. 745.223 by adding in alphabetical order definitions for 
``Business day''; ``Lead abatement professional''; ``Lead-based paint 
activities courses''; and ``Training provider'' to read as follows:


Sec. 745.223  Definitions.

* * * * *
    Business day means Monday through Friday with the exception of 
Federal holidays.
* * * * *

[[Page 7215]]

    Lead abatement professional means an individual certified to 
conduct lead-based paint activities under Sec. 745.226 as a worker, 
supervisor, project designer, inspector, or risk assessor.
* * * * *
    Lead-based paint activities courses means training courses (worker, 
supervisor, inspector, risk assessor, project designer) provided by 
accredited training programs.
* * * * *
    Training provider means any business entity accredited under 
Sec. 745.225 that offers lead-based paint activities courses.
* * * * *
    3. In Sec. 745.225 by adding paragraphs (c)(13) and (c)(14) to read 
as follows:


Sec. 745.225  Accreditation of training programs: target housing and 
child-occupied facilities.

* * * * *
    (c) * * *
    (13) The training manager shall provide notification of lead-based 
paint activities courses offered.
    (i) The training manager shall provide the agency with notice of 
all lead-based paint activities courses offered. The original notice 
must be received by the agency at least 10 business days prior to 
offering any lead-based paint activities course.
    (ii) The training manager shall provide the agency updated notice 
when lead-based paint activities courses will begin on a date other 
than the one specified in the original notification, as follows:
    (A) For lead-based paint activities courses beginning prior to the 
original start date an updated notice must be received by the agency at 
least 10 business days before the revised start date.
    (B) For lead-based paint activities courses beginning after the 
original start date an updated notice must be received by the agency at 
least 2 business days before the original start date.
    (iii) The training manager shall update the agency of any change in 
location of lead-based paint activities courses at least 10 business 
days prior to the scheduled course start date.
    (iv) The training manager shall also update the agency regarding 
any course cancellations, or any other change to the original notice. 
Updated notices must be received by the agency at least 2 business days 
prior to the scheduled course start date.
    (v) Each notice, including updates, shall include the following:
    (A) Notification type (original, update, cancellation).
    (B) Training program name, EPA accreditation number, address, and 
phone number.
    (C) Course discipline, type (initial/refresher), and the language 
in which instruction will be given.
    (D) Date(s) and time(s) of training.
    (E) Training location(s) phone number, and street address.
    (F) Principal instructors name.
    (G) Training manager's name and signature.
    (vi) Notification shall be accomplished using any of the following 
methods: written notice, or by E-mail. All notices submitted by E-mail 
must be followed with written notice within 24 hours of submission. 
Written notification of lead-based paint activities course schedules 
can be accomplished by using either the sample form titled ``Lead-based 
Paint Activities Training Course Schedule'' or a similar form developed 
by the training program containing the required information. All 
written notices shall be delivered by U.S. Postal Service, fax, 
commercial delivery service, or hand delivery (Persons submitting 
notification by U.S. Postal Service are reminded that they should allow 
three additional business days for delivery in order to ensure that the 
agency receives the notification by the required date). Instructions 
and sample forms can be obtained from the NLIC at 1-800-424-LEAD, or on 
the Internet at http://www.epa.gov/lead.
    (vii) Lead-based paint activities courses shall not begin on a 
date, or at a location other than that specified in the original notice 
unless an updated notice identifying a new date or location is 
submitted, in which case the course must begin on the date and location 
specified in the updated notice.
    (viii) No training program shall provide lead-based paint 
activities courses without first notifying the agency of such 
activities in accordance with the requirements of this paragraph.
    (14) The training manager shall provide notification following 
completion of lead-based paint activities courses.
    (i) The training manager shall provide the agency notice after the 
completion of any lead-based paint activities course which shall be 
received by the agency no later than 10 business days following course 
completion.
    (ii) The notice shall include the following:
    (A) Training program name, EPA accreditation number, address, and 
phone number.
    (B) Course discipline and type (initial/refresher).
    (C) Date(s) of training.
    (D) The following information for each student who took the course:
    (1) Name.
    (2) Address.
    (3) Social security number.
    (4) Course completion certificate number.
    (5) Student test score.
    (E) Training manager's name and signature.
    (iii) Notification shall be accomplished using any of the following 
methods: written notice, or by E-mail. All notices submitted by E-mail 
must be followed with written notice within 24 hours of submission. 
Written notification following lead-based paint activities training 
courses can be accomplished by using either the sample form titled 
``Lead-based Paint Activities Training Course Follow-up'' or a similar 
form developed by the training program containing the required 
information. All written notices shall be delivered by U.S. Postal 
Service, fax, commercial delivery service, or hand delivery (Persons 
submitting notification by U.S. Postal Service are reminded that they 
should allow three additional business days for delivery in order to 
ensure that the agency receives the notification by the required date). 
Instructions and sample forms can be obtained from the NLIC at 1-800-
424-LEAD, or on the Internet at http://www.epa.gov/lead.
* * * * *
    4. In Sec. 745.227 by revising paragraph (e)(4) to read as follows:


Sec. 745.227  Work practice standards for conducting lead-based paint 
activities: target housing and child-occupied facilities.

* * * * *
    (e) * * *
    (4) A certified firm shall notify EPA of lead-based paint abatement 
activities as follows:
    (i) Except as provided in paragraph (e)(4)(ii) of this section, the 
agency must be notified prior to conducting lead-based paint abatement 
activities. The original notice must be received by the agency at least 
10 business days before lead-based paint abatement activities begin.
    (ii) Notice for abatement activities required in response to an 
elevated blood lead level (EBL) determination, or Federal, State, 
tribal, or local emergency abatement order must be received by the 
agency as early as possible before, but not later than the day lead-
based paint abatement activities begin. Documentation showing evidence 
of an EBL determination or a copy of the Federal/State/tribal/local 
emergency abatement order must be included in the

[[Page 7216]]

written notification to take advantage of this abbreviated notification 
period.
    (iii) Updated notice of a new start date must be provided to the 
agency for lead-based paint abatement activities that will begin on a 
date other than the date specified in the original notification notice, 
as follows:
    (A) For lead-based paint abatement activities beginning prior to 
the original start date an updated notice must be received by the 
agency at least 10 business days before the revised start date.
    (B) For lead-based paint abatement activities beginning after the 
original start date an updated notice must be received by the agency at 
least 2 business days before the original start date.
    (iv) The certified firm shall update the agency of any change in 
location of lead-based paint abatement activities at least 10 business 
days prior to the project start date.
    (v) The certified firm shall also update the agency regarding the 
cancellation of any lead-based paint abatement activities, or other 
significant changes including, but not limited to, when the square 
footage or acreage to be abated changes by at least 20 percent. This 
updated notice must be received by the agency at least 2 business days 
prior to the project start date.
    (vi) The following shall be included in each notice:
    (A) Notification type (original, updated, cancellation).
    (B) Date when lead-based paint abatement activities will commence.
    (C) Date when lead-based paint abatement activities will end 
(approximation using best professional judgement).
    (D) Firm's name, EPA certification number, address, phone number.
    (E) Type of building (e.g. single family dwelling, multi-family 
dwelling, child-occupied facilities) on/in which abatement work will be 
performed.
    (F) Property name (if applicable).
    (G) Property address including apartment or unit number (if 
applicable) for abatement work.
    (H) Documentation showing evidence of an EBL determination or a 
copy of the Federal/State/tribal/local emergency abatement order, if 
applicable.
    (I) Name, EPA certification number, and signature of the certified 
supervisor.
    (J) Approximate square footage/acreage to be abated.
    (K) Brief description of abatement activities to be performed.
    (vii) Notification shall be accomplished using any of the following 
methods: written notice, or by E-mail. All notices submitted by E-mail 
must be followed by written notice within 24 hours of submission. 
Written notification can be accomplished using either the sample form 
titled ``Notification of Lead-based Paint Abatement Activities'' or 
similar form. All written notices shall be delivered by U.S. Postal 
Service, fax, commercial delivery service, or hand delivery (Persons 
submitting notification by U.S. Postal Service are reminded that they 
should allow 3 additional business days for delivery in order to ensure 
that the agency receives the notification by the required date). 
Instructions and sample forms can be obtained from the NLIC at 1-800-
424-LEAD, or on the Internet at http://www.epa.gov/lead.
    (viii) Lead-based paint abatement activities shall not begin on a 
date, or at a location other than that specified in either an original, 
or updated notice, in the event of changes to the original notice.
    (ix) No firm or individual shall engage in lead-based paint 
abatement activities, as defined in Sec. 745.223, prior to notifying 
the agency of such activities according to requirements of this 
paragraph.
* * * * *

[FR Doc. 01-1797 Filed 1-17-01; 4:34 p.m.]
BILLING CODE 6560-50-S