United States
               Environmental Protection
               Agency
              Solid Waste and
              Emergency Response
              (5204G)
EPA 540-R-97-038
September 1998
www.epa.gov/superfund
?/EPA
Community Advisory Group
Toolkit
               For  EPA Staff

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Community Advisory Group
     Toolkit for €f>fl Staff
  Community Involvement and Outreach Center
   Office of Emergency and Remedial Response
     U.S. Environmental Protection Agency
            Washington, D.C.
               vvEPA

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      \          UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
SB
WASHINGTON, D.C.  20460
                                                                                  OFFICE OF
                                                                           SOLID WASTE AND EMERGENCY
                                                                                  RESPONSE

 Dear Community Involvement Coordinator:

 EPA is pleased and excited to provide you with this Toolkit of material to assist you in working with
 Superfund communities that are setting up and maintaining Community Advisory Groups. This kit
 contains information that is specifically designed for your use. In addition, it contains a sample cover
 letter_and a complete copy of all the materials—including sample mission statements, a guide for
 developing operating procedures, information on how to incorporate, tips on how to find additional
 funding, and many other useful items—that make up the Community Advisory Group Toolkit that you
 will hand off to the community for their use. Many of the materials from the community version of the
 Toolkit are in camera-ready format to provide you the greatest flexibility in providing additional copies
 of individual pieces to the Community Advisory Group. These materials are also available in electronic
 format upon request, should you want to make changes or personalize any or all of the enclosed items.

 This kit is meant to provide a jumping-off point for you, the Community Involvement Coordinator, and
 the Community Advisory Group. New Community Advisory Groups will benefit the most from this
 Toolkit; however, the "mature" and "seasoned" Community Advisory Groups also will find many of the
 sections useful. If you haven't done so already, I encourage you to meet with each of your Community
 Advisory Groups to decide how to share the responsibilities that are key to the success of the group (for
 example, obtaining meeting space, taking meeting minutes, providing for translation and facilitation
 services, creating fact sheets and meeting notices, handling mailings, copying services, etc.). Following
 is a sample "Community Advisory Group Services" table for you to use when you meet with the
 Community Advisory Group.

 Forming a Community Advisory Group is a very effective way for a community to participate in the
 decision-making process. I applaud your commitment to the Community Advisory Group program and
 hope this Toolkit will make the "community organizing" process run more smoothly. I look forward to
 working with you to support Community Advisory Groups in your Region. Please do not hesitate to call
 me at (703) 603-9929 if you have any questions.

 Sincerely,
Leslie Leahy
Manager, Community Advisory Group Program

             ftecyctodfftecyctabte • Printed with Vegetable OB Based Inks on 100% Recycled Paper (2O% Postconsumer)

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                     Community Advisory Group Services
        EPA  and the Community Working Together
               Service
        EPA
    Community
  Space for CAG meetings
 EPA does not pay for
 meeting space, but may
 assist the CAG in
 identifying free
 meeting space.
 Hint: A teleconference may
 be appropriate for this
 community.
Hint: "Free meeting space"
can often be found by a
community member.
 Office space for CAG-related activities
EPA does not pay for
office space.
Hint: If community has a
TAG, it may be able to use
that money for this service.
 Telephone services for CAG-related
 activities (e.g., phone, phone line, phone
 bills)
EPA does not pay
phone bills.
Hint: EPA teleconference
facilities can arrange
conference calls and call
community members so they
aren 't billed for call.
Hint: If community has a
TAG, it may be able to use
that money for this service.
 Training for CAGs (e.g., areas could
 include Superfund Workshop, conflict
 resolution, Robert's Rules of Order)
EPA cannot pay
directly for training,
but EPA (or an EPA
contractor) can provide
training when
appropriate.
Hint: Community could ask
a local civic club or other
organization to teach them
parliamentary procedures,
such as Robert's Rules of
Order.
 Audio visual equipment for meetings
EPA can bring audio-
visual equipment to
meetings.
 Prepare and/or print fact sheets, and/or
 mail meeting notices, and newsletters
 and/or letters to the community
EPA can prepare and
print informational
materials intended for
distribution to broader
community. EPA can
provide mailing
services and postage.
Hint: If community has a
TAG, it may be able to use
that money for these service.
September 1998

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                 Service
         EPA
     Community
  Maintain CAG mailing lists
 Note: All updates to
 the CAG Toolkit will
 be distributed by
 headquarters to the
 community through the
 CIC — HQ will not
 have lists.
  Purchase, loan, or lease computer, fax,
  and copying equipment
EPA cannot provide
this service.
Hint: If community has a
TAG, it may be able to use
that money for this service.
  Provide facilitation (e.g., neutral
  facilitator and/or mediation)
EPA can pay for a
neutral facilitator.
Hint: A local university may
be able to provide such a
                                                                   service.
  Take meeting minutes and make them
  available to the community
EPA or its contractor
(assuming it is within
the SOW) can take
meeting minutes.
 Video tape and/or record meeting
EPA or its contractor
(assuming it is within
the SOW) can video
tape or record a
meeting.
 Provide translation services for fact
 sheets and newsletters
Note: This can be done
through the Interagency
Agreement between EPA
and the State Dept. for
translation services.
Hint: Community members
may be able to review
translated documents to
ensure accuracy.
 Find and secure technical assistance
Note: EPA Technical
Assistance Grants (TAG)
available, and Technical
Outreach Services for
Communities (TOSC) also
available.
Another option is to use existing site work assignments or "amend" an existing work assignment
to include support in many of the areas mentioned above.  If you would like assistance hi this
area, please call Leslie Leahy at (703) 603-9929.
September 1998

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Introduction
 • Sample Letter for Transmitting the
  Toolkit to the Community
Part 1:  EP0 Tools
 • Community Advisory Group: Your Voice
   in EPA Decisions [Presentation]	  la
 • Community Advisory Group: Your Voice
   in EPA Decisions [Discussion Notes]	  2a
 • "Visioning": A Tool for Community
   Advisory Groups	  3a
 • Helping Community Advisory Groups
   To Incorporate	  ^a
 • Community Advisory Groups (CAGs) at
   Superfund Sites: Quick Reference Fact Sheet	  5a
 • Guidance for Community Advisory Groups
   at Superfund Sites	  6a

Part 2: Community Toolkit

How To
  • Meet the Community Advisory Group	  1
  • Tips for Involving Hard-To-Reach Segments
   of the Community	  3
  • Let's Get Started	 5
  • Writing a Mission Statement—	  9
  • Developing Operating Procedures	  11
  • Incorporating Your Community Advisory Group	  13

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  • Securing Tax-Exempt Status	 17
  • Community Advisory Groups and
   Technical Assistance Programs	  21
  • Finding Funding for Community Advisory Groups	  27

Community Tools
  • How To Write a Proposal	  Al
  • Community Advisory Group: Our Voice in EPA
   Decisions [Presentation]	  Bl
  • Community Advisory Group: Our Voice in EPA
   Decisions [Script Notes]	  Cl
  • Operating Procedures	  Dl
  • IRS Form (SS-4) for applying for Employer ID	  El
  • IRS Instructions and Forms (1023, 872-C, and 8718)
   for Applying for Recognition of Tax-Exempt Status	Fl
  • Superfund Technical Assistance Grant (TAG)
  Handbook: Applying for Your Grant	  Gl
  • Technical Outreach Services
  for Communities	 HI


Region-Specific Information

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The U.S. Environmental Protection Agency (EPA) is committed to providing the
public with an opportunity for meaningful participation in decision-making at
Superfund and other sites with environmental problems. Early and direct public
involvementresults in better decisions on how to cleanup sites.

Forming aCommunity Advisory Group(CAG) is an effective way for acommunily
to participate in the decision-makingprocess. CAGs provide a public forum where
community representativescan discuss and resolve among themselves their
community'sdiverseinterests,needs, and concerns about the cleanup.

While the CAG concept was developed to enhance public participation in cleanup
decisions at Superfund sites, it may be useful for public participation at non-
Superfundsitesas well.

To help communities establish CAGs, we have developed a Community Advisory
Group ToolkifSaat includes a variety of information for use in setting up and main-
taining a Community Advisory Group. We also have produced a Community Advi-
sory Group Toolkit for EPA Staffforv&e by Community Involvement Coordinators
(CICs) and others in EPA Regional Offices in working with communities that are
establishing CAGs.

We have included in this Toolkit only information that is specific to CAGs. We have
made no effort to duplicate information that 1) appears in the existing Community
InvolvementHandbook, 2) is being prepared for the new Communitylnvolvement
Handbook and Toolkit, or 3) is available from other EPA sources. For example,
information on determining the need for and providing effective facilitation services
for community groups is provided in the new Communitylnvolvement Toolkit, and
"This Is Superfund" (EPA 540-K-95-005), containing materials for use in educating
citizens aboutthe Superfundprocess,is availablefrom the National Center for
Environmental Publications and Information (NCEPI). This information also may be
useful in working with communities forming Community Advisory Groups, and CICs
are encouragedto obtain the materials directlyfrom the sources cited.
The  Community fldvisory
Group  Toolkit for
EPff Staff

This versionofthe Toolkits designed
for use by CICs and other EPA Regional
Office staff. Itcontainsallthe elements
ofthe community version ofthe Toolkit,
which is beingprovided to you separately,
plus a variety of information thatmay be
useful in assisting communities that wish
to form Community Advisory Groups.
The material in your Toolkit also may be
helpful in working with DoD Restoration
Advisory Boards (RABs) and DOE Site
Specific Advisory Boards (SSABs) in
your Region.

As you look at the material,note that
materials inPart2, "Community
Toolkit," are written from a different
perspectivethan those in Part 1, "EPA
Tools." The materials in Part 2 are
written for community use and are
written from the community's perspec-
tive. This distinction between the
elementsofthe Toolkit designed for
community use and those designed for
your use is important, because itrein-
forcesthat a CAG is a community
initiative and responsibility.
                                                 -1-

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Your Toolkithas two parts:

  • Part 1, "EPA Tools," contains
   materialsyou can use to educate
   communities about the CAG
   concept, explain the advantages in
   forming aCommunity Advisory
   Group, and help communities begin
   the process of forming one. A copy
   ofthepresentationoverheadsand
   the accompanying presentation
   notes are provided in electronic
   format as well as hard copy.

   •  Part 2, "Community Toolkit,"
     contains camera-ready copies of
     all the materials included in the
     version of the CommunityAdvi-
     sory Group Toolkit designed for
     use by the community. These
     materials are divided into two
     subparts:

   •  acollectionof"howto"informa-
     tion, including EPA's guidance on
     Community Advisory Groups,
     step-by-step information on
     organizing a CAG, and sugges-
     tions about some of the major
     thingsto consider in forming a
     CAG; and

  •  "communitytools"including
     outlines, forms, publications, and
     other materials forthe community
    to use in establishing and main-
    taining its Community Advisory
    Group.
 Providing a  Toolkit to
 the  Community

 Before providingaCommunityAdvi-
 sory Group Toolkit to the community,
 CICs may want to add their own cover
 letterpersonalizingthe kit forthe
 recipientCAG. A sample cover letter
 follows this Introduction, and an elec-
 tronic copy (in WordPerfect) is included
 on the disketteprovided at the back of
 this Toolkit. Prior to handing off the
 Community Advisory Group Toolkitto
 the community, you also may want to
 augmentthematerialsinPart2, "Com-
 munity Tools," with appropriate techni-
 cal information about Superfund or other
 environmental programs and with
 Region- and state-specific information.
 For example, the proceduresand forms
 for incorporating an organization vary
 from state to state. CICs may wish to
 obtain incorporation materials from each
 state in their Region and insertthem into
 a Toolkit before they give it to a CAG.
 (A listofpoints-of-contactfor these
 materials in all 50 states is provided in
 Part 1 of the Toolkit for EPA Staff.) In
 addition, information on the Hazardous
 SubstanceResearchCenterinyour
 Region that provides assistance under
 the Technical Outreach Services to
 Communities (TOSC) program should
 be added to the 7bo/fczf priorto provid-
 ing it to a community.

 The section called "Region-Specific
 Information"atthe back of this Toolkit
 contains atabbed divider, labeled
 "Program/Other Information." Also
 includedare several plastic sleeves to
 hold these additional materials. CICs
 can insertthe tabbed dividerand the
 additional materials atthe back of the
 Community Advisory Group Toolkit
before handing it off to the community.

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                                                                     SAMPLE LETTER
(Use your Region's letterhead)           -•,           ,   t
Dear Community Advisory Group Participants:

EPA is pleased and excited to provide you with this Toolkit of materials to assist you in setting up and
maintaining your Community Advisory Group. This kit contains a variety of items and ideas that you
may find useful for your specific group. Included are sample mission statements, a guide for
developing operating procedures, information on how to incorporate, tips on how to find additional
funding, and other useful items.

This kit is meant to provide a jumping-off point for you. We encourage you to adapt what you find in
the Toolkit to more closely match your needs. We also encourage you to contact us with ideas and
suggestions that will help us make this kit more useful to you and to other Community Advisory
Groups.

Feel free to duplicate any of the materials in the Toolkit if you would like to distribute the materials to
others in the community. These materials are available in electronic format upon request, should you
want to make changes and personalize any or all of the items.

As the Community Involvement Coordinator assigned to your site, I am dedicated to helping you start
and maintain your Community Advisory Group, and will be happy to help you with any additional
needs you may have or ideas  you would like to try. I would be happy to meet with you to decide how
to share responsibilities that are key to the success of your group (for example, obtaining meeting
space, taking meeting minutes, providing for translation and facilitation services, creating fact sheets
and meeting notices, handling mailings, copying services, etc.}.

Forming a Community Advisory Group is a very effective way for your community to participate in
the decision-making process.  I applaud your commitment to organizing a Community Advisory Group,
and hope this Toolkit will make the "community organizing" process run more smoothly.

Sincerely,
(Insert Name)
Community Involvement Coordinator

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EPA  Tools

 • Community Advisory Group: Your Voice
  in EPA Decisions [Presentation]	
 • Community Advisory Group: Your Voice
  in EPA Decisions [Discussion Notes]	
 • Visioning: A Tool for Community
  Advisory Groups	
 • Helping Community Advisory Groups
  To Incorporate	
 • Community Advisory Groups (CAGs) at
  Superfund Sites: Quick Reference Fact Sheet
 • Guidance for Community Advisory Groups
  at Superfund Sites	
la

2a

3a

4a

5a

6a

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Comma inity
fidvisory
Group:
Your Voice
in EPff
Decisions
[Presentation]
September 1998
-EPA Tool 13-

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-EPA Tool 1b-

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I
        Your Voice in EPA Decisions

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What a Community Advisory
Group Is
 A public forum for community
 members to present and discuss their
 needs and concerns about the hazardous
 waste cleanup process and other
 environmental problems.

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Benefits of Forming a
Community Advisory Group
  Forum for all interests in community
                              j
  Opportunity to build trust
  Opportunity to build working
  relationships
  Central point of contact
  Better, more informed decisions about
  site cleanup and other environmental
  issues

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What the Community Advisory
Oroup Does
4- Holds meetings
* Reviews technical information about
  site cleanup and other environmental
  problems
«• Meets with EPA and State officials to
  provide information on site issues
  Works with EPA and State officials to
  solve problems

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    First Steps in Forming a
    Community Advisory Group
I
     Momentum comes from the community

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First Steps in Forming a
Community Advisory Group
 Choose a name

 Determine appropriate number of
 members

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First Steps in Forming a
Community Advisory Croup
 Write a mission statement

 Develop operating procedures

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First Steps in Forming a
Community Advisory Croup
 Decide whether to incorporate

 Decide whether to seek tax-exempt
 status

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Lessons Learned about
Community Advisory Groups
  Community Advisory Groups studied
  at five sites
   • Brio Refining, Inc., Harris County, TX
   • Carolawn, Inc., Chester County, SC
   • Colorado School of Mines Research
    Institute, Golden, CO
   • Oronogo-Duenwig Mining Belt Site, Jasper
    County, MO
   • Southern Maryland Wood Treatment
    Superfund Site, Hollywood, MD

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Lessons Learned about
Community Advisory Groups
 Form Community Advisory Group As
 Early in the Process As Possible
 Community Must Take Initiative in
 Formation and Operation
 Community Advisory Group Must Be
 Inclusive and Independent
 Access to Independent Technical
 Expertise Important

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Lessons Learned about
Community Advisory Groups
 Recognize What Is Possible and Work
 within These Limits
 Leaders Must Make Long-term
 Commitment
 Community Advisory Groups Are More
 Effective Than Public Meetings

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Lessons Learned about
Community Advisory Groups
  Need for Additional Resources Is
  Common Concern
  Community Advisory Groups Can Have
  Greater Influence on Decisions
  Community Advisory Groups May
  Speed Up the Process

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mat EPA Can Do To Halo
 Attend meetings, as needed
 Make site-related documents available
 Provide Community Advisory Group
 Toolkit

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Community
Advisory
Group:
Your Voice
in EPfl
Decisions
[Discussion
Notes]
September 1998
-EPA Tool 2a-

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-EPAT08I2D-

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             Community Advisory Group
                 Your Voice in EPA Decisions
              COMMUNITY ADVISORY GROUP
                  Your Voice in EPA Decisions
              Discussion Resources for Presentation
The purpose of the presentation slides is to introduce the audience to the
Community Advisory Group concept. Following is a replica of each
slide with information you may wish to use in discussing it. The
Agency's Guidance for Community Advisory Groups at Superfund Sites
(OSWER Directive 9230.0-28), issued in December 1995, Community
Advisory Groups (CAGs) at Superfund Sites: Quick Reference Fact Sheet
(EPA 540-F-96-016), and Community Advisory Groups: Partners in
Decisions at Hazardous Waste Sites: Case Studies (EPA 540-R-96-043)
provide additional useful information.

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           What a Community Advisory
           Group Is
             A public forum for community
             members to present and discuss their
             needs and concerns about the hazardous
             waste cleanup process and other
             environmental problems.
                         Slide 1:


A CAG is made up of representatives of diverse community interests. Its
purpose is to provide a public forum for community members to present
and discuss their needs and concerns related to the hazardous waste site
cleanup process and other environmental issues.

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            Benefits of Forming a
            Community Advisory Croup

            * Forum for all interests in community
            + Opportunity to build trust
            4- Opportunity to build working
              relationships
            4 Central point of contact
            4 Better, more informed decisions about
              site cleanup and other environmental
              ssues
                            Slide 2:


A CAG can help EPA and the public make better decisions on how to clean up
a site or deal with other environmental problems. It offers EPA a unique
opportunity to hear and seriously consider community environmental
protection preferences. Benefits include:
• Providing a place for all interests in the community to come together
• Offering an opportunity to build trust and working relationships,
  among different parts of the community as well as between the
  community and EPA
• Providing the community with an opportunity to learn more about the
  site and the remediation process or other activities at the site, and to
  express their concerns related to the site
• Allows the community to have a real impact on site activities and
  decisions
• Established a central point of contact in the community for EPA,
  State, and Tribal agencies

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           What the Community Advisory
           Croup Does


           • Holds meetings
           •* Reviews technical information about
             site cleanup and other environmental
             problems
           + Meets with EPA and State officials to
             provide information on site issues
           + Works with EPA and State officials to
             solve problems
                          Slide 3:


CAG meetings are the primary setting for the exchange of information
about community concerns and the status of site activities. Citizens who
participate in CAG meetings have an opportunity to learn more about the
site, seek answers to questions, and come to consensus about community
preferences. When the community speaks with one voice in this way, its
voice in the decision-making process is stronger.
An important part of the CAG's responsibility is to review technical
information about the site. EPA can provide site-related documents, and
EPA's Remedial Project Manager and Community Involvement
Coordinator can provide additional information or explanation of
materials as needed.

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          First Steps in Forming a
          Community Advisory Group

          + Momentum comes from the community
                         Slide 4:


Community Advisory Groups may be formed at any point in the
environmental remediation process. However, they are most effective
when formed early, allowing the community more time to participate hi
and have an impact on site activities and cleanup decisions. While EPA
can provide ideas and assistance, it is up to community residents to
decide if and how they want to form a Community Advisory Group.

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           First Steps in Forming a
           Community Advisory Croup
             Choose a name
             Determine appropriate number of
             members
                                                 Jl
                           Slide 5:
Generally, a core group of community residents with a strong interest in
site issues takes the lead. Some communities build their Community
Advisory Group from an existing framework, while others start their
group from scratch.  In certain situations, local governments take steps to
form Community Advisory Groups. The process often begins with a
well-publicized Community Advisory Group Information Meeting. This
meeting discusses the purpose of a Community Advisory Group,
opportunities for membership, and terms of participation. If sufficient
interest in forming a Community Advisory Group is generated,
community residents should take steps to form their own group.

Two important initial steps in forming a Community Advisory Group
involve choosing a name and determining how many members to have.
The size of a CAG will depend on the needs of the affected community.
The CAG should include enough members to adequately reflect the
diversity of racial, ethnic, and economic interests in the community. Be
careful, however, to keep the group small enough to ensure that
everyone has an opportunity to participate and that you can make the
decisions needed to get the work done.

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               First Steps in Forming a
               Community Advisory Croup

               + Write a mission statement
               +• Develop operating procedures
                                Slide 6:


A mission statement is a short, to-the-point description of the overall goals and
purposes of an organization. A well-written mission statement brings a clear focus to
an organization and an understanding of how their actions are tied to a greater
purpose. A mission statement should be understood by and acceptable to a wide
variety of community residents representing various viewpoints and interests.
Operating procedures provide a basic structure for conducing meetings which allows
members to focus on other issues. Determining your operating procedures include
deciding:
• how often the Community Advisory Group will meet
• when and how members will be notified or reminded
• when members will receive agendas of upcoming meetings and minutes of
  summaries from previous meetings
• how the Community Advisory Group will make decisions (consensus,
  majority rule, etc.)
• how you will handle communications among members if issues arise between
  meetings
• how you will communicate with, the community at-large (e.g., announce meetings,
  share information about important issues, milestones, activities)

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           Community Advisory Group

           + Decide whether to incorporate
           •* Decide whether to seek tax-exempt
             status
                                               Jl
                          Slide 7:


An important consideration when forming a Community Advisory
Group is determining whether you need to incorporate and/or secure tax-
exempt status. In order to qualify for certain types of government
funding or to receive contributions/donations from some sources, it may
be necessary to formally incorporate your Community Advisory Group
and/or to secure tax-exempt status from the Internal Revenue Service.

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          Lessons Learned about
          Community Advisory Croups

          + Community Advisory Groups studied
             at five sites
             • Brio Refining, Inc., Harris County, TX
             • Carolawn, Inc., Chester County, SC
             • Colorado School of Mines Research
               Institute, Golden, CO
             • Oronogo-Duenwig Mining Belt Site, Jasper
               County, MO
             • Southern Maryland Wood Treatment
               Superfund Site, Hollywood, MD
                         Slide 8:

EPA sponsored development of case studies of the Community Advisory
Groups at these sites to capture the experience of five Groups that had
been operating for a while. The case studies were developed based on
interviews with Community Advisory Groups members, EPA personnel,
and State and local government personnel involved in cleanup efforts at
these sites.

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               Lessons Learned about
               Community Advisory Groups

              + Form Community Advisory Group As
                 Early in the Process As Possible
              +• Community Must Take Initiative in
                 Formation and Operation
              *• Community Advisory Group Must Be
                 Inclusive and Independent
              •* Access to Independent Technical
                 Expertise Important
Jl
                                     Slide 9:
Forming a Community Advisory Group early in the decision-making process offers significant benefits:
•   The community can participate in and impact site activities and cleanup decisions.
•   The community has an opportunity to investigate possible remedy selections and to respond to
    proposed remedies.
•   Trust-building, a notoriously slow process, will get an early start.
•   Operations and dynamics within a Community Advisory Group have time to develop and
    mature.
It is critical that the community "owns" its Community Advisory Group and that the community itself
initiates the formation of the Community Advisory Group. Self-selection of members lends legitimacy to
the process and ensures that the Community Advisory Group is in the hands of stakeholders. EPA can
provide support and guidance e.g., providing information about what a Community Advisory Group is
and how to form one, offering advice on alternatives and resources available, helping with administrative
tasks such as advertising, meeting arrangements, and preparation of information summaries, minutes, and
other support materials. The level of EPA support, however, depends on needs and desires expressed by
the community. The credibility of a Community Advisory Group is a function of two characteristics:
inclusiveness and independence. The Community Advisory Group must represent all stakeholder
interests both to maintain credibility within the community, and to assure EPA, the State, and the PRPs
that the Community Advisory Group is the voice for the entire community rather than for a few interested
parties. More importantly from the community standpoint, the Community Advisory Group must be able
to act independently, free from the influence of others with an interest in the outcome of the situation.
Community Advisory Group members at all sites studied agreed that having sound, independent
technical advice regarding site remediation strategies and activities is a key element of Community'
Advisory Group success. How to obtain the technical advice needed varied among the case study sites.
Some of the Community Advisory Groups studies hired their own technical advisors, using funding from
Federal, State and local sources.  Others did not need outside technical assistance, because some of their
members had considerable technical expertise and were able to interpret information and advise the
groups.
                                                                                            10

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           Lessons Learned about
           Community Advisory Groups
           + Recognize What Is Possible and Work
             within These Limits
           •* Leaders Must Make Long-term
             Commitment
           •*• Community Advisory Groups Are More
             Effective Than Public Meetings
                           Slide 10:
Community Advisory Group leaders and EPA must recognize that most
ordinary citizens do not have a detailed understanding of the Superfund
and other waste cleanup programs. They need clear explanations of the
goals, purposes, policies, mechanisms, and limitations of the programs,
including the areas where EPA has no authority. This extends to a clear
understanding of the role and responsibilities of the Community
Advisory Group and individual citizens with an interest in the process.
Community Advisory Group leadership should be consistent and
prepared to invest whatever time commitment necessary to see the job
through to completion. Without effective leadership, Community
Advisory Groups may operate in a stop-start fashion, losing credibility
as decisions are made haphazardly or wasting time bringing new
members up to speed.
Because it provides an ongoing forum, the Community Advisory Group
process is more effective than a series of public meetings for discussing
and resolving issues and concerns. Community Advisory Groups provide
a place where community members with different viewpoints can
resolve their differences and develop a unified voice. It also provides a
place where the community, EPA, the State, PRPs, and technical experts
can take the time to examine and discuss detailed information.
                                                                       11

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           Lessons Learned about
           Community Advisory Croups
           + Need for Additional Resources Is
             Common Concern
           *• Community Advisory Groups Can Have
             Greater Influence on Decisions
           4- Community Advisory Groups May
             Speed Up the Process
                                                Jl
                          Slide 11:
Community Advisory Groups may need additional funding for
administrative, logistical and technical support. EPA Regional staff
sometimes can provide significant assistance with administrative
functions, but often more assistance is needed.
EPA staff and community members interviewed for the case studies
agreed that forming a Community Advisory Group increased
communities' influence on site-related decisions. For example, one EPA
Remedial Project Manager said formation and operation of the group at
his site led to a level of mutual respect between EPA personnel and
community activists who had been "butting heads" for years and resulted
in resolution of most of the site-related issues. EPA staff at another site
said the commitment shown by members of the Community Advisory
Group encouraged EPA to rely on and trust then- feedback.
Community Advisory Groups can provide an effective forum for careful
consideration of remedy alternatives. Any questions can be answered
quickly and information gaps filled early so that the Community
Advisory Group and the community at large fully understands remedy
alternatives. The Community Advisory Group also provides a
mechanism for clearing up misconceptions about the cleanup process
and for stopping rumors.
                                                                      12

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          What EPA Can Do To Help
            Attend meetings, as needed
            Make site-related documents available
            Provide Community Advisory Group
            Toolkit
                        Slide 12:
NOTE: Discussion points for this slide should be customized to reflect
the program of the individual Region.
                                                                 13

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Visioning:
ft Tool for
Community
Advisory
Groups
September 1998
-EPAToeiSa-

-------

-------
   The formation of
     a  Community
   Advisory Group
        presents an
    opportunity for
      EPA to assist
   stakeholders not
   only  in resolving
       site cleanup
     issues at hand,
  but also in facing
        the broader
      challenges of
        building a
        sustainable
  community, CICs
  may want to help
        Community
   Advisory Group
    members use a
         tool catted^
     "visioning" to
 produce an image
   of the future they
     want to create
   and identify the
   process that will
  help them achieve
        their goals.
                                Visioning:   li  Tool
                               for Community
                               fidvisoru
September 1998
Collaboration and consensus are funda-
mental mgredientsmavisioningprocess,
and, asaresult, the process can be
particularly useful to Community Advi-
sory Groups. Visioning involves bringing
together all sectors ofacommunily to
identity problems, evaluate changing
conditions, and build collective ap-
proaches for achieving the desired result
Participants in the process define "the
community," so a visioning process can
be used whether the focus is cleaningup
a single hazardous waste site or improv-
inglhe overall quality oflifeinalocality.

What  Is Visioning?

The overall goal of the visioning
process is to empower communities
and provide a method of comprehen-
sive goal-setting. The visioning process
takes participants through a four-step
problem-solving process designed to
build consensus on complex issues of
mutual concern. The steps in the
visioning process are:

1.  Community Brainstorming and
   Suggestions

2.  Establishing Goals and Developing
   aVision

3.  Bringing Commitmentto the Vision

4.  Implementing the Vision

How Can CflGs Clse the
Visioning Process?

Community Advisory Groups can use
visioning two ways:


         -EPA Tool 3C-
Members can use the process to
build a shared vision of the Group's
mission—what it is there to do.
Because visioning is collaborative,
it helps build a sense of commitment
to a desired result, not only among
Community Advisory Group
members but also among their
constituents. Then, Community
Advisory Group members can move
on to design the steps—activities,
milestones, information-sharing
methods, resource requirements—
for achieving the agreed-upon goal.

Thecommitmentfosteredinvision-
ing and ongoing collaboration among
participants provides afoundation for
breaking down social and economic
barriers and for building working
relationships based on trust, under-
standing, and respect Because all
viewpoints are involved in the
decision-making process, special
interestsare lesslikelyto block
implementation of the plan,
because it reflects their own
interests and efforts.

The Community Advisory Group's
collaborative approachin accom-
plishing its mission can serveto
stimulate expansionofthe visioning
processtothe larger community,
such as in the Agency's Commu-
nity-Based Environmental Protec-
tion(CBEP) Program, which
focuses on comprehensive
approaches to environmental
protection inagiven geographic
area and encourages stakeholder
participation.

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When Should  CflQs Use
Visioning?

Visioningwoiks best •when thecommu-
nity members are concerned enough
about the issues involved to be interested
and \vaimgtopaiticipate and where
individual and community efforts ate
required to address issues effectively.

What Can CICs  Do?

CICs must assess whether or not to
promote avisioningproject. The
visioningprocess may not be appro-
priate for every Community Advisory
Group. Thecollaborativenatureofthe
process istime-consuming.CICs may
wish to considerit, however, for
communities where issues are complex
and interests are diverse, because the
information-sharing and pooling of
resources involved can build under-
standingand lead to better decision-
making. Atsiteswhere visioning is
appropriate, CICs can:

  • Educate the community aboutthe
   visioning process. Make presenta-
   tions to mediaand community.
   to generate publicity before the
   projectgetsunderway.Schedulea
   public meeting to introduce the
   visioning projectto the media and
   to the public.

  • Promote full community involve-
   ment in the visioning process, hi
   addition to presentations and public
   meetings, CICs can issue press
   releases to maintain publicity and
   keep the public informed, supply
    flyers to advertisecoming events,
    and sponsorneighborhood or
   townmeetingsto allowproject
    participantstotalktoresidentsof
    specific areas aboutthe process
    and generate feedback. Another
    excellent way to spread the
    word is through a speakers
    bureau that allows articulate
project stakeholders to speak before
community groups aboutthe progress
of the visioning project

Additional  Resources

The Visioning Process and Commu-
nity-Based Environmental Protec-
tion: Questions and Answers, OSEC
Community Visioning Paper #1; The
Visioning Process and Community-
Based Environmental Protection: A
Case Study  of Chattanooga, Tennes-
see, OSEC Community Visioning
Paper #2; and The Visioning Process
and Community-Based Environmen-
tal Protection: An Annotated Bibli-
ography of Visioning Resources,
OSEC Community Visioning Paper
#3 areavailablefromEPA'sOfficeof
Sustainable Ecosystems and Communi-
ties at202-260-4002.

EPA's Community-Based Environmen-
tal Protection(CBEP) program is
developing additional information on
community visioning, which will be
includedinthe Community Involve-
ment Toolkit now being developed.

Citizen's Guide To Achieving a
Healthy Community, Economy and
Environment'^ available from the
Center for Compatible Economic
Development,? East Market Street,
Suite210,Leesburg,VA 20175.The
guide was developedin 1996 with a
grant from U.S. EPA Office of Sus-
tainable Ecosystems and Communities.

The Community Visioning and
Strategic Planning Handbook is
available from The National Civic
League, 1445MarketStreet,Denver,
CO 80202. This handbook was devel-
oped with a grant from the Ford
Foundation.
See also the following Internet
resources:

EPA's Community-Based Environmen-
tal Protection web site: http://epa.gov/
ecocommunity
           -EPATfllI3d-
                                                                                         September1998

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Helping
Community
Advisory
Groups To
Incorporate
September 1998
-EPA TOOl 48-

-------
-EPATeelOb-

-------
         Community
    Advisory Groups
         may need to
     incorporate and
   secure fax-exempt
    status in order to
   obtain funding to
        support their
          work. For
     example, EPA's
          Technical
   Assistance Grants
       are available
       ority to groups
            4hat are
       incorporated.
 Helping
  Community
 fidvisory
 To  Incorporate
 The corporate filing process is handled
 by the states and, as a result, proce-
 dures and forms vary from state to
 state. Following is a list of offices in
 each state where procedure informa-
 tion and appropriate forms may be
 obtained.

 Some CICs may wish to obtain incor-
 poration materials from each state in
 their Region and insert them, as
 appropriate, into a Community Advi-
 sory Group Toolkit prior to presenting
 it to the community. Others may wish
 to use the list as reference for provid-
 ing the community with the appropriate
 contact information, so they can obtain
 the necessary materials themselves.

 The list is copyrighted and may not be
 duplicated. It is being reprinted with
 permission of the Council of State
 Governments from the Council's State
 Leadership Directory: Directory III -
 State Administrative Officials Classi-
fied by Function 1996. The list is
 updated regularly. To determine if the
 information on the states hi your Re-
 gion has changed, contact the Council
 of State Governments at 1-800-800-
 1910.

 The following Corporate Records
 offices maintain a variety of corporate
 records and documents.

 ALABAMA
 Jean Jordan
 Corporate Records Supervisor
 Corp. Div.
 Off. of Secretary of State »
 1 IS. Union, Rm. 207
 Montgomery,AL 36130-4650
 Phone:(334)242-5324
 Fax:(334)240-3138

 ALASKA
 Michael Monagle
 Supervisor
 Corp. Section
 Dept. of Commerce & Economic Dev.
 P.O. Box 110807
 Juneau,AK 99811-0807
 Phone:(907)465-2521
 Fax:(907)465-2549

 ARIZONA
 James Matthews
 Executive Secretary
 Corp. Comm.
 1200 W. Washington, St.
 Phoenix, AZ 85007
 Phone:(602)542-3931

 ARKANSAS
 Sharon Priest
 Secretary of State
 256 State Capitol Bldg.
 1 Capitol Mall
Little Rock, AR 72201
Phone:(501)682-1010
Fax:(501)682-3510
                                ©Copyright 1996 The Council of State Governments. Reprinted with permission from  State
                                   Leadership Directory: Directory Ill-State Administrative Officials Classified by Function 1996.
September 1998
         -EPA Tool 4C-

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 CALIFORNIA
 Jim Clevenger
 Chief
 CorporateFilingDiv.
 Off. of Secretary of State
 1230 J St.
 Sacramento, CA 95814
 Phone:(916)657-5448

 COLORADO
 Michael Shea
 Director
 Div. of Commercial Recordings
 Dept. of State
 1560 Broadway, Ste. 200
 Denver, CO 80203
 Phone:(303)894-2251

 CONNECTICUT
 Maria Greenslade
 Assistant Deputy
 Off. of Secretary of State
 CommercialRecordingDiv.
 SOTrinitySt
 Hartford, CT 06106
 Phone:(203)566-2448

 DELAWARE
 Michael Owens
 Administrator
 Corp. Div.
 Dept. of State
 TownsendBIdg.
 Federal & Duke of York Sts.
 Dover, DE  19901
 Phone:(302)739-3077
 Fax:(302)739-3815

 FLORIDA
 Dave Mann
 Director
Div. of Corps.
409 E. Gaines St.
Tallahassee, FL 32301
Phone:(904)487-6000

 GEORGIA
Janet Jackson
Director
Business Srvcs. & Regulations
Off. of Secretary of State
2 Ml. King, Jr. Dr., SE, Ste. 306
Atlanta, GA 30334
 HAWAII
 Kathryn Matayoshi
 Director
 Dept. of Commerce & Consumer
 Affairs
 1010 Richards St.
 Honolulu,HI 96813
 Phone:(808)586-2850
 Fax:(808)586-2856

 IDAHO
 Sally Clark
 Supervisor
 Corps. Dept.
 Off. of Secretary of State
 Statehouse, Rm. 203
 700 W. Jefferson
 Boise, ID  83720
 Phone:(208)334-2301

 ILLINOIS
 Helen Conlee
 Administrator
 Corp. Div.
 Off. of Secretary of State
 330 Hewlett Bldg.
 Springfield,IL 62756
 Phone:(217)782-4909
 Fax:(217)782-4528

 INDIANA
 Steve Rogers
 Director
 Corp. Section
 Off. of Secretary of State
 302 W. Washington, Rm. EO18
 Indianapolis,IN 46204
 Phone:(317)232-6587

 IOWA
 Monty Bertelli
Director
 Off. of Secretary of State
Hoover State Off. Bldg., 2nd Fl.
 1300 E. Walnut
DesMoines,IA 50319
Phone:(515)281-5204
 KANSAS
 RonThomburgh
 Secretary of State
 Corps. Div.
 State Capitol Bldg., 2nd Fl.
 300 SW 10th St.
 Topeka,KS 66612
 Phone:(913)296-4564
 Fax:(913)296-4570

 KENTUCKY
 John Y. Brown, III
 Secretary of State
 State Capitol, Rm. 150
 700 Capitol Ave.
 Frankfort, KY 40601
 Phone:(502)564-3490
 Fax:(502)564-4075

 LOUISIANA
 W. Fox McKeithen
 Secretary of State
 Dept. of State
 P.O. Box 94125
 Baton Rouge, LA 70804
 Phone:(504)342-4479
 Fax:(504)342-5577

 MARYLAND
 Ronald Wineholt
 Director
 Off. of Director
 Dept. of Assessments & Taxation
 301 W. Preston St.
 Baltimore, MD 21201
 Phone:(410)225-1184
 Fax:(410)333-5873

 MASSACHUSETTS
 William F.Galvin
 Secretary of the Commonwealth
 State House, Rm.  337
24 Beacon St.
Boston, MA 02108
Phone:(617)727-2800
Fax:(617)742-4722
  CCopyright 1996 The Council of State Governments. Reprinted with permission from  State Leadership Directory: Directory Ill-State Administrative
                                        Officials Classified by Function 1996.
                                              -EPATaolM-
                                                      September 1998

-------
 i
 MICHIGAN
 Carl L. Tyson
 Director
 Corps. & Securities Bur.
 Dept. of Commerce
 P.O. Box 30222
 Lansing, MI 48909
 Phone:(517)334-6212

 MINNESOTA
 Joan Anderson Growe
 Secretary of State
 180 State Off. Bldg.
 100 Constitution Ave.
 St. Paul, MN  55155
 Phone:(612)296-2079
 Fax:(612)296-9073
 Email: secretary.state@state.mn.us

 MISSISSIPPI
 Ray Bailey
 Assistant Secretary of State
 Corps. Div.
 Off. of Secretary of State
 P.O. Box 136
 Jackson, MS 39205
 Phone:(601)359-1350

 MISSOURI
 Linda Oliver
 Director of Corporations
 Off.  of Secretary of State
 600 W. Main St.
 P.O. Box 778
 Jefferson City, MO  65102
 Phone: (573) 751 -3200
 Fax:(573)751-5841

 MONTANA
 Rose Ann Crawford
 Bureau Chief
 Business Srvcs. Bur.
 Off. of Secretary of State
 State Capitol
 13016th Ave.
Helena, MT 59620
Phone:(406)444-3665
Fax:(406)444-3976
 NEBRASKA
 Julie Von Busch
 Office Manager
 Corp. Div.
 Secretary of State
 State Capitol, Rm. 2300
 P.O. Box 94608
 Lincoln,NE 68509-4608
 Phone:(402)471-4079
 Fax:(402)471-3666

 NEVADA
 Dean Heller
 Secretary of State
 Capitol Complex
 Carson City, NV 89710
 Phone:(702)687-5203

 NEW HAMPSHIRE
 William Gardner
 Secretary of State
 204 State House
 Concord, NH 03301
 Phone:(603)271-3242

 NEW JERSEY
 James Frucione
 Director
 Div. of Commercial Recordings
 Dept. of  State
 820 Bear Tavern Rd., CN308
 Trenton, NJ 08625
 Phone: (609) 530-6400

 NEW MEXICO
 Manuel Cilanis
 Director
 Dept. of Corps.
 Corp. Comm.
 P.O. Drawer 1269
 Santa Fe,NM 87504
 Phone:(505)827-4202
 Fax:(505)827-4203

 NEW YORK
 Alexander F. Treadwell
 Secretary of State
 Dept. of State
 162 Washington Ave.
 Albany.NY 12231-0001
Phone:(518)474-0050
Fax:(518)474-4765
 NORTH CAROLINA
 John Collar
 Director
 Corps. Div.
 Off. of Secretary of State
 300 N.Salisbury St.
 Raleigh, NC 27603-5909
 Phone:(919)733-4201
 Fax:(919)733-5172

 NORTH DAKOTA
 Clara Jenkins
 Director
 Corp. Div.
 Off. of Secretary of State
 600 E. Blvd. Ave.
 Bismarck, ND 58505
 Phone:(701)328-4284
 Fax:(701)328-2992

 OHIO
 Terry Leach
 Assistant Secretary of State
 Off. of Secretary of State
 30 E. Broad St., 14th Fl.
 Columbus, OH 43266
 Phone:(614)466-3084
 Fax:(614)644-0649

 OKLAHOMA
 Tom Cole
 Secretary of State
 State Capitol Bldg., Ste. 101
 2300 N.Lincoln Blvd.
 Oklahoma, OK 73105
 Phone:(405)521-38911

 OREGON
 Jan Sullivan
 Director
 Off. of Secretary of State
 Public Srvc. Bldg.
 255 Capitol St., ME, Ste. 151
 Salem, OR 97310
Phone:(503)986-2205
Fax:(503)378-4381
  ©Copyright 1996 The Council of State Government;. Reprinted with permission from  Slate Leadership Directory: Directory Hi-State Administrative
                                        Officials Classified by Function 1996.

                                          •v*  -EPAToelfle-

-------

 PENNSYLVANIA
 Mark D. Warring
 Director
 Corp. Bur.
 Dept of State
 308N.OrT.Bldg.
 Harrisburg,PA 17120
 Phone:(717)783-9210

 RHODE ISLAND
 Pamela Palumbo
 Acting Director
 Corp.Div.
 Off. of Secretary of State
 100 N. Main St
 Providence, RI 02903
 Phone:(401)277-3040

 SOUTH CAROLINA
 Jim Miles
 Secretary of State
 P.O. Box 11350
 Columbia,SC 29211
 Phone:(803)734-2170

 TENNESSEE
 Robert Grunow
 Director of Services
 Div. of Corp.
 Off. of Secretary of State
 James K. Polk Bldg.
Nashville, TN 37243
Phone:(615)741-0584

 TEXAS
Loma Wassdorf
Director
Statutory Filings Div.
Off. of Secretary of State
P.O. Box 13697
Austin, TX 78711
Phone:(512)466-3570

UTAH
KorlaT. Woods
Director
Div. of Corps.
Dept of Commerce
 160 E. 300 S.
SaltLakeCity,UT84111
Phone:(801)530-6027
Fax:(801)530-6438
VERMONT
Betty Poulin
Director
Corps. Div.
Off. of Secretary of State
109 State St.
Montpelier.VT 05609
Phone:(802)828-2386

VIRGINIA
Theodore V. Morrison, Jr.
Chair
State Corp. Comm.
TylerBldg.
1300 E. Main St.
Richmond, VA 23219
Phone:(804)371-9608
Fax:(804)371-9376

WASHINGTON
Linda MacKintosh
Director
Corps., Trademarks &
Limited Partnerships
Off. of Secretary of State
P.O. Box 40220
Olympia,WA 98504-0220
Phone:(360)753-7121
Fax:(360)586-5629

WEST VIRGINIA
Ken Hechler
Secretary of State
State Capitol, Rm. W-157K
1900 Kanawha Blvd., E.
Charleston, WV  25305
Phone:(304)558-6000
Fax:(304)558-0900

WISCONSIN
Robert J. Ritger
Administrator
Corps. Div.
Off. of Secretary of State
30 W. Miffiin, 9th & 10th Fl.
P.O. Box 7846
Madison, WI 53703
Phone:(608)266-3590
Fax:(608)267-6813
WYOMING
Jeanne Sawyer
Director
Corps. Div.
Off. of Secretary of State
State Capitol
200 W. 24th St.
Cheyenne, WY 82002
Phone:(307)777-5334

DISTRICT OF COLUMBIA
Patricia Grays
Program Manager
Corps. Div.
Dept. of Consumer &
Regulatory Affairs
614HSt.,NW,Rm.407
Washington, DC 20009
Phone:(202)727-7278

GUAM
Joseph T. Duenas
Director
Dept. of Revenue & Taxation
BEQ 13-1-3 Mariner Ave.
Tiyan,GU 96913
Phone:(671)475-1817
Fax:(671)472-2643

NORTHERN MARIANA
ISLANDS
Soledad B. Sasamoto
Registrar of Corporations
Off. of Attorney General
Saipan,MP 96950
Phone:(670)664-2341
Fax:(670)664-2349

U.S. VIRGIN ISLANDS
Kenneth E. Mapp
Lieutenant Governor
#18KongensGade
St. Thomas, VI 00802
Phone:(809)774-2991
Fax:(809)774-6953
  CCopyright 1996 The Council of State Governments. Reprinted with permission from  State Leadership Directory: Directory Ill-State Administrative
                                        Officials Classified by Function 1996.
                                              -EPA TOBl 41-
                                                    , „ Septemberl998

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Com manity
Advisory
Groups (CfiQs)
at Saperfand
Sites: Qaick
Reference
pact Sheet
September 1998
-EPA Tool 5a-

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-EPA Tool 5b-

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                        United States
                        Environmental Protection
                        Agency
                         Solid Waste and
                         Emergency Response
EPA540-F-96-016
August 1996
SEPA
 Community Advisory  Groups
 (CAGs) at  Superfund  Sites
Office of Emergency and Remedial Response
Community Involvement and Outreach Center (5204G)
                                                Quick Reference Fact Sheet
                       The United States Environmental Protection Agency (EPA) is committed to early, direct, and
                       meaningful public involvement in the Superfund process. One of the ways communities can
                       participate in site cleanup decisions is by forming a Community Advisory Group (CAG). A
                       CAG is made up of representatives of diverse community interests. Its purpose is to provide a
                       public forum for community members to present and discuss their needs and concerns related
                       to the Superfund decision-making process. EPA's Guidance for Community Advisory Groups
                       at Superfund Sites (EPA 540-K-96-001) was issued in December 1995 for Community Involve-
                       ment Coordinators (CICs) and Site Managers to encourage the use of CAGs and to promote a
                       better understanding of CAGs at Superfund sites. This fact sheet summarizes the main points in
                       the guidance.
      CAG Scope of
          Authority
    Determining the
    Need for a CAG
A CAG can help EPA and the public make better decisions on how to clean up a site.
It offers EPA a unique opportunity to hear—and seriously consider—community pref-
erences for site cleanup and remediation. The existence of a CAG does not eliminate the
need for the Agency to keep the community informed about plans and decisions through-
out the Superfund process.
The impetus for establishing a CAG should come from the community, and CAGs
may not be appropriate for every site. CAGs may be beneficial at removal sites, par-
ticularly non-time-critical removal sites, as well as sites involved in long-term clean-
ups, and they can be formed at any point in the cleanup process. The earlier a CAG is
formed, however, the more its members can participate in and affect site activities and
cleanup decisions. EPA may assist communities in determining die need for a CAG by
helping them evaluate the level of community interest in site activities and examine if
there is an existing broad-based group that might function as a CAG, or if there are too
many competing interests to make forming a truly representative CAG a realistic op-
tion.
       Preparing To
        Form a CAG
A CAG information meeting can be used to introduce the CAG concept to the commu-
nity. In advance of this meeting, EPA, in conjunction with appropriate State, Tribal, or
local governments, should inform and educate the community about the purposes of a
CAG and the opportunities for participating in it. This is especially important at sites
where there has been relatively limited community participation in the Superfund process.

Because every site is different, techniques appropriate for educating the public about
CAGs will vary from site to site. No matter what methods are used, the information
provided must be understandable to the community. In many cases, news releases,
fact sheets, and public notices in the local news media may be useful for disseminat-
ing information about CAGs. Other outreach options—such as flyers, announcements
in churches, and personal contacts with community groups or individual citizens—
also may be used.

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   CAG Information
             Meeting
 EPA may sponsor the CAG Information Meeting and, in consultation with the appro-
 priate State/Tribal/local governments, should schedule it as early as possible in the
 cleanup process. The meeting should be held in a central, accessible location and at a
 convenient time for community members. The agenda for the meeting should reflect
 important community concerns raised in relation to the Superfund response. The
 agenda also may include discussions about the purpose and mission of the CAG, the
 process and timetable for selecting members, member responsibilities, CAG Operating
 Procedures, the status of site cleanup plans, and the interface between the CAG and
 other EPA community involvement activities.
       CAG Startup  Although the interval will vary from site to site, EPA should encourage CAGs to be in
                       full operation within six months after the CAG Information Meeting in order to maxi-
                       mize their effectiveness in the Superfund decision-making process. In the interim, the
                       Agency can assist the community in determining the appropriate size and composition
                       of the CAG, soliciting nominees, and selecting CAG members.
   Size of the CAG
The size of a CAG will depend on the needs of the affected community. While it often
is difficult to ensure that everyone has an opportunity to participate and to achieve clo-
sure in large groups, the CAG should include enough members to adequately reflect
the diversity of community interests regarding site cleanup and reuse. Typically CAGs
have approximately 15-20 members.
CAG Composition   To the extent possible, membership in the CAG should reflect the composition of the
                       community near the site and the diversity of racial, ethnic, and economic interests in
                       the community. At least half of the CAG members should be members of the local
                       community. CAG members should be drawn from among residents and owners of resi-
                       dential property near the site; others who may be directly affected by site releases; Na-
                       tive American tribes and communities; minority and low-income groups; local
                       environmental or public interest groups; local government units; local labor represen-
                       tatives; and local businesses. If an EPA Technical Assistance Grant (TAG) has been
                       awarded for the site, EPA should encourage that a representative of the TAG group
                       also be included on the CAG to facilitate information sharing between the two groups.
                       Facility owners and other PRPs also may be included, but the community may choose
                       to limit the number or designate them as ex officio members.
     CAG Member  EPA may begin to advise the community about opportunities for CAG membership as
       Solicitation  part of outreach efforts (the CAG fact sheet and any public notices and news releases)
                      prior to the CAG Information Meeting. The information also should be made available
                      through the local information repositories and posted at information kiosks and com-
                      munity centers. It may be necessary to focus solicitations for specific groups. For ex-
                      ample, the EPA could send a letter to selected groups representing diverse interests.

     CAG  Member  CAG members may be selected in a number of ways. For example-
         Selection                                                        F  '
                      • In some cases, CAGs may be self-selecting. That is, individuals who believe they
                        represent the diverse interests of their community could nominate themselves.

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                     • An existing group in the community—such as a group with a history of involvement
                      at the Superfund site—could be selected as the CAG for that community if it
                      represents diverse interests.
                     • The local government could select, in a fair and open manner, members of the
                      community to serve on the CAG.
                     • EPA, with State/Tribal/local governments, could assist the community in organizing
                      a Screening Panel to review nominations for CAG membership. EPA could review
                      (not approve/disapprove) the Panel's list of nominees and offer advice, as needed, to
                      ensure all community interests are represented.
                     • EPA, with .the appropriate State/Tribal/local governments, could select a Core Group
                      that represents the diverse interests of the community. Members of this Core Group
                      then could select the remaining members of the CAG in a fair and open manner.

                     Because each community is unique, selection methods will vary; a formal process may
                     not be necessary in every case. The key is to ensure that the CAG will be fully repre-
                     sentative of the community and will be able to function effectively as a group.
   CAG Member  Many of those selected as members of the CAG may require some initial training to
         Training  enable them to perform their duties. EPA may work with State/Tribal agencies, local
                    government(s), local universities, PRP(s), and others to provide training, prepare
                    briefing materials, and conduct site tours for new CAG members.


       Roles and  Generally, CAG members should be expected to participate in CAG meetings, provide
Responsibilities  data and information to EPA on site issues, and share information with their fellow
                    community members. They must be prepared to fairly and honestly represent not only
                    their own personal views but also those of the community members they represent.

                    CAG members may select a Chairperson from within their ranks and determine an
                    appropriate term of office. The primary functions of the CAG Chairperson are to
                    conduct CAG meetings in a manner that encourages open and constructive participa-
                    tion by all members; to ensure that all pertinent community concerns are raised for
                    consideration and discussion; and to attempt, whenever possible, to achieve consensus
                    among CAG members.

                    EPA, as the lead Superfund Agency, should provide the CAG with information and
                    technical expertise on site cleanup and facilitate discussion of issues and concerns
                    relative to Superfund actions. The Agency should listen and respond to views ex-
                    pressed by CAG members, giving them substantial consideration when making site
                    decisions, especially when views are those of most or all CAG members. Even though
                    they are not CAG members, EPA's Site Manager and CIC should attend CAG meet-
                    ings on a consistent basis to demonstrate the Agency's commitment to meaningful
                    public participation in the cleanup process.  Representatives of other pertinent Federal
                    agencies, and State/Tribal/local governments also should attend CAG meetings
                    regularly and serve as information resources for the CAG.

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   CAG Operation
 Each CAG should develop a Mission Statement describing the CAG's specific pur-
 pose, scope, goals, and objectives. Each CAG also should develop a set of procedures
 to guide day-to-day operations.  These procedures should address such topics as how
 to fill membership vacancies; how often to hold meetings; and the process for review-
 ing and commenting on documents and other materials.
    CAG Meetings   CAG meetings should be open to the public. The meetings should be announced
                      publicly (via display ads in newspapers, flyers, etc.) well enough in advance to encour-
                      age maximum participation of CAG and community members. CAG members should
                      determine the frequency and location of CAG meetings based on the needs at their
                      particular site. The format for CAG meetings may vary depending on the needs of the
                      CAG. A basic meeting format might include an update on site status by the project's
                      technical staff; discussion of current issues; a question/answer session that includes
                      audience participation; review of "action items," and discussion of the next meeting's
                      agenda.
  CAG Response  EPA should consider making all documents available to the CAG for the same length
      to Requests  of time as it does for State/Tribal and peer review groups. EPA should explain, how-
   for Comments  ever, that the comment period for some documents may have to be less than 30 days.
                     In those cases, the CAG should be ready to complete its review and provide comments
                     in the shorter time period. The Agency may have the opportunity to respond to many
                     CAG comments on key documents and other issues during CAG meeting discussions,
                     but, unless otherwise stated, these responses should not be considered part of the
                     formal Agency "Response to Comments" (as required under CERCLA and the NCP).
   Administrative
      Support for
         the CAG
EPA, together with State/Tribal/local government(s), local universities, the PRP(s),
and others, may assist the CAG with administrative support on issues relevant to the
Superfund site cleanup and decision-making process. This may include support for
arranging and documenting meetings, preparing and distributing meeting notices and
agendas, duplicating site-related documents for CAG review, maintaining CAG
mailing/distribution lists, and providing translation and meeting facilitation services
when needed. If meeting facilitation is needed, it is preferable to use someone from the
community with facilitation experience or a professional meeting facilitator. A neutral
facilitator is particularly effective at sites where some controversy is anticipated.
       Additional
CAG Information
       Resources
Additional information about CAGs is available in the Guidance for Community
Advisory Groups at Superfund Sites (EPA 540-K-96-001). Case studies of CAGs at
sites in five Regions also are available in Community Advisory Groups: Partners in
Decisions at Hazardous Waste Sites (EPA 540-R-96-043). For information, please call
the Superfund Information Hotline at 800-535-0202 or to place an order, fax your
request to the Superfund Document Center at 703-603-9240.

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Guidance for
Community
Advisory
Groups 
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s
o

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             United States          Emergency and      OSWER Directive 9230.0-28
             Environmental Protection      Remedial Response    PB94-963293
             Agency            (5201G)        EPA 540-K-96-001
                                       December 1995
&EPA      Guidance for Community
             Advisory Groups at
             Superfund Sites
                                      Printed on Recycled Paper

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                                     Acknowledgments
The Community Advisory Group guidance is the product of the efforts of many people; individuals
from the following groups have participated in its review and development .EPA Regional Offices, EPA
OSWER Offices, OERR Environmental Justice Task Force, National Environmental Justice Advisory
Committee, Association of State and Territorial Solid Waste Management Officials and EPA's Office of
General Counsel. In particular, the Community Involvement Team (OERR), Linda Garczynski (OSWER),
Hale Hawbecker (OGC), Jane Lemke (Wl), Verne McFarland (R6), Marilu Martin (R5), Marcia Murphy
(CA), Murray Newton (OERR), Charles Openchowski (OGC), Sonya Pennock (R8), and Suzanne Wells
(OERR) each have made valuable contributions to the development and quality of this guidance.


                                                    — Diana Hammer (OERR), Project Manager
                                          Notice
The policies set out in this memorandum are intended solely as guidance. They are not intended, nor
can they be relied upon, to create any rights enforceable by any party in litigation with the United
States. EPA officials may decide to follow the guidance provided in this memorandum, or to act at vari-
ance with the guidance, based on an analysis of specific site circumstances. The Agency also reserves
the right to change this guidance at any time without public notice.
                              For More Information on CAGs
Contact your Regional Community Involvement Manager or a staff member of the Community Involve-
ment and Outreach Center at EPA Headquarters. (See the list of contacts in Appendix E.)

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                                    Contents
                                                                               Page
I.  Background	I
2.  Community Advisory Group (CAG) Development	2
3.  CAG Startup	7
4.  CAG Membership	7
5.  CAG Member Training	10
6.  Administrative Support for the CAG	I I
7.  CAG Operations	12
8.  CAG Response to Requests for Comments	14
9.  EPA Response to CAG Comments	15
10. Roles and Responsibilities	15
I I. Appendices	19

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1.  Background
    >  Environmental Justice Task Force
    >  Purpose of this Guidance
    >  Selecting Sites
The United States Environmental Protection
Agency (EPA) is committed to involving the
public in the Superfund cleanup process.  In
fact, there are many examples throughout the
Superfund program where community involve-
ment has enhanced, rather than impeded the
Superfund cleanup decision-making process.
While recognizing that providing additional op-
portunities for community involvement may re-
quire additional time and slow the cleanup pro-
cess down initially, EPA believes this is time well
spent, and that early and effective community in-
volvement will actually save time in the long run.

EPA is committed to early, direct, and  meaning-
ful public involvement and provides numerous
opportunities for the public to participate in
site cleanup decisions. One  of these opportuni-
ties for community involvement, is the EPA's
Technical Assistance Grants (TAGs) program.
EPA awards TAGs to eligible community groups
so they can hire their own, independent Tech-
nical Advisor, enabling community members to
participate more effectively  in the decision-
making process at Superfund sites. For more
information on the TAG program, see the "Super-
fund Technical Assistance Grants" quick reference
fact sheet (EPA 540-K-93-001;  PB93-963301).. -

Community Advisory Groups (CAGs) are an-
other mechanism designed to enhance com-
munity involvement in the Superfund process.
CAGs respond to a growing awareness within
EPA and throughout the Federal government
that particular populations who are at special
risk from environmental threats—such as
minority and low-income populations—may
have been overlooked in  past efforts to en-
courage public participation.  CAGs are an ef-
fective mechanism to facilitate the participation
of community members, particularly those from
low-income and minority groups, in the deci-
sion-making process at Superfund sites.

1.1  Environmental Justice Task Force
The Office of Solid Waste and Emergency Re-
sponse (OSWER) Environmental Justice (EJ)
Task Force was established in  1993 to analyze
environmental justice issues specific to waste
programs and develop recommendations to
address these issues. The EJ Task Force advised
that the creation of Community Advisory
Groups would enhance public involvement in
the Superfund cleanup process.  Specifically in
its April 1994 report, titled OSWER Environ-
mental justice Task Force Draft Final Report
(EPA 540-R-94-004), the Task Force recom-
mended implementing a program involving
CAGs at a minimum often  sites nationwide by
the end of FY94 and providing guidance to
support the CAG activities.

1.2  Purpose of this Guidance


As lead Agency at a Superfund site, EPA has an
important role to play in encouraging the use
of Community Advisory Groups (see Section
10.3, under "Roles and Responsibilities"). This
guidance document is designed to assist EPA
staff [primarily Community Involvement Coor-
dinators (CICs) and Site Managers, such as Re-
medial  Project Managers, On-Scene Coordina-
tors, and Site Assessment Managers] in working
with CAGs at Superfund sites (this includes re-
medial  and appropriate removal  sites).

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 This guidance addresses the objectives, func-
 tions, membership, and scope of authority for
 CAGs.  It emphasizes practical approaches and
 activities, and is designed to be flexible enough
 to meet the unique needs of individual local
 communities. The guidance is based on the
 Agency's experience in carrying out community
 involvement activities pursuant to the National
 Oil and Hazardous Substances Pollution Con-
 tingency Plan (NCP), the Superfund Amend-
 ments and Reauthorization Act of 1986
 (SAP\A), and policy documents issued by EPA
 and other Federal agencies. It also draws on
 concepts articulated in the President's Execu-
 tive Order on Environmental Justice 12898,
 EPA/OSWER's Environmental Justice Task
 Force report,  the "Restoration Advisory
 Board Implementation Guidelines" developed
 by the EPA and the Department of Defense
 (9/94), and the "Interim Guidance  for Imple-
 menting Restoration Advisory Boards" draft-
 ed by the California Environmental Protec-
 tion Agency (I 1/93).
 This guidance provides a number of consider-
 ations to assist Community Involvement Coor-
 dinators (CICs) and Site Managers in working
 with a successful CAG. CAGs need not con-
 form to all aspects of this guidance.  Conse-
 quently, this guidance is intended to  provide a
 starting point or frame of reference to help
 groups organize and begin meeting.  A CAG's
 structure and operation, however, should re-
 flect the unique needs of its community.
 EPA will not establish or control CAGs; howev-
 er, the Agency will assist interested communi-
ties in CAG activities.  Further, EPA anticipates
that the CAGs will serve primarily as a means
to foster interaction among interested mem-
 bers of an affected community, to exchange
facts and information, and to express individual
views of CAG participants while attempting to
 provide, if possible, consensus recommenda-
 tions from the CAG to EPA.

 1.3 Selecting Sites


 While EPA is initially focusing the CAG concept
 and guidance on Superfund sites with environ-
 mental justice concerns, the methods and prin-
 ciples are intended to be applied broadly and
 to include other Superfund sites as well.  In
 some cases, the sites selected for a CAG may
 already have some form of. community advisory
 group and EPA could help formalize the group,
 recognizing it as being representative of the
 community. In other cases, sites may be select-
 ed where a community advisory group doesn't
 yet exist, but where a CAG would be useful to
 encourage full community participation in site
 cleanup activities.  See Section 2.2, "Determin-
 ing the Need for a CAG" for more information
 on appropriate sites for a CAG.
2. Community Advisory Group
    (CAG)  Development
    >  CAG Scope of Authority
    >  Determining the Need for a CAG
    >  Preparation for the CAG
       Information Meeting
    >  CAG Information Meeting
Community Advisory Groups are important
tools for enhancing community involvement
in the Superfund process. Through CAGs,
EPA seeks to achieve direct, regular, and
meaningful consultation with all interested
parties throughout all stages of a response
action.

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2.1  GAG Scope of Authority
A CAG should serve as a public forum for rep-
resentatives of diverse community interests to
present and discuss their needs and concerns
related to the Superfund decision-making pro-
cess with appropriate Federal and State/Tribal/
local governments.  The CAG is designed as a
mechanism for all affected and interested par-
ties in a community to have a voice and actively
participate in the Superfund process.  However,
it is important to remember that the CAG is
not the  only mechanism for community involve-
ment at a site; as the lead Agency, EPA continues
to have the obligation to inform and involve the
entire community through regular as well as inno-
vative community involvement activities.

EPA cannot, by law, abrogate its responsibility
to make the final decisions at a site; however,
by providing the perspective of the local  com-
munity, the CAG can assist EPA in making bet-
ter decisions.  A CAG that is broadly represen-
tative of the affected community  offers EPA a
unique opportunity to hear—and seriously
consider —community preferences for site
cleanup and remediation. It is particularly im-
portant that in instances where an EPA decision
and/or response differs from a stated CAG
preference  regarding site cleanup, EPA accepts
the  responsibility of explaining its decision and/
or response to CAG members.
A CAG allows the Agency to exchange infor-
mation with members of the affected com-
munity and encourages CAG members to
discuss site issues and activities among them-
selves.  The CAG also can provide a public
service to the rest of the affected community
by representing the community in discussions
regarding the site and by relaying information
from these  discussions back to the rest of the
community.  CAGs thus can be a valuable tool
for both the Agency and communities through-
out the cleanup process.

2.2 Determining the Need for a CAG


The CIC should consult with other site team
members (for example, the Site Manager and
Attorney) in selecting an appropriate site for a
CAG.  The team may consider a number of
factors during the selection process, including:
Generally, what is the level of community inter-
est and concern about the site?

• Might that level of community interest and
  concern warrant a CAG?

• Has the community expressed an interest in
  forming a CAG?

• Does a group similar to a CAG exist?

• Do groups with competing agendas exist at
  the site?

• Are there any environmental justice issues or
  concerns regarding the site?

• What is the history of community
  involvement at the site?

• What is the likelihood of long-term cleanup
  activity at the site?

Depending on the status of the cleanup pro-
cess at the site, substantial information may ex-
ist about the community.  For example, if the
site is  in the RI/FS phase, the Community Rela-
tions Plan, developed based on interviews with
community members, is a good  information
source.

A community with a high level of interest and
concern about site activities should be a strong
candidate for a CAG.  In  addition, a site in the

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 early stages of a long-term cleanup without an
 existing community group may be a strong can-
 didate site for an effective CAG. Communities
 at removal sites, particularly non-time critical
 removal sites, also may benefit from a CAG
 (keeping in mind, however, the time necessary
 to begin CAG operations when considering a
 CAG for removal sites).
 If a group exists which is representative of the
 local communrty (for example, a local environ-
 mental group that has been active at the site or
 a TAG recipient group), a CAG may not be ap-
 propriate—if the existing group can fulfill the
 role of a CAG. If competing groups exist at a
 site, however, their disparate interests and
 agendas can undermine even the best efforts of
 agencies, elected officials, and concerned citi-
 zens to forge a CAG.  This situation should be
 given serious consideration in making the deci-
 sion to promote CAGs at such sites.

 A CAG can be formed at any point in the
 cleanup process but may be most effective ear-
 ly in the cleanup process. Generally, the earlier
 a CAG is formed, the more CAG members
 can participate in and impact site activities and
 cleanup decisions.

 2.3 Preparation for the CAG Information
     Meeting


The CAG Information Meeting is the setting for
 introducing the CAG concept to the communi-
ty. Before the CAG Information Meeting, the
 CIC may begin the process of informing and
 educating the community about the purposes
of the CAG and opportunities for membership
and participation. This is especially important at
Superfund sites where the communrty may have
had relatively limrted participation in the Super-
fund process. This section offers suggestions,
concerns, and methods that EPA (in conjunc-
tion with others such as State/Tribal/local gov-
ernments) may use to notify a community
about the formation of a CAG.  These are not
the only options—techniques will necessarily
vary from site to site and from community to
community.  In many instances, it may be useful
to target multiple newspapers as well as alter-
native media (for example, public service an-
nouncements on the radio, public access chan-
nels on  cable television, free circulation news-
papers)  to more effectively reach out to com-
munities. Other outreach options include fly-
ers, announcements in local churches, etc. Re-
member also, that another important and effec-
tive method to "spread the word" about the
CAG  is  through the personal relationships that
Agency  representatives have established in the
community.  No matter what method or me-
dia is  used, EPA (in conjunction with others
such as  State/Tribal/local governments) must
provide  the information in a manner readily
understandable to community members.

2.3.1  Fact Sheet	
EPA (in  conjunction with others  such as State/
Tribal/local governments) may prepare and dis-
tribute a brief fact sheet describing the CAG
prior to  the CAG Information Meeting.  A sam-
ple CAG fact sheet is included as Appendix A.
In preparing the fact sheet, EPA may consult
with the State/Tribal/local government. EPA
may wish to  expand existing networks used in
distributing information about public involve-
ment  activities for the distribution of CAG-re-
lated fact sheets and other materials.

Communrty interviews conducted prior to de-
velopment of the Community Relations Plan
for the site, as well as the plan itself, are poten-
tial sources of information to identify effective
methods for distributing the CAG fact sheet

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 Depending on the status of the response ac-
 tion, the interviews and plan may not have
 been completed for all sites.  If this is the case,
 EPA staff may conduct limited community inter-
 views with local officials and community lead-
 ers, making special effort to contact those lead-
 ers with ties to the environmental justice and
 other site-related  concerns of the community.
 For example, these sources could include
 churches and community organizations in mi-
 nority and low-income neighborhoods. This
 will ensure that credible information sources
 identified by members of the community are
 used to supplement and reinforce direct  mail-
 ing of the fact sheet.  In addition, copies of the
 fact sheet should be available in the inforrnation
 repositories and at the CAG Information
 Meeting.
 The fact sheet is designed to describe the pur-
 pose of the CAG  and membership opportuni-
ties and delineate  the role of CAG members.
 If a significant segment of the community is
 non-English speaking or visually impaired,  EPA
 (in conjunction with others such as State/Tribal/
 local governments) should translate the fact
sheet for distribution to these members of the
community.

2.3.2 Public Notice	
EPA (in conjunction with others such as State/
Tribal/local governments) may prepare a public
notice or display ad to advertise the CAG In-
formation Meeting in general circulation news-
papers serving  the affected  communities
around the site. To ensure  that all segments of
the affected population are notified, notices in
newspapers that serve low-income, minority,
and non-English speaking audiences in the com-
munity also should be considered.
The notice should be published approximately
two weeks in advance of the CAG Information
Meeting and should include the following
information:
• Time and location of the meeting;

• CAG purpose and membership
  opportunities;

• The roles and responsibilities of CAG
  members;

• A statement that the meeting is open for
  public attendance and participation;

• Topics for consideration at the CAG
  Information Meeting; and

• Name and phone number of contact
  person(s) to obtain more information.

The public notice should appear in a prominent
section of the newspapers, where it is likely to
be read by the majority of community mem-
bers. A sample CAG public notice  is included
as Appendix B.

2.3.3 News Release	
EPA personnel (in conjunction with others
such as State/Tribal/local governments) may
prepare and distribute to the local media a
news release to explain the purpose of the
CAG and announce the time and location of
the initial information meeting.  Depending on
local media coverage of Superfund and other
environmental issues related to the  site, it may
be appropriate to prepare a more extensive
media packet of information to update the
local media on public involvement activities and
overall response plans and progress.

2.3.4 Agenda	
EPA, in consultation with the State/Tribal/lo-
cal governments and residents; may develop
an initial agenda for the CAG Information
Meeting. The agenda should reflect important

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community concerns raised in relation to the
Superfund response. Again, the results of
community interviews conducted in the pro-
cess of developing Community Relations Plans
and other community involvement activities
may provide a source of information and back-
ground on community concerns. Demonstrat-
ing an awareness of and sensitivity to concerns
expressed by the community is an important
element in maximizing the potential benefits of
CAGs.

2.4 GAG Information Meeting


EPA may sponsor the CAG Information Meet-
ing and may consult with the State/lh'bal/local
government in its preparation. EPA (in conjunc-
tion with others such as State/Tribal/local gov-
ernments) should attempt to hold the CAG In-
formation  Meeting as early as possible in the
cleanup process.
EPA personnel (and/or others such as State/
Tribal/local governments) may facilitate the
CAG Information Meeting; however, for this
and subsequent meetings,  it  may be preferable
to have someone from the community with fa-
cilitation experience or a professional meeting
facilitator serve as facilitator.  A neutral facilita-
tor is particularly effective at sites where some
controversy is anticipated.  Facilitation may pro-
duce a better sense of fairness and  indepen-
dence, helping to ensure more productive
discussions.
The Information Meeting should serve to intro-
duce the CAG concept to the community. The
following topics may be appropriate to discuss
at the meeting:
• Purpose  and  overview of the CAG;

• Goal of representing diverse community
  interests;
 • Interface between the CAG and other
  community involvement activities;

 • Membership opportunities;

 • Suggested member selection process and
  timetable;

 • Examples of a CAG Mission Statement and
  operating procedures (including community
  leadership);

 • Suggested member responsibilities;

 • Overview of site cleanup plans and progress;
  and

 • Open discussion/question and answer period.

The Information Meeting and subsequent CAG
meetings should be held in a central location
and at a convenient time for community mem-
bers.  In addition, EPA (and/or others such as
State/Tribal/local governments) should consider
requirements of the Americans with Disabilities
Act (ADA) and the Rehabilitation Act of 1994
in choosing a location (for example,  accessibility
by wheelchairs and availability of signers and
readers, as necessary, to assist  hearing and visu-
ally impaired participants).

Resources permitting, EPA (and/or others such
as the State/Tribal/local governments) may pro-
vide appropriate administrative and logistical
support for arranging the meeting and docu-
menting its proceedings. Preparation of a con-
cise and easy-to-read summary of the meeting
also should be considered. Such a summary will
help facilitate effective communication with lo-
cal community members. The  summary should
be translated for interested members of the
community who are non-English speaking or
visually impaired. The summary should be
made available for public review in the infor-
mation repositories and through other dis-
semination methods no later than one month

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after the Information Meeting. Copies of the
summary also may be mailed to ail communi-
ty members who attend the initial meeting
and to those who are on mailing lists used
for other community involvement activities
related-to the site.
3.  CAG Startup
The time period between the CAG Informa-
tion Meeting and the implementation of a fully
functional CAG may vary from site to site.  EPA
should encourage CAGs to be in full operation
within six months after the information meet-
ing, in order to maximize their effectiveness in
the Superfund cleanup decision-making pro-
cess. There are several key activities that
should be completed during this time period to
ensure successful CAG operation.  These activ-
ities are described in the following sections.
4.  CAG  Membership
    >  Size of the CAG
    >  Membership Composition
    >  Roles and Responsibilities of CAG
       Members
    >  Membership Solicitation
    >  Membership Selection Models
4.1  Size of the CAG

The number of members in the CAG may vary
from site to site depending on the composition
and needs of the affected community. The
CAG should determine the size of its member-
ship; when doing so, the CAG should consider
the following factors:

• Diversity of the community;

• CAG workload; and

• Effective group discussion and decision-
  making (i.e., pros/cons of larger vs. smaller
  groups).

Federal Facility  Environmental Restoration Ad-
visory Boards, groups similar to CAGs, general-
ly average around 20 members. While it often
is difficult to ensure that everyone has an op-
portunity to participate and to achieve closure
on discussions in larger groups,  the CAG
should be large enough to adequately reflect
the diversity of community interests regarding
site cleanup and reuse.

4.2  Membership Composition


To the extent possible, membership in the
CAG should reflect the composition of the
community near the site and the diversity of lo-
cal interests, including the racial, ethnic, and
economic diversity present in the community—
the CAG should be as inclusive as possible. At
least half of the members of the CAG should
be local community members (sometimes
referred to as "near neighbors").
CAG membership should be drawn from the
following groups:

• Residents or owners of residential property
  near the site and those who may be affected
  directly by site releases;

• Those who potentially may be affected by
  releases from the site, even if they do not live
  or own property near the site;

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 • Local medical professionals practicing in the
  community;

 • Native American tribes and communities;

 • Representatives of minority and low-income
  groups;

 • Citizens, environmental, or public interest
  group members living in the community;

 • TAG recipients, if a TAG has been awarded at
  the site;

 • Local government, including pertinent city or
  county governments, and governmental units
  that regulate land use in the vicinity of the site;

 • Representatives of the local labor community;

 • Facility owners and other significant PRPs;

 • The local business community; and

 • Other local, interested individuals.

 Clearly, persons with an obvious conflict of in-
terest at the site should not be members of the
 CAG, e.g., remedy vendors, lawyers involved in
 pending site litigation, non-local  representatives
 of national groups, and others without a direct,
 personal interest in the site.
 In order to prevent the  PRP (or another inter-
 est group) from dominating CAG discussions,
the community shall have the authority to limit
the number of these representatives or desig-
 nate them as ex-officio members.

4.3  Roles and Responsibilities of CAG
     Members
Generally, CAG members will be expected to
participate in CAG meetings, provide data and
information to EPA'on site issues, and share
 information with their fellow community mem-
 bers.  EPA (along with State/Tribal/local govern-
 ments, as appropriate) should help the CAG
 clearly define and maintain these roles and re-
 sponsibilities (see Section 10.2, under "Roles
 and Responsibilities").

 4.4  Membership Solicitation


 For the CAG concept to be successful, the mem-
 bership of each CAG should reflect the diverse in-
 terests of the community in which the Superfund
 site is located  It is also important that each
 community have the lead role in determining
 the membership appropriate for its CAG.  This
 will help encourage participation in and support
 for the CAG.  EPA should not select or ap-
 prove/disapprove individual CAG members but
 must certify that the CAG is representative of
 the diverse interests of the community.

. EPA, in coordination with the State/Tribal/lo-
 cal governments, should inform the commu-
 nity about the purposes of the CAG and
 opportunities for membership and participa-
 tion. This public outreach effort needs to be
 tailored to the individual community in which
 the CAG .is to be formed.  This is especially im-
 portant at sites which are in the early stages
 of the Superfund cleanup process, sites at
 which opportunities for community participa-
 tion have been limited, and/or sites where
 there has been relatively little community or
 media interest.

 EPA (in coordination with others such as the
 State/Tribal/local governments) should make
 every effort to ensure that all individuals and
 groups representing community interests are
 informed about the CAG and the potential for
 membership so that each has the opportunity
 to participate in the CAG.  For example, EPA

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may begin the public outreach effort regarding
CAG membership before the CAG Informa-
tion Meeting by distributing the CAG fact
sheet and publishing public notices and news
releases.
Depending on the results of community-wide
efforts to solicit nominations for CAG mem-
bership, it may be necessary to refine and fur-
ther focus efforts for specific groups. These ef-
forts may be reinforced with a letter to individ-
uals and groups representing diverse communi-
ty interests. A sample letter regarding CAG
membership is included as Appendix C. CAG
information also can be mailed to those ex-
pressing interest generally in the site and/or
specifically in the CAG. CAG information also
should be made available through the local in-
formation repositories. The information also
may be reformatted and posted in other visible
locations such as information kiosks and com-
munity centers.

If there is not enough community interest to
form a CAG after all solicitation efforts have
been exhausted, EPA (in conjunction with
others such as State/Tribal/local governments)
may issue a public notice through all available
outlets to announce that efforts to form a
CAG have been unsuccessful.  A sample of
such a public notice is included as Appendix D.

4.5 Membership Selection Models


The selection of CAG members should be  ac-
complished in a fair and open manner in order
to maintain the level of trust needed for suc-
cessful CAG operation; The members of the
CAG should reflect the composition of the
community and represent the diversity of local
interests.  In designing the method for develop-
ing  a CAG that is most appropriate for the
affected community, it may be useful for EPA
(in conjunction with others such as State/Tribal/
local governments) to offer some type of
facilitation.

The following Membership Selection models
are examples that may be used and adapted to
best meet the particular needs of a community.
Of course, each community is unique and no
one model will work in all instances; in fact, it
may be appropriate to develop an entirely dif-
ferent model for selecting CAG members.
Similarly, formal membership selection models,
such as those described  in this section, may not
always be necessary. For example, selecting a
group may be as simple  as widely advertising
the opportunity to join the CAG and then rec-
ognizing the CAG as consisting of the respon-
dents. The key is that the CAG represent the
interests of the community and that the CAG
be able to function as a group. The exact se-
lection process is secondary, as long as the pro-
cess  is fair and open.

4.5.1 Screening Panel Model	

Under this model, EPA, consulting with and in-
volving the State/Tribal/local government,
could assist the community in organizing a
short-term Screening Panel to review nomina-
tions for membership on the CAG prior to final
member selection.  After the opportunity to
form a CAG has been announced, the local
community should identify (using a fair and
open manner) CAG members who represent
the diverse interests of the community. The
panel should, to the extent practical, reflect the
diversity of interests in the community since the
panel would be expected to choose CAG
members who are equally representative. The
panel may select a chairperson from among its
members.

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 The Screening panel should consider establish-
 ing and publicizing the following:
 • Procedures for nominating members for the
  CAG, including the way members of the
  community can nominate themselves to be
  CAG members (panel members also may
  nominate themselves to be CAG members.);

 • The process for screening nominations and
  making recommendations for membership;

 • The criteria to be used in screening
  nominations and determining membership
  recommendations; and

 • A list of any recommended nominees for
  membership on the CAG.

 The Screening Panel Chairperson may forward
 the panel's recommended list of nominees to
 the appropriate EPA Regional Administrator for
 review and comment (not for approval/disap-
 proval  of individuals) with regard to its ability to
 represent the interests of the community.

 4.5.2 Existing Group Model	
 Under this model, an existing group in the
 community—such as a group with a history of
 involvement at the Superfund site—may be se-
 lected as the CAG for that community, if, in
fact, it does represent the diverse interests in
the community.  If the group does not appear
 representative of the community, EPA may ask
the group to expand its membership to include
 any community interests not represented.

4.5.3 Core Group Model	
 Under this model, EPA, consulting with and in-
volving the State/Tribal/local governments,
could select a Core Group that represents the
diverse interests of the community. EPA (in
conjunction with others such as State/Tribal/lo-
cal governments) may remind the community
that a person may nominate himself or herself
through the application process. For example,
members of the Core Group could include
seven members representing the following in-
terests: two local residents, local government,
environmental, civic, labor, and business. The
members of this Core Group then would se-
lect the remaining members of the CAG in a
fair and  open  manner.

4.5.4  Self-Selecting Group Model	
Under this model, after EPA (in conjunction
with others such as State/Tribal/local govern-
ments) announces the opportunity to form a
CAG, the local community identifies (in a fair
and open manner) CAG members who they
believe represent the diverse interests of their
community. Realistically, it may take some
communities a significant amount of time to ful-
ly select the CAG members.

4.5.5  Local Government Group Model	
Under this model, the local government would
select, in a fair and open manner, members of
the community to serve on the CAG. This
model may be appropriate at sites where a
positive  working relationship and established
communication channels exist between the
local government and the community.
5.  CAG  Member Training
Many of those selected as members of the
CAG may require some initial training to en-
able them to perform their duties.  EPA may
work with the State/Tribal agencies, the local
govemment(s), local universities, the PRP(s),
and others, to provide training and prepare
                                            10

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briefing materials for CAG members. EPA also
may work with these organizations and appro-
priate local groups to develop a method for
quickly informing and educating new CAG
members about cleanup issues, plans, and
progress. Every effort should be made to tailor
the training to the specific needs of the CAG
members. For example, some CAG members
may require more extensive training than oth-
ers; similarly, some may need training materials
in alternative formats, such as in a  language oth-
er than English.  It is extremely important for
the success of the CAG process that all mem-
bers have an adequate opportunity to under-
stand the Superfund process and the cleanup
issues related to their respective sites. It also is
important that the CAG function as a group,
meaning some CAGs may need training on
how to function effectively as a group.
Training may be accomplished at regular CAG
meetings and/or through activities  such as the
following:
• Formal training sessions;

• Briefing books, fact sheets, and maps; and

• Site tours.

Every effort should be made to provide CAG
members with appropriate and necessary train-
ing, subject to available resources.

Technical staff from local, State/Tribal, and Fed-
eral agencies involved in site cleanup may at-
tend CAG meetings. They may serve as tech-
nical resources and provide information about
their respective areas of expertise  to CAG
members.
6. Administrative Support for
    the CAG
EPA, together with State/Tribal governments,
the local government(s), local universities, the
PRP(s), and others may assist the CAG with
administrative support on issues relevant to the
Superfund site cleanup and decision-making
process.

Resources permitting, EPA also may expand ex-
isting site contractor support work assignments,
for example, to provide administrative support
and translate documents with EPA staff
oversight.
Administrative support for the CAG may in-
clude the following:

• Arranging for meeting space in a central
  location;

• Preparing and distributing meeting notices
  and agenda;

• Taking notes during meetings and preparing
  meeting summaries;

• Duplicating site-related documents for CAG
  review;

• Duplicating and distributing CAG review
  comments, fact sheets, and other materials;

• Providing mailing services and  postage;

• Preparing and placing public notices in local
  newspapers;

• Maintaining CAG mailing lists;

• Translating or interpreting outreach materials
  and CAG meetings in cases where there is a
                                             II

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  significant non-English speaking portion of the
  community; and

 • Facilitating CAG meetings and special-focus
  sessions, if requested by the CAG.

 After CAG members have been selected, EPA,
 in coordination with the State/Tribal agencies
 and the local government, may assist the CAG
 in developing a news release or fact sheet an-
 nouncing the startup of the CAG and providing
 the names of CAG members. The news re-
 lease or fact sheet also can be used as a vehicle
 for publicly thanking all members of the com-
 munity who expressed an interest in CAG par-
 ticipation, encouraging their continued involve-
 ment through attendance at CAG meetings,
 and announcing the first CAG meeting.
7.  CAG Operations
    >  Chairperson
    >  Mission Statement and Operating
       Procedures
    >  Meetings
7.1  Chairperson


CAG members may select a Chairperson from
within their ranks and determine an appropri-
ate term of office. It may be useful to advise
that the Chairperson be committed to the
CAG and willing to serve for an extended
period of time (e.g., two years) to ensure conti-
nuity. Members have the right and responsibility
to replace the Chairperson as they believe nec-
essary.  The processes for selecting and dismiss-
ing a Chairperson should be detailed in the
CAG's operating procedures.
 7.2 Mission Statement and Operating
     Procedures
 Each CAG should develop a Mission Statement
 describing the CAG's specific purpose, scope,
 goals, and objectives. The mission statement
 and subsequent CAG activities should focus
 on actions related to Superfund site issues con-
 sistent with the purpose of a CAG.

 Each CAG should develop its own letterhead.
 Each CAG also should develop a set of proce-
 dures to guide day-to-day operations. Topics
 to be addressed in these operating procedures
 include the following:
 • How to fill membership vacancies;

 • How often to hold meetings;

 • The process for reviewing and commenting
  on documents and other materials;

 • How to notify the community of CAG
  meetings;

 • How the public can participate in and pose
  questions during CAG meetings; and

 • How to determine when the CAG has
  fulfilled  its role and how it will disband.

7.3  Meetings


All CAG meetings should be open to the
public.  The meetings should be announced
publicly (via display ads in newspapers, flyers,
etc.)  well enough in advance (e.g., two weeks)
to encourage maximum participation of CAG
and community members.

EPA personnel (and/or others such as State/
Tribal/local governments) may facilitate CAG
meetings, however, it may be preferable to use
                                            12

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 someone from the community with facilitation
 experience or a professional meeting facilitator.
 A neutral facilitator is particularly effective at
 sites where some controversy is anticipated. Fa-
 cilitation may produce a better sense of fairness
 and independence, helping to ensure more
 productive discussions.  If a facilitator is regular-
 ly used during CAG meetings,  it may be helpful
 to further clarify both the Chairperson's and fa-
 cilitator's roles to avoid direct conflict between
 the facilitator and  Chairperson.
 The intent of the CAG  is to ensure ongoing
 community involvement in  Superfund response
 actions.  As such, regular attendance at CAG
 meetings by all CAG members should be antic-
 ipated.  Even though they are not CAG mem-
 bers, the EPA Site Manager and the CIC may
 attend meetings and encourage representatives
 of other pertinent Federal agencies and State/
 Tribal/local governments to attend meetings as
 well. Governmental attendees should not be so
 numerous, however, as  to inhibit meeting dis-
 cussions. Consistent attendance, however, can
 demonstrate  commitment to meaningful public
 participation in the cleanup process.

 7.3.1  Meeting Frequency	
 CAG  meetings should be scheduled on a regu-
 lar basis.  CAG members should determine the
frequency of CAG meetings based on the
 needs at their particular site. Meetings should
be held often enough to allow the CAG to re-
spond to site  issues within specified timeframes
and allow for timely communication of CAG
actions and site activities to the rest of the
community. Frequency of meetings should be
covered in the CAG's operating procedures.

7.3.2  Location	'	
The-CAG meetings should  be held in a location
agreed upon by CAG members.  It is useful to
 consider a location convenient to CAG mem-
 bers, as well as central enough to encourage at-
 tendance by other interested members of the
 community. Meeting spaces such as local librar-
 ies, high schools, and senior centers may be ac-
 ceptable locations. The location should meet
 requirements of the Americans with Disabilities
 Act and the Rehabilitation Act of 1994 (for ex-
 ample, accessibility for those in wheelchairs).

 7.3.3 Meeting Format	
 The format for CAG meetings may vary de-
 pending on the needs of the CAG. A basic
 meeting format might include:
 • Review of "old" business;

 • Status update by the project technical staff
  and CAG member discussion;

 • Discussion and question/answer session
  involving members of the public in
  attendance;

 • Summary and discussion of "action items" for
  the CAG; and

 • Discussion of the next meeting's agenda.

 Prior to announcing each  meeting, CAG  mem-
 bers may wish to agree upon the meeting's
 purpose, agenda, and format. If necessary, ar-
 rangements should be made to provide a trans-
 lator or interpreter and/or facilitator.  EPA (in
 conjunction with others such as State/Tribal/
 local governments) may assist the CAG in mak-
 ing appropriate arrangements.

7.3.4  Special-Focus Sessions	
The CAG also may consider holding special-fo-
cus sessions from time to  time. These meetings
would focus on a single topic and provide an
opportunity for the CAG to solicit input, dis-
cuss, or gather information on  a specific issue
                                             13

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requiring attention. If an expert cannot attend
a special-focus session—travel and attendance
in person may not always be possible—it may
be useful for the CAG to schedule a confer-
ence call with that expert to discuss a particular
issue, EPA (in conjunction with others such as
State/Tribal/local governments) may provide
support for special-focus sessions on issues rel-
evant to the Superfund site cleanup and deci-
sion-making process.

7.3.5  Meeting Documentation	
The CAG should prepare a concise summary
of each meeting, highlighting the topics dis-
cussed, agreements reached, and action items
identified. EPA and others such as the State/
Tribal/local governments may provide support
for this effort. The CAG may want to consider
preparing a summary, rather than a verbatim
transcript, to facilitate effective communication
with local communities.  If a significant segment
of the affected population is non-English-speak-
ing or visually impaired, they also should trans-
late the summary, as appropriate, for these
members of the community.
The meeting summary should be available for
public review in the information repositories
and through other dissemination methods
within one month of the meeting. Copies of
the summary also may be mailed to all
community members who attended the meet-
ing and to those who are on the CAG mailing
list If the CAG mailing list is larger than EPA's
site mailing list EPA may expand its mailing list
to include interested community members
from the CAG list.
8. CAG  Response to Requests
    for Comments
EPA (in conjunction with others such as State/
Tribal/local governments) should make every
effort to involve the CAG during the early stag-
es of developing documents—for example,
during the scoping stage.

When EPA offers CAG members the opportu-
nity to review and comment on documents, it
may be helpful for EPA's technical staff (and
from other appropriate agencies) to conduct a
brief walk-through of each document prior to
the CAG members' review.  This overview may
include explaining the goals and significance of
each document in the cleanup process.

EPA should consider making all documents
available to the CAG for the same length of
time as to other groups—such as the State/
Tribal and peer review groups. The duration of
comment periods for some Superfund site-re-
lated documents, such as the Remedial Investi-
gation/Feasibility Study (RI/FS) and the Pro-
posed Plan and Records of Decision (RODs),
are already established. CAG members, how-
ever, may be asked to review and comment on
a variety of documents and other information
for which comment period durations have not
been established.  EPA should explain to the
CAG that, in some cases, time allotted for
review of these materials may have to be less
than 30 days.  In those cases, the CAG should
be ready to complete its review and provide
comments in the shorter time period.

The CAG may determine the most efficient
way to respond to requests for review and
comment on key documents. The CAG
                                            14

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should choose, on a case-by-case basis, the
most appropriate mechanism to ensure that
comments are provided within specified time-
frames. One option available for the CAG to
gather input from its constituents is by holding
a special-focus meeting. To assist in the process,
EPA (in conjunction with others such as State/
Tribal/local governments) should prepare exec-
utive summaries in plain language describing the
document and its key points.
9. EPA Response to Comments
    from the CAG
Since EPA representatives may attend CAG
meetings regularly, EPA may have the opportu-
nity to respond to many CAG comments on
key documents and other issues in the context
of meeting discussions. These responses
should be documented as part of the inter-
change during the CAG meeting and, unless
otherwise stated, should not be considered
part of the formal Agency "Response to Com-
ments" (as required under Sections  I 13 and
I  17 of CERCLA and 40 CFR 300 of the Na-
tional Contingency Plan).  EPA should recognize
the nature of the comments (whether state-
ments of individual preferences or statements
supported by all CAG members), and give the
comments corresponding weight for consider-
ation. In cases where there are numerous
comments to address  in a meeting context,
EPA may respond to them in writing.
10.  Roles and Responsibilities
      >  CAG Chairperson
      >  CAG Members
      >  EPA (as Lead Agency)
      >  State/Tribal Regulatory Agency
      >  CAG - TAG Interface
EPA is committed to early, direct, and meaning-
ful public involvement Through CAGs, com-
munity members have a direct line of commu-
nication with EPA (as well as with the State/
Tribal/local governments, depending on their
level of involvement) and many opportunities
for expressing their opinions. As a representa-
tive public forum, CAG members are able to
voice their views on cleanup issues and play an
important role in cleanup decisions. This is es-
pecially important before key points in the
cleanup process.  For example, CAG members
may express preferences for the type of reme-
dy, cleanup levels, future land use, and interac-
tion with the regulatory agencies. Since the
CAG, by definition, is intended to be represen-
tative of the affected community, the regulatory
agencies will give substantial weight to the pref-
erences expressed by CAG members. This is
particularly important if the preferences reflect
the position of most CAG members or repre-
sent a consensus from  the CAG.  EPA must not
only listen to views expressed by CAG mem-
bers but address their views when making site
decisions.
EPA, the State/Tribal/local governments, the
CAG Chairperson, and CAG members each
have an important role to play in the develop-
ment and operation of the  CAG and in con-
tributing to its effectiveness as a forum for
meaningful public participation in Superfund re-
sponse actions.
                                            IS

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The following list, while not comprehensive, in-
cludes some of the key functions of each
player.

10.1  CAG Chairperson


I.  Prepare and distribute an agenda prior to
   each CAG meeting.

2.  Ensure that CAG meetings are conducted in
   a manner that encourages open and
   constructive participation by all members
   and invites participation by other interested
   parties in the community.

3.  Ensure that all pertinent community issues
   and concerns related to the Superfund site
   response are raised for consideration and
   discussion,

4.  Attempt, whenever possible, to reach
   consensus among CAG members by
   providing official comments or stating
   positions on relevant issues and key
   documents.

5.  Facilitate dissemination of information on
   key issues to the community.

10.2  CAG Members
  Serve as a direct and reliable conduit for
  information flow to and from the
  community. CAG members have a
  responsibility to share information with
  other members of the affected
  community—the people they represent
  Their names should be publicized widely
  within the local community to ensure that
  community members and  interest groups
  have ready access to CAG members. If
  CAG members do not wish to have their
  phone numbers listed publicly, an alternative
  contact system should be explored to
   ensure that the community has access to
   CAG members.

2. Represent not only their own personal
   views, but also the views of other
   community members while serving on the
   CAG. CAG members should honestly and
   fairly present information they receive from
   members of the community; tentative
   conclusions should be identified properly as
   such.

3. Review information concerning site cleanup
   plans, including technical documents,
   proposed and final plans, status reports, and
   consultants' reports and provide comments
   and other input at CAG meetings and other
   special-focus meetings.

4. Play an important role at key points in the
   cleanup decision-making process by
   expressing individual community preferences
   on site issues.

5. Attempt, whenever possible, to achieve
   consensus with their fellow members before
   providing official comments or stating
   positions on relevant issues and key
   documents.

6. Assist the Chairperson in disseminating
   information on key issues to the community.

7. Attend all CAG meetings.

8. Be committed to the CAG and willing to
   serve for an extended period of time (e.g.,
   two years). Terms may be staggered for
   continuity.

9. Serve voluntarily and without compensation.
10.3  EPA (as Lead Agency)
   Provide information on the opportunity to
   form the CAG.
                                            16

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2. Attend CAG meetings to provide      :i
   information and technical expertise on
   Superfund site cleanup.

3. Facilitate discussion of issues and concerns
   relative to Superfund actions.

4. Listen and respond to views expressed by
   CAG members, giving them substantial
   consideration when making site decisions,
   especially when views are those of most or
   all CAG members.

5. Work with others, as appropriate, to
   support and participate in training to be
   provided to CAG members.

6. Assist the CAG with administrative and
   logistical support and meeting facilities.

10.4 State/Tribal Regulatory Agency


I. Attend all CAG meetings.

2. Serve as an information referral and
   resource bank for the CAG on State- or
   Tribal-related issues.

3. Support training to be provided to CAG
   members.

4. If the lead agency, assume responsibilities
   under Section 10.3.

10.5 CAG - TAG Interface
representative of the TAG group to be a
member of the CAG. The Regions also should
encourage the TAG and CAG to work togeth-
er toward common goals with respect to site
remediation.

If no TAG currently exists for this site, commu-
nity members are still eligible and are encour-
aged to apply for a TAG. Having a CAG  at a site
in no way precludes an eligible group at that
same site from receiving a TAG.
TAG recipients can use their TAG funds to hire
their own independent Technical Advisor to
help them better understand and more effec-
tively participate in the decision-making process
at Superfund sites.
If a TAG has been awarded to a community
group for work at this particular site (with
the CAG), the Region should encourage a
                                             17

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 Points to Keep in Mind Regarding Community Advisory Groups

Consult with and involve appropriate State and Tribal Governments.
Consult with and involve appropriate local governments.
Involve communities EARLY in the Superfund process.
Maintain open communication channels.
Share information.
Be sincere.
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11. Appendices
                              19

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                              APPENDIX A:  Fact Sheet
   COMMUNITY ADVISORY GROUP (CAG)

                 (Name and Location of Site)

The U.S. Environmental Protection Agency (EPA) believes it may be useful for the com-
munity (communities) of (name of community or communities affected) to establish a Community
Advisory Group (CAG) to ensure that all segments of the community have an opportunity to partici-
pate in the decision-making process at {name of the site).

The Superfund program under the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) covers the cleanup of sites involving the improper disposal of hazard-
ous substances throughout the country. Community involvement is an important element of the Su-
perfund process, and EPA encourages it. EPA's comprehensive Community Involvement Program
for (name of the site) began in (date). (Provide a brief description of accomplishments of the Com-
munity Involvement Program at this site, if possible.)

EPA, in cooperation with (name of the State/Tribal Regulatory Agency and any other parties to the
cleanup agreement), has begun work to cleanup (name of the site).
(Provide a brief description of the site and the cleanup-related activities to date.)

A Community Advisory Group (CAG) provides a setting in which representatives of the
local community  can get up-to-date information about the status of cleanup activities, as well as dis-
cuss community views and concerns about the cleanup process with EPA, the State/Tribal regulato-
ry agency, and other parties involved in cleanup of the Superfund site. The CAG is a public forum
in which all affected and interested parties in a community can have a voice and actively par-
ticipate in the Superfund process.

Getting Involved.  CAGs are made up of members of the community.  CAG membership is
voluntary and members should be willing to serve  two-year terms. CAG members will meet regu-
larly and review and comment on technical documents and plans related to the environmental stud-
ies and cleanup activities at (name of site).  Members will help EPA and the community exchange
information about site activities and community concerns. CAG members will meet with individu-
als and groups in  the community to obtain their views and hear their concerns related to site  clean-
up. All CAG meetings will be open to the public. CAG members will be chosen from among
nominations submitted by individuals and groups in the community. (May provide more details
about the specific membership selection model here.) The deadline for membership application
is (date).

For More Information Contact: (local contact name, address, and telephone number).
                                        21

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                           APPENDIX B: Public Notice #1
               (Name and Location  of Site)
  Formation of  Community Advisory Group
 The U.S. Environmental Protection Agency (EPA) believes it may be useful for the com-
 munity (communities) of (name of community or communities affected) to establish a Community
 Advisory Group (CAG) to ensure that all segments of the community have an opportunity to partici-
 pate in the decision-making process at (name of the site).

 The Superfund program involves cleaning up hazardous waste sites throughout the country.
 EPA encourages community involvement and considers it to be an important element of the Super-
 fund process.

 The CAG will provide a setting in which representatives of the local community can get up-to-date
 information about the status of cleanup activities, as well as discuss community views and concerns
 about the cleanup process with EPA, the State regulatory agency, and other parties involved in clean-
 up of the site.  The CAG will be a public forum in which all affected and interested parties in a
 community can have a voice and actively participate in the Superfund process.

 EPA will sponsor a meeting on (date) at.(time) to discuss the purpose of the CAG, provide
 information on how CAG members  should be chosen, and answer questions concerning cleanup
 plans and activities at the site. (Provide a brief description of specific site-related issues to be dis-
 cussed.)  The meeting will be held at (meeting location address).

 The CAG will be made up of members of the community. CAG membership is volun-
 tary and members serve without compensation.  Members should be willing to serve two-year terms.
 The CAG will meet regularly to review and comment on technical documents and plans related to
 the environmental studies and cleanup activities at (name of site) and to relay community views and
 concerns related to the site. All CAG meetings will be open to the public, and all members of the
 community are encouraged to participate.

 For more information about the CAG, contact: (local contact name, address, and tele-
phone number).
                                      23

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                             APPENDIX C: Sample GAG Letter
Dear (name of Community Member/Organization):


    The community (communities) of {name of community or communities affected) is establishing a
Community Advisory Group (CAG) to ensure that all segments of the community have an opportu-
nity to participate in the decision-making process at (name of the site).
    The Superfund program involves cleaning up hazardous waste sites throughout the country. EPA
encourages community involvement—an important element of the Superfund process.

    The CAG will provide a setting in which representatives of the local community can get up-to-
date information about the status of cleanup activities, as well as discuss community views and con-
cerns about the cleanup process with EPA, the State/Tribal regulatory agency, and other parties in-
volved in cleanup of the site.

    The CAG will be made up of members of the community, and members should reflect the di-
verse interests in the community. CAG membership is voluntary and members serve without com-
pensation. Members should be willing to serve two-year terms. The CAG will meet regularly to re-
view and comment on technical documents and plans related to the environmental studies and clean-
up activities at (name of site) and to relay information between EPA and the community about the
ongoing activities at the site. They will be expected to meet often with individuals and groups in the
community to obtain their views and hear their concerns related to site cleanup issues.
    CAG membership offers an outstanding opportunity to represent the community and help ensure
the most effective remediation of the (name of site).
    If you have any questions about CAGs, please call	at	.


                                        Sincerely,
                                       (name of EPA Regional CIC
                                       and, if possible, a local community leader)
Enclosure
                                           25

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                          APPENDIX D: Public Notice #2
                 (Name and Location of Site)
          Insufficient  Community Interest for
          Community Advisory Board  (CAG)
The U.S. Environmental Protection Agency (EPA) believed it would be useful for the
community (or communities) of {name of community or communities affected) to establish a Com-
munity Advisory Group (CAG) to ensure that all segments of the community have an opportunity to
participate in the decision-making process at (name of the site).

The CAG would provide a setting in which representatives of the local community could get up-to-
date information about the status of cleanup activities, as well as discuss community views and con-
cerns about the cleanup process with EPA, the State/Tribal regulatory agency, and other parties in-
volved in cleanup of the site. The CAG would be a public forum in which all affected and inter-
ested parties in a community would have a voice and could participate actively hi the Super-
fund process.

Efforts to encourage members of the community to serve as CAG members began on (date). These
efforts included direct communication with individuals and organizations in the community (be spe-
cific in terms of the outreach effort) as well as a public meeting in which the purpose of the CAG
and the roles and responsibilities of CAG members were discussed.
Despite these efforts, members of the community have not expressed enough interest so far to ensure
full participation by all segments of the community. Since these efforts to stimulate interest in a
CAG in (name of community), have not been successful, EPA will not continue to encourage a CAG
to form at (name of site). If in the future, community members express an interest in forming a
CAG, EPA may reconsider this decision.

If You Have Any Questions Contact:  (local contact name, address, and telephone number).
                                      27

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28

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            APPENDIX E: List of Community Involvement Managers Nationwide
Region I
US EPA
John F Kennedy Federal Bldg. Rm. RPS-74
Boston, MA 02203
Johanna Hunter
617-565-3425

Region 2
US EPA (26-OEP)
290 Broadway
26th Floor
New York, NY  10007
Lillian Johnson
212-637-3675

Region 3
USEPA(3EA2I)
841 Chestnut Street
Philadelphia, PA  19107
Al Peterson
215-597-9905

Region 4
US EPA
Waste Management Division
345 Courtland St., NE
Atlanta, GA 30365
South Remedial Branch:
   Betty Winter (AL, GA, MS)
   404-347-2643 x6264
    1-800-435-9234
   Rose Jackson (South FL)
   404-347-2643 x6272
   Carleen Wakefield (North FL)
   404-347-2643 x6256
North Remedial Branch:
   Cynthia Peurifoy (SQ
   404-347-7791 x2072
    1-800-435-9233
   Diane Barrett (NQ
   404-347-7791 x2073
   Cindy Gibson (SC, KY)
  . 404-347-7791 x2036
Emergency Response Branch:
   Michael Henderson (All Region 4 States)
   404-347-3931 x6!06
    1-800-564-7577

Region 5
USEPA(PSI9-J)
Metcalfe Federal Bldg.- 19th floor
77 W Jackson Blvd.
Chicago, IL 60604
Ton! Lesser
312-886-6685

Region 6
US EPA (6HMC)
First International Bank Tower & Fountain Place
1445 Ross Ave., 12th Floor
Dallas, TX 75270-2733
Veme McFarland
214-665-6617

Region 7
US EPA
726 Minnesota Ave.
Kansas City, KS 66101
Rowena Michaels
913-551-7003
                                           29

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Region 8
US EPA (80EA)
999 18th St.
Denver, CO 80202
Sonya Pennock
303-312-6600

Region 9
USEPA(H-I-I)
Office of Community Relations
75 Hawthorne Street
San Francisco, CA 94105
Dianna Young
415-744-2178


Region 10
US EPA (HW-117)
!2006thAve.
Seattle, WA 98101
Michelle Pirzadeh
206-553-1272

Headquarters
Community Involvement and Outreach Center
Office of Emergency and Remedial Response
US EPA (5203G)
401 MSt.SW
Washington DC 20460
Suzanne Wells
703-603-8863
                                         30

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How To
 • Meet the Community Advisory Group	  1
 • Tips for Involving Hard-To-Reaeh Segments
   of the Community	  3
 • Let's Get Started	  5
 • Writing a Mission Statement	  9
 • Developing Operating Procedures	  11
 • Incorporating Your Community Advisory Group	  13
 • Securing Tax-Exempt Status	   17
 • Community Advisory Groups and
   Technical Assistance Programs	  21
 • Finding Funding for Community Advisory Groups	  27


Community Tools
 • How To Write a Proposal	  Al
 • Community Advisory Group: Our Voice in EPA
   Decisions [Presentation]	  Bl
 • Community Advisory Group: Our Voice in EPA
   Decisions [Script Notes]	  Cl
 • Operating Procedures	  Dl
 • IRS Form (SS-4) for Applying for Employer ID	  El
 • IRS Instructions and Forms (1023, 872-C, and 8718)
   for Applying for Recognition of Tax-Exempt status	  Fl
 • Superfund Technical Assistance Grant (TAG)
   Handbook: Applying for Your Grant	  Gl
 • Technical Outreach Services for
   Communities	  HI

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   The Community
   Advisory Group
 is a way for people
  in the community
          to actively
      participate in
       the decision-
    making process
        at sites with
         Superfund
          and other
     environmental
  concerns. Citizens
    who^ are part of
        Community
   Advisory Groups
    can learn more
 about their site, get
          up-to-date
 information about
 cleanup status,"ask
          questions,
        and discuss
        community
   concerns with the
 U.S.* Environmen-
      tal Protection
    Agency (EPA),
    state and tribal
 agencies^ and other,
   parties involved
      in cleanup'or
   addressing other
   " environmental'
          concerns.,
r-xfl
                               Meet  the
                                Community
September 1998
        Full community participation and
        representation of all viewpoints are
        essential to the success of the
        Community Advisory Group. How-
        ever, it is not practical for everyone
        in the community to be a member of
        the Community Advisory Group. The
        membership usually is made up of
        people who represent the various
        interests in the community. These
        may include residents or owners of
        residential property near the site,
        those who may be affected directly
        by site releases, those who may be
        affected by releases from the site,
        even if they do not live nearby or
        own property near the site, and
        environmental and other experts
        from local universities.

        In addition to the community itself, a
        number of other groups are involved
        in making decisions about site
        cleanup and other environmental
        issues. These include the U.S. EPA
        and other federal agencies; state,
        tribal, and local government organi-
        zations; and facility owners and
        others who are potentially respon-
        sible for the contamination at the
        site. These groups work closely with
        the Community Advisory Group. In
        some cases, communities may
        choose to include representatives of
        local governments and potentially
        responsible parties as Community
        Advisory Group members.

        What Community
        Advisory  Group
        Members Do

        Membership on a Community Advi-
        sory Group involves making a major
                      -1-
commitment. Members must be
prepared to devote considerable time
and effort in order for the Community
Advisory Group to be effective. While
many citizens may be interested, only a
few may be able to make the neces-
sary commitment.

Members are responsible for learning
about site issues. They attend and
participate in all Community Advisory
Group meetings and share information
regularly with their fellow community
members. Community Advisory Group
members also review information
concerning site cleanup plans and
provide data and information to EPA on
the community's issues and concerns
about the site. A Community Advisory
Group member from Texas summed it
up well when she observed that anyone
who serves as a member of a Commu-
nity Advisory Group must be willing "to
work a lot of nights, talking things over
and figuring out what to do."

What People in the
Community Can  Do
To Help

Even if every citizen cannot be a
member of the Community Advisory
Group, every citizen has an impor-
tant role in the site remediation
process and can support the Commu-
nity Advisory Group and its activities.
One of the best ways to get involved in
and support the Community Advisory
Group is to attend its meetings and
participate actively in discussions.
People hi the community can contrib-
ute to the work of the Community
Advisory Group in other ways as well.

-------
 Parents and Long-time Residents

 Parents and long-time residents can help
 the Community Advisory Group identify
 issues concerning children and the elderly,
 who are among the most vulnerable
 groups macotnmunity.Long-tinie
 residents also can be excellent sources of
 historical5nformationaboutthesite,the'
 surrounding community, and its residents.

 Community  Organizations

 Community organizations, such as
 homeowner and neighborhood associa-
 tions, tenantorganizations, and senior
 citizens groups, can provide important
 support to Community Advisory Groups.
 Local Parent-Teacher Associations
 (PTAs) and school boards, for example,
 canhelpthe Community Advisory Group
 work with the community's schools to
 inform and educate the residents about
 the site and about the cleanup process.

 Churches

 Churchesprovideexcellenttiesto
 residents and may beparticularly helpful
 in reaching some economically disadvan-
 taged residents. Many churches contrib-
 ute financial support to worthwhile
 community projects andnonprofit organi-
 zations and may provide space for
 Community Advisory Groups to meet

 Environmental Groups

 Local environmental groups can
 contribute their knowledge of environ-
 mental issues and their experience to
 the Community Advisory Group.

 Medical and Science Professionals

 Local medical and public health profes-
 sionals can provide technical expertise
 on health-related issues; they may be
 the first to observe the potential for
 health effects in their patients. Scientists
 and engineers also can offer their
 expertisetoreview technical information.

Business, Industry, and Banks

 Small businesses and local merchant or
business associations can help get
 information out to the community. These
 groups also may be willing to donate low-
 cost printing services, office supplies,
 meeting space, or even refreshments for
 Community Advisory Group meetings and
 other activities.

 Major industries, large employers and
 large businesses can contribute goods and
 services to the Community Advisory
 Group. In fact, they often are eager to be
 "good corporate citizens" by supporting
 worthwhile community projects. Large
 companies and industrial plants may have
 technical experts who will donate exper-
 tise or services on a pro bono basis.

 Many local public utility companies have
 active community relations programs
 with significant budgets for supporting
 community projects. Some utility compa-
 nies encourage their employees, including
 engineers and other technical experts, to
 volunteer their time to support commu-
 nity activities such as Community
 Advisory Groups.

 Banks may be willing to underwrite
 some Community Advisory Group
 operations and to support activities that,
 in effect, protect their investments in the
 community.

 What Others  Involved
 in Environmental
 Cleanup  Can Do

 The other groups involved in address-
 ing environmental issues can support
 the Community Advisory Group in
 several ways.

 State, Tribal, and Local
 Governments
In some cases, the city or county
government may provide admin-
istrative support for the Commu-
nity Advisory Group. Some local
governments also may provide
funding for activities or events
sponsored by the Community
Advisory Group.

Representatives of state and
tribal agencies often work closely
 with federal and local officials and may
 attend Community Advisory Group
 meetings on a regular basis. Some
 states also may have programs that
 would provide funds for Community
 Advisory Group functions, such as
 hiring technical advisors.

 Local elected officials can bring
 Community Advisory Group issues
 before their councils, boards, and
 commissions. They often know of
 other programs and funding sources
 that Community Advisory Groups can
 contact for additional resources and
 expertise.

 U.S. EPA

 As the federal regulatory agency
 responsible for hazardous waste
 remediation, U.S. EPA can work
 closely with Community Advisory
 Groups. EPA Regional Office staff can
 attend Community Advisory Group
 meetings to provide information about
 cleanup plans and activities and to
 discuss community questions and
 concerns. EPA also provides informa-
tion and other tools to assist communi-
ties in establishing Community Advi-
sory Groups and actively participating
in the decision-making process.
                                                     -2-

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    Participation by all
        segments in the
          community is
       important to the
           success of a
   Community Advisory
  ~  Group. Sometimes,
 communities may need
  to take special steps to
 ensure that all citizens
   can participate. This
    is especially true in
      communities with
       low-income and
  minority populations.
     Involving citizens
 from these groups not
    only helps promote
       full community
  involvement? but also
          can give the
  Community Advisory
  Group more power to
   raise 'environmental
    justice issues with
           potentially
    responsible parties.
<^
>'S ° i
September 1998
People in low-income and minority
groups often do not feel fully accepted
as members of the community as a
whole. They may feel the government,
the media, and civic organizations do
not care about them even if the rest of
the community sees it differently.
These segments of the community
may be reluctant to join in civic
activities, including Community Advi-
sory Group activities, even though they
have been affected by environmental
hazards more than others.

To encourage these citizens to work with
or participate actively in the Community
Advisory Group, carefully consider how
to reach and communicate effectively
with each individual group.

Encouraging
Participation as
Members of the
Community fidvisoiry
Group

Listed below are some ideas to help
your community seek out hard-to-
reach groups and encourage them to
participate hi the Community Advisory
Group:

    • Learn more about the low-
     income  and minority residents
     in your community. Don't
     assume anything.. Start by asking
     others hi the community for help.
     Ask where low-income families
     or minority residents go for
     information, what people or
     organizations they trust and
     listen to. Then, ask these people

               -3-
for advice. Listen to what they
say and be willing to act on their
recommendations.

Start early and build partner-
ships with community activists
and organizations. Ask for a
meeting to discuss the hazards
faced by their community.
Explain how the Community
Advisory Group will work and
how importanttheirparticipation
is to the residents they represent
and to the overall environmental
goals of the Community
Advisory Group.

Consider holding a special
meeting with low-income,
minority, and other hard-to-
reach groups. Be willing to take
importantinformationto the
people who need it. This is
particularly helpful at the begin-
ning of the Community Advisory
Group process to explain the
problemsthe Community
Advisory Group will be working
to solve and to encourage these
stakeholders to participate.
Consider co-sponsoring a
meeting with a trusted commu-
nity group that supports the work
of the Community Advisory
Group. Schedule the meeting at a
time convenient for most mem-
bers of the community to attend.
Avoid schedule conflicts with
other community or cultural
events. "^Presentation materi-
als that may be useful in
describing the Community
Advisory Group during these


           See Tools B and C

-------
      meetings is included in Part
      2 of the Toolkit for your
      convenience.

     • Make a long-term commitment
      Don't expect instant acceptance.
      Build a relationship with the
      individualsand groupsyou
      contact and plan to continue
      working with them for a while.
      Be patient and respect each
      organization's decision-making
      process. Understand you will
      have to build credibility first, and
      that can take time.

 Communicating
 Effectively about the
 Community  Advisory
 Group's Work

 Everyone in the community cannot be
 a member of the Community Advisory
 Group and may not be able to attend all
 the meetings. But all citizens, especially
 low-incomeand minority residents,
 have a stake in solving the
 community's environmentalproblems.
 And every citizen's support is needed
 for the Community Advisory Group to
 do its job effectively. As a result,
 keeping all residents informed about
 the work of the Community Advisory
 Group is very important.

 Listed below are some tips for making
 sure informationfrom the Community
 Advisory Group gets to low-income,
 minority, and other hard-to-reach
 residents in your community.

    • Set up a Community Advisory
      Group Outreach Committee.
     Have the Committee look for the
     best ways to communicate with
     the community as a whole. This
     demonstrates the Group's
     commitmentto working with all
     parts of the community.

    • Promote community
     empowerment.  Stress that each
     person has a voice, and that
See Tills lute
  every person can make a differ
  ence by working together to
  solve community problems.

1  Remember the "messenger"
  can be as important as the
  message. People are more likely
  to listen to people and groups
  they already know and trust. A
  word from the minister on
  Sunday can be worth more than
  a story on the TV news. A flyer
  received from a trusted friend
  has instant credibility; the same
  information sent through the mail
  or received from a stranger
  might not.

  Use the networks the commu-
  nity already trusts.  Churches
  can be very effective in reaching
  various groups in the community.
  Community action agencies in
  most counties are experts at
  outreach to low-income families.
  Community health clinics,
  English-As-A-Second-Language
  programs, Boys and Girls Clubs,
  senior centers, and Head Start
  programs are excellent ways to
  reach low-income, minority, and
  other hard-to-reach stakeholders
  in many communities.
' Be culturally, sensitive in
 preparing information to be
 distributed. Avoid stereotypes
 Use language that people
 can understand, and don't
 talk down to people. If you
 prepare material that
 includes illustrations or
 photos, make sure they
 include people of different
 ethnic and racial back
 grounds, in different age
 groups, and with disabilities,
 as appropriate.

 Distribute information in
 several ways. Do not rely
 on a single organization,
 newspaper, radio station, or
 group for getting important
 information out to community
residents. Use them all. This
helps make sure everyone
has a chance to get it.

Enlist help from commu-
nity organizations for
translations. If there is a
significantforeign-language
group in your area, there prob-
ably is at least one community-
based organization that works on
community issues affecting these
residents. Contact the group and
ask someone to provide input for,
review, and help translate your
materials.

-------
      -A Community
  Advisory Group is
   a committee, task
      force, or board
        comprised of
        residents of a
    community with
 Superfund or other
      environmental
     problems.  This
         Community
    Advisory Group
    enhances public
 participation in ihe
    cleanup process
            and other
      environmental
    decision-making
      by providing a
      public forum,
               where
   representatives of
 diverse community
        interests can
  discuss their needs
 and concerns* This
   section provides a
  checklist of,initial
 steps tha&will help
          you form a
    Advisory Group,.
 \   Ttie sections that,
    "f j follow provide
   1 "more detaHjon^
  several ofjhe steps^
       outlined here.
 v ''5^  •* ''^'."- y^
September 1998
Forming a Community
Advisory Group

Community Advisory Groups may be
formed at any point in the environmen-
tal cleanup process. However, they are
most effective when formed early,
allowing the community more time to
participate in and have an impact on site
activities and decisions. While EPA can
provide ideas and assistance, it is up to
community residents to decide if and
how they want to form a Community
Advisory Group.

Generally, a core group of community
residents with a strong interest in
environmental issues takes the lead.
Some communities build their Commu-
nity Advisory Group from an existing
framework, while others start their
groups from scratch. In certain situa-
tions, local governments take steps to
form Community Advisory Groups.

The process often begins with a well-
publicized Community Advisory Group
Information Meeting. This meeting is
held to discuss the purpose of a Com-
munity Advisory Group, opportunities
for membership, and terms for participa-
tion. ^Presentation materials, which

           -5-
you may want to use in describing
the Community Advisory Group at
meetings with others in the commu-
nity, are included in Part 2 of this
Toolkit for your convenience.

Choosing a  Name

Decide whatyou will call your group. A
Community Advisory Group may be
called a committee, a task force, a board,
or an action group. You may choose to
include the words "Community Advisory
Group" in your name, butitisnotrequired.
Forexample,the Community Advisory
Group at tiieOronogo-Duenweg Mining
Belt Site in Jasper County,MO, calls itself
the "Jasper County EPA Superfund
Citizens Task Force." Thenameyou
choose shouldreflectyour community's
vision for the group.

Writing a Mission
Statement

One of the first steps in forming a
Community Advisory Group is writing
a mission statement. A mission state-
ment is a short, to-the-point description
of the overall goals and purposes of
an organization.

               SeeTeoIsBandC

-------
 A written mission statement can be
 distributed and discussed easily. Ithelps
 keep the community informed and
 educated about the Community Advisory
 Group and provides away to get com-
 munity feedback at any point in the
 process. Be willing to revise the mission
 statementas issues and community
 concerns change.

 Determining  Operating
 Procedures

 Establishing a basic structure for how the
 Community Advisory Group will do its
 work is another important first step.
 Makingthese structure decisions early
 allows members to focus on other issues.
 Issues requiring immediate attention fall
 into two categories, short-term and long-
 term. Examples of two short-term issues
 are choosing a name and determining
 howmany members should be on the
 Community Advisory Group. Examples
 of more long-term issues are determining
 how often to hold meetings, howto
 ensure diverse community participation,
 andhow to make necessary decisions.

 Developing  Effective
 Communications

 It is important to decide how Community
 Advisory Group members will communi-
 cate with each other. Decide how
members will be reminded of upcoming
meetings and how far in advance notice
will be given. Witt members receive an
 agenda in advance? Will they receive
 minutes, a record of what happened, after
 the meeting? How will they communicate
 with each other about issues that arise
 between scheduledmeetings?

 It also is important to determine howthe
 Community Advisory Group will commu-
 nicate with the community at-large. How
 will meetings be announced and how will
 information be shared with the general
 public? You may want to set up an
 Outreach Committee to look for the
 best ways to keep the community at-
 large informed.

 It is a good idea for each Community
 Advisory Group to appoint one member
 to act as a spokesperson to the media.
 The spokesperson would be responsible
 for coordinating the release of informa-
 tionaboutthe Community Advisory
 Group and answering calls from reporters.

 It also is helpful to determine the most
 important organizations you need to work
 with and select a liaison for each organi-
 zation. These might include schools,
 businesses, environmental groups, or
 other concerned groups in the community.

 Incorporating  and
 Securing  Tax-Exempt
 Status

 There are a variety of organizational
 structures for Community Advisory
 Groups. Before deciding which structure
 to use, consider the following
 questions: WillyourCommunity
 Advisory Group have a board of
 directors? Is it necessary to
 develop a charter and written
 bylaws?Howwillthe organization
 be funded? What actions must be
taken to ensure the organization
 can receive and disperse funds?

Your Community Advisory Group
could exist for a long time, in
some case several years. As a
result, you need to consider
 whether to incorporate or secure tax-
 exempt status. It may be necessary to do
 both in order to qualify for certain types
 of government funding or to receive
 contributions or donations from some
 sources.

 Working with  U.S. EPA

 In order to work effectively with EPA,
 it important to understand how your
 concerns and the information you
 provide about the community's inter-
 ests will be transmitted within the
 Agency. It's a good idea to meet with
 the Community Involvement Coordina-
 tor from your EPA Regional Office to
 discuss the flow of information be-
 tween the Community Advisory Group
 and the EPA Regional Office staff
 who will be working with you. In
 general, the EPA Community Involve-
 ment Coordinator will be your primary
point of contact. He or she will answer
 questions and provide other assistance
 directly as well as see that your
concerns and other issues are transmi
ted to other Regional Office staff who
can help. For example, if your site is a
 Superfund site, the Community In-
volvement Coordinator would pass

-------
 information on to the EPA Remedial
 Program Manager.

 Additional  Resources

 The National CenterforNonprofitBoards
 (NCNB) is a national nonprofit organiza-
 tion dedicatedto increasingthe effective-
 ness of nonprofit organizations by strength-
 ening their boards of directors. Visit
 NCNB's World Wide Web site at
 www.ncnb.org or call 800-883-6262.

 The nine-part Nonprofit Management
 Series is available from Independent
 Sector Publications. Some of the individual
 publications in the series that may be of
 interest to Community Advisory Groups
 are: The Role of the Board and Board
 Members (#1); Finding, Developing,
 and Rewarding Good Board Members
 (#2); Operating Effective Committees
 (#3); Conducting Good Meetings (#4);
 Fundraising (#7); and Budgeting and
 Financial Accountability (#8). Cost:
 $5.00 each for individual publications,
 $35.00 for the nine-volume set, plus
 postage and handling. Call Independent
 Sector Publications at 301-490-3229 for
 more information or write to them at
 Independent Sector Publications, P.O. Box
 451, Annapolis Junction, Maryland 20701.
September 1998

-------

-------
         A mission
       statement is
            a short,
        to-the-point
      description of
         the overall
       - goals and
    purposes of an
      organization.
       The mission
  statement brings
    a clear focus to
  an organization)
          allowing
       members to
      see how their
    actions support
      the goals and
  purposes of their
      organization.
                       a
     mission
^Statement
September 1998
    Developing the
    Mission Statement

    There are four primary questions Commu-
    nity Advisory Groups must answer in
    writing a mission statement:

    • What function does the Community
     Advisory Group perform?

    • For whom does the Community
     Advisory Group perform this function?

    • How does the Community Advisory
     Group go about filling this function?

    • Why does this Community Advisory
     Group exist?

    What

    Choose the areas that are particularly
    importantto the Community Advisory
    Group—the ones you are willing to stand
    behind until a solution is found. If a particu-
    lar type of remedial action is not the best
    choice for your community, then one
    function of the Community Advisory Group
    might be to bring other remedial options to
   the discussion table.

    Who

   Identify who the Community Advisory
   Group represents and the primary
   concerns of the community. This might
                   -9-
 include identifying the ages, incomes,
 and ethnic groups in the community.

 How

 List how the Community Advisory
 Group can achieve its goals. Is the
 Community Advisory Group's function
 to educate the public? Solicit opinions?
 Monitor the hazardous waste cleanup
 process? Others?

 Why

 Identify why the Community Advisory
 Group will perform the functions it has
 selected. List these driving forces and
 rank them to help you allocate resources
 and determine the direction your
 Community Advisory Group will take.

 Writing  the
 Mission  Statement

 You are now ready to put the mission
 statement on paper. Write a statement
 in one sentence or a short paragraph
that answers the what, who, how, and
why questions from above. Then list a
set of specific priorities for the Commu-
nity Advisory Group. Discuss the
statement and priorities, making adjust-
ments until all members feel comfort-
able and agree on the Community
Advisory Group's mission statement and
priorities.

-------
                                            Examples of
                     Community Advisory Group Mission  Statements

    Fol lowing are examples of the mission statements developed by four Community Advisory Groups around the country.
        They may be helpful references as you develop the mission statement for your Community Advisory Group.
  EPA Community Advisory Group, Brio Refining,
  Inc., Superfund Site (Harris County, TX):

  To provide community input into the conduct of the Focused
  Feasibility Study to ensure the remedy for the Brio
  Superfund site is protective of human health and the envi-
  ronment and is implemented in a timely manner.
  Jasper County EPA Superfund Citizen's Task Force
  (Jasper County, MO):

  This Task Force is to: Develop a process to gather early,
  direct, and meaningful comments; serve as a public forum
  for community interests to present and discuss their needs
  and concerns relatedto the Superfund decision-making
  process with appropriate federal and state agencies;
  Provide a public service to the rest of the community by
  representingthe community in discussions regardingthe
  site and by relaying information from the discussions back
  to the rest of the community; Participate in the decision-
  makingpiocess.
                  Southern Maryland Wood Treatment Plant Task
                  Force (Hollywood, MD):

                  To establish a single and complete source of all available
                  documentation and background material; serve as the
                  official point of contact with federal EPA and state DOE
                  agents; develop apublic information mechanism forrumor
                  control and apprehension retardant; perform technical
                  analyses and reviews of reports and proposals; submit
                  recommendations to the Board of County Commissioners
                  for formal action plans by county government; review
                  available literature and propose alternative courses of action
                  for EPA consideration.
                  Carolawn Superfund Site Community Advisory
                  Board (Chester County, SC):

                  To ensure that the community will be included in the proper
                  and complete cleanup of the Carolawn Superfund Site, the
                  Community Advisory Board will be educated, aware and
                  informed and will serve as an intermediary between EPA,
                  South Carolina Department of Health and Environmental
                  Control (SCDHEC), site response contractors and the
                  community at-large.
Presenting the
Mission Statement
to the  Community

Itis important thatthe Community
Advisory Group mission statement is
understood by and acceptable to the
diverse segments of your community.
Make copies of the mission statement
and distribute them to the community.
Provide an opportunity to discuss the
Community Advisory Group and its
mission statement at apublic meeting.

Be willing to revise the mission state-
ment overtime, as issues and commu-
nity concerns change.

Additional  Resources

Informationin this fact sheet is based
in part on uiformationinApplied
Strategic Planning: An Introduction
by Leonard D. Goodstein, Timothy M.
Nolan& J. William Pfeiffer (San
Diego: Pfeiffer& Company, 1992.) To
obtain a copy, write or call Pfeiffer
& Company, 8517 Production
Avenue, San Diego, California
92121-2280. Phone: 619-578-5900
Fax: 619-578-2042. Cost information
unavailable.

Best Practices of Effective Non-
profit Organizations: A
Practitioner's Guide is available
from The Foundation Center, 79 Fifth
Avenue, Department JJ, New York,
New York 10003-3076. Cost: $29.95,
plus postage and handling. For more
information or to order by phone, call
1-800-807-3677.

-------
   Written operating
   procedures spell
        out how the
      group will be
     organized, how
        it will make
   decisions,, resolve
  disputes, commu-
        nicate, and
  conduct business.
        Developing
          operating
        procedures
  provides the basic
   structure for how
    the Community
   Advisory  Group
    will do its work
      and promotes
     organizational
   -  continuity over
   time. It, is a good
 idea to make these
     basic structure
     decisions early.
 e\veloping
'rvtedures
September 1998
  Choosing a Name

  One of the first things to consider is
  what you are going to call the Commu-
  nity Advisory Group. Some communi-
  ties choose the name Community
  Advisory Group while others call
  themselvestask forces, boards, or
  action groups.

  Membership

  How many people do you want on the
  Community Advisory Group? Most
  Community Advisory Groups have 12 to
  20 members, but consider what size
  group will work well for you. Do you
  want a board? If so, how will the board
  be selected (for example, by nominating
  committee, survey, or anothermethod)?
  How will you ensure the Community
  Advisory Group represents all interests?

  Leadership

  Will you have a chairperson, co-
  chairpersons, or an executive board?
  How will leadership be selected? For
               -11-
how long will individual leaders serve?
What will be the duties and responsi-
bilities of the Community Advisory
Group leaders?

Meetings

Determine how often the Community
Advisory Group will meet and the
procedures for announcing and
publicizing meetings. Selectameeting
place that is convenient and neutral. You
may want to vary the meeting time and
meeting days to enable all community
residents to attend several meetings.

Be sure the Community Advisory Group
meets often enough to maintain interest
and momentum, but not so often that
meetings become non-productive or ,
irrelevant Some Community Advisory
Groups meet on a regular monthly or
bimonthly basis, and allow for additional
meetings as issues arise. Decide
whether the entire community should be
invited to all the meetings. For example,
the Community Advisory Group may
meetmonthly, with an entire community
meeting each quarter.


                     See Tool D

-------
Youalso will wantto decide whatrules
of procedure to use to guide your
meetings. Robert's Rules of Order has
long been the definitive source on
parliamentaryprocedure. Cannon's
Concise Guide to Rules of Order is
another, and there are others, but
Robert's Rules is, by far, the most
widely used guide.

Resolving Issues

Determine how to resolve issues within
the Community Advisory Group. Will
issues be resolved by consensus or
majority rule? Set out a decision-
making strategy, a process for setting
agendas, takingminutes, and for setting
ground rules to live by.

Example of  Operating
Procedures

""A. guide for developing operating
procedures is included in Part 2 of
this Toolkit for your convenience.
Although there are many questions to
be considered in formulatingthem,
operating procedures do not have to be
long or complicated. Following is an
example of the OperatingProcedures
for the Carolawn Community Advisory
Board (CAB) in Chester County, SC:

Thedurationofthe Community Advi-
sory Board will be three years, with
renewal every three years unless the
majority votes to discontinue. The
SesTiilD
CAB will meet no less than once every
three months. The Board will consistof
15 members. Any member that misses
two consecutive meetings will be
replaced. Members will serve for a
term of three years.

Additional Resources

Robert's Rules of Order is available
from a variety of publishers in a variety
of editions ranging in price from $4.50
to $30.00. Check any bookstore or
library for more information.

H. Cannon, Cannon's Concise Guide
to Rules of Order, (New York:
Houghton-Mifilin, 1995), Cost: $9.95.

Marjorie M. Cann, Point of Order: A
Ready Reference of Simple Rules
and Parliamentary Procedure, (New
York: Putnam Publishing, 1993). Price
information unavailable.
              -12-

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       This section
          provides
    information to
          help you
       determine if
  your Community
   Advisory Group
            should
  incorporate. This
  information will
       help you get
         started in
   considering the
       broad issues
      involved,  but
         it is not a
      substitutefor
    getting advice
        from legal
    and financial
      specialists to
   ensure that you
     most effective
        1  decisions
         . for your
      'Community
          Advisory
     "--     Group*
What Is  Incorporation?

Incorporations a process through
which an organization is granted legal
status and is recognized as an entity
under state law. An incorporated
organizationhas the legal right and
power to enter into contracts, own
properly, borrow money, and mortgage
its properly. It continues to exist legally,
even if the founders, officers, or
directors change.

What Does
Incorporation  Mean  for
Your  Community
Advisory Group?

By incorporating, your Group adopts a
widely recognized structure and certain
operatingproceduresrequiredby state
law. In addition, if you incorporate, it is
importantto identify your Group as a
nonprofit organization.

The process for incorporatingvaries
from state to state. Consult the
corporate law of your stategovern-
mentforthespecificrequirementsand
steps 3'ou must follow.
Advantages  of
Incorporating  Your
Community Advisory
Group

One of the most importantadvantages
of incorporatingas a nonprofit
organizations that it can help your
Group qualify for financial assistance
from federal, state, public, or private
sources. For example, Groups formed
at SuperfundNational Priorities List
(NPL) sites must be nonprofit
corporationsto be eligible for an EPA
Technical Assistance Grant (TAG).
This grant provides funds for hiring an
independent adviser who can offer
independent technical advice and
expertiseto help the Community
Advisory Group participate in the
decision-makingprocess.  ^Seethe
section on "Community Advisory
Groups and Technical Assistance
Programs" for more information.
September 1998
              -13-

-------
 Incorporatingalso has other
 advantages. For example, banks and
 other financial institutions often view
 nonprofit corporations favorably.
 Incorporation also shields officers,
 board members, and the employees of
 a corporationfrom liability from debts
 incurred by or legal judgments against
 the corporation. .Consultan attorney
 for more information on the legal and
 financial benefits of incorporating your
 Group as a nonprofit organization.

 Legal and Financial
 Implications  for
 Community Advisory
 Group Officers and
 Board Nembers

 The corporate laws in each state
 include provisions defining the
 responsibilities and obligations of the
 corporation'sofficers and directors.
 Directors and officers of a corporation
 have a legal duty to the corporation.
 They may not mix their personal affairs
 with those of the corporation or act in a
 waythat is detrimental to it

 Corporate bylaws must designate an
 officer or employee responsible for
 financial reporting and tax payment
 That individual can be held personally
 responsible ifhe or she fails to file or
 pay taxes. Consultthe corporate law of
 your state for additional information.

 Incorporatingyour Community
Advisory Group as a nonprofit
 organization does not exempt the
 Group from taxation. The Group
 must file a corporate tax return (U.S.
 Internal Revenue Service Form 1120)
 with the federal government, even if it
 takes in no revenue. The only
 nonprofitcorporationsthat do not have
 to file a corporate tax return are those
 that are recognized by the U.S.
 Internal Revenue Service (IRS) as
 "tax-exempt." Filing for tax-exempt
 status is a separate process. ^See
 the section on "Securing Tax-
 Exempt Status" for more
 information.

 Most states also require nonprofit
 corporationsto file corporate income
 tax returns, even if the nonprofit
 corporationhas no revenue. Some
 states impose a minimum tax on any
 corporation, even a nonprofit one, that
 is not recognized as tax-exempt by the
 IRS. Not all states impose a minimum
 tax. Requirements and definitions vary
 widely amongthe states, so it is
 importantto find out what your state
 requires.

 Procedures  for
 Chartering a Nonprofit
 Corporation

 Setting up a nonprofit corporation is
similar, but not identical, to
incorporating a for-profit business.
While the specifics vary by state,
following are some general rules:
  • Arranging for Incorporators

   The people who will sign their
   names to the legal documents
   creatingthe corporation are
   called the "incorporators."
   Some states require a specific
   number of incorporators.
   States usually require that
   incorporators be adults (at least
   18 or 21 years old depending
   on the state) and that a
 majority be citizens of the United
 States. The incorporatorsare
 recognized as the founders of the
 corporation.

• Selecting a Board of Directors

 The incorporators must
 establish a board of trustees
 or directors. The minimum number
 of directors (usually three) is
 specified by law. Again, legal
 qualifications are minimal: directors
 usually must be adults under state
 law, and some or all of them must
 be U.S. citizens. Incorporators
 may be named as directors at the
 time of incorporationbut are
 required to serve only until the first
 annual meeting of the corporation.
 At this meeting, additional directors
 may be elected or a new board
 may be selected.

                                                  -14-
                                                             t I *

-------
                                         a statementthat incorporators
                                         meet whatever requirements are
                                         stipulated in the state's corporation
                                         law; and
    DraftingArticles of
    Incorporation

    The prescribed format for
    Articles of Incorporations set
    out in state corporate law.
    Generally, these laws require
    that the Articles of Incorporation
    include:

    the title and number of the
    state law that governs
    incorporation of a nonprofit
    organization (available from the
    state's Secretary of State);

    the name of the organization to
    be incorporated;

    a statement of the purpose
    (missionstatement)ofthe
    organization, indicating the
    charitable, educational, social,
    religious, or other beneficial,
    nonprofit goal the corporation
    intends to achieve and statingthat
    financial gains from the
    corporation's activities will not be
    distributed as dividends or profit
    shares to directors, officers, or
    members of the organization;

    the location of the corporation's
    office, the place from which
    activities will be directed and
    where records will be kept;

    names and home addresses of
    people named as directors;
September 1998
  • signatures and addresses of the
    incorporators (signatures may
    have to be notarized). Additional
    legal statements may be required
    by some states.

  • Filing the Certificate and
    Fee Payments

    The Articles of Incorporation,
    other required documents, and
    filing fees must be submitted to the
    state agency responsiblefor
    granting corporate charters. In
    most states, this is the Secretary of
    State, state corporation
    commission, or a similar agency.

  • Notice of Acceptance and Filing

    The appropriatestate agency will
    acknowledge by mail receipt of your
    application. As soon as this
    certificate is issued, the corporation
    legally exists and can start operating.

Steps for  Incorporating
a Community  Advisory
Group

1. Contact the state agency
   responsible for incorporation of
   nonprofit organizations.

   In most states, the corporate
   division of the Secretary of State is
   responsible for incorporation of
   nonprofit organizations. Otherstates
   have corporate commissions, or
   maintain corporate divisions in
   departments regulating commerce
   and business affairs. Telephone
   numbers for these offices often are
   listed in the "State Government"
   section of your local telephone
   directory or are available in public
   libraries.

   The appropriate state agency will
   provide information on state laws
   governing incorporation, and tell you
   how to obtain legal forms and
   complete requirements for filing them.
2.  Define the purpose of
   the corporation.

   Writing a mission statement
   provides the basis of the
   organization's charter as a nonprofit
   corporation. This statementis
   essential for establishingthe
   organization's identity as anonprofit
   corporation.

3.  Complete forms and draft other
   required documents.

   • Arrange for incorporators

   • Select a board of directors

-------
   • Draft a constitution or set
     ofbylaws

   • Draft Articles of Incorporation

   • Draft other required documents

   It is a good idea to retain an attorney
   to help prepare and file your
   corporate charter, or review your
   application package before you submit
   it to the state.
4. Submit paperworkand required fees
   to the state's incorporatingagency.
   Required fees vary from state to
   state, but generally they are less
   than $100. In some states, fees are
   considerably lower. Check with the
   state's incorporatingagency, a local
   certified public accountant, or your
   attorney to find out the applicable
   fees in your state.

   The incorporatingagency eventually
   will return a certified copy of the
   certificateof incorporation. Once
   this certificateis issued, the
   corporations in business and can
   begin operating.
Additional  Resources:

Ted Nicholas, The Complete Guide to
Nonprofit Corporations: Step-by-
Step Guidelines, Procedures and
Forms to Maintain a Nonprofit
Corporation (Chicago: Enterprise-
Dearborn, 1993). Cost: $19.95.
                                                         -'^f^
                                                  -16-
                                                     ,.  September 1998

-------
        This section
            provides
     information to
            help you
   consider whether
  your Community
    Advisory Group
        should seek
 tax-exempt status.
    It complements
    the information
               about
   incorporation -in
        the previous
 section. While this
        information
       will help you
       get started in
    considering the
        broad issues
      involved, it is
    not a substitute
        advice.from
        *   legal and
           financial
       ]  ^specialists*
What is Tax-Exempt
Status?

Section 501(c)ofthe U.S. Internal
Revenue Code exempts from taxation
certain types of organizations that serve a
special and useful purpose. Virtually all
nonprofit corporations, except churches
and church-related groups, must apply to
the IRS for recognition oftheirtax-
exempt status. Unless they obtain tax-
exemptstatus from the IRS, nonprofit
corporationsmustfile a corporatetax
return (IRS Form 1120) with the
federal governmenteach year, even if
the group takes in no revenue.

It also may be necessary to file
applications with state and local
authorities to obtain exemptionfrom
state and local taxes; however this
designation usually is automatic based on
the IRS ruling.
September 1998
              -17-
Aovantages of Tax-
Exempt  Status

There are several distinct advantages
to securingtax-exempt status from the
IRS:

Once tax-exempt status is formally
recognizedby the IRS, the income
and assets of the nonprofitcorporation
are free from federal taxation and,
usually, from state and local taxation,
too.

Certain classificationsoftax-exempt
status provide the nonprofit corporation
with legal authority to accept
contributions, and permit contributors to
deducttheir donations from income
tax.

A tax-exempt, nonprofit corporation
also may apply to the U.S. Postal
Service for a special permit for lower-
rate postal privileges.
                See Tools E and F

-------
 Tax-Exempt
 Classifications Under  the
 Internal Revenue Code

 Section 501 (c) of the Internal Revenue
 Code includes more than 20
 classifications of organizations eligible
 for tax-exempt status. Most of them do
 not pertain to Community Advisory
 Groups. Themostappropriate
 classLGcationfor Community Advisory
 Groups is designation as a charitable
 organization as defined under Section
 501 (cX3) of the Internal Revenue Code.
 This classification allows the organization
 to solicit financial support from the public
 and to receive government grants and
 supportfrom public and private
 foundations.

 Nonprofit corporations mustmeet
 several standardsto qualify fortax-
 exempt status under Section 501 (cX3):

  • The organization must organize and
   operate exclusively for one or
   more of the special purposes
   specified under Section 50 l(c).
   These include religious,
   educational, charitable, scientific,
   or literary purposes;testingfor
   publicsafety; or other specific
   purposes outlined in the law.

  • None of the net earnings or
   revenues ofthe organization can
   be distributed for the private
   benefitofindividuals or shareholders.
SeoTMteEaadF
   • The organization cannot engage in
    lobbying (defined as attemptingto
    influence legislation) as a
    substantial part of its activities.

   • Participation in political campaigns
    or on behalf of any candidate is
    strictly prohibited.

 A nonprofit corporation must provide
 evidence that it meets these criteria in
 its bylaws and Articles of Incorpor-
 ation. It also must demonstrate that the
 eligibility criteria are met by docu-
 menting its actual operations and
 activities in annual filings with the IRS.

 How To Secure Tax-
 Exempt Status for Your
 Community  Advisory
 Group

 To obtain tax-exempt status, it is
 necessary to apply to the Internal
 Revenue Service for an advance
 (temporary) or a definitive (permanent)
 ruling.

Advance Ruling:  If your Community
 Advisory Group is just getting off the
 ground, you may seek an advance
 ruling from the IRS, which grants
 temporary tax-exempt status that is
 valid for two or three years, while you
 get organized. In your application, the
IRS will require you to describe the
 operations of your nonprofit
corporationin sufficientdetail to allow
them to determine if the proposed
activities clearly will meet the
requirements for tax exemption. The
application form provides space to
describe the activities the Community
Advisory Group anticipates, its sources
offunding, and the kinds of expenditures
expected.

Duringthe time covered by the
advance ruling, the organization is
consideredatax-exempt organization
and is expected to demonstrate by its
record that it is operating in a way that
               -18-
meets IRS requirementsfor charitable
organizations under Section 501(cX3).
Then, you can apply for a definitive
(permanent) ruling. If the organi-
zation's record during the period ofthe
advance ruling does not support its
claim, it will be held liable retroactively
for some taxes, although income from
contributions during that time will not
be affected.

DefinitiveRuling: If your Community
Advisory Group has been in operation
for several months, you may apply for
a definitive ruling, which grants per-
manenttax-exemptstatus. In your
application, the IRS will require you to
supply detailed information about your
organization's operations to demon-
strate that it meets the eligibility
requirements enumerated under
Section 501(c)(3).
                                                                                   it*,*.
                                                                                          September 1998

-------
Procedure  for Securing
Tax-Exempt Status for a
Community Advisory
Group

1.  Obtaintherequiredformsfrom
   the IRS.

   You will need IRS Form 1023,
   Application for Recognition of
   Exemption Under Section
   501(c)(3)  of the Internal Revenue
   Code. CSF'A copy of this form and
   the IRS instructions for applying
.   are provided in Part 2 of this
   Toolkit for your convenience.

   Your Community Advisory Group
   also must have an Employer
   IdentificationNumber (BIN)
   whether or not it has employees or
   plans to hire any. You can file IRS
   Form SS-4, Application for
   Employer Identification Number,
   at the same time you file an
   applicationfor tax-exemptstatus.
   ^ A copy of this form and the
   IRS instructions on how to
   complete  it are provided in Part
   2 of this Toolkit for your
   convenience. In most cases, you
   can submit applications by mail and
   by facsimilefTAX). The IRS Office
   in your area can provide the local
   FAX number.
  -i.,   MI    j^' .
 *V.L&>  "1  "s- JX* -^
September 1998
 2. Define the purpose of the
   organization.
       .- ^         , *c\
   A written mission statement is
   essential for establishingthe
   organization's identity as a nonprofit
   corporation and obtainingtax-
   exempt status under federal and
   state law. For the purposes of
   qualifyingfor tax-exemptstatus, the
   statement should include:

   • Information on how the
     organization will meet the
     eligibility criteria to qualify for tax-
     exempt status under Section
     501(c)(3), that is, how it will
     organize and operate exclusively
     for one or more of the special
     purposes specified under Section
     501(c);

   • A statementthat no part of the net
     earnings of revenues of the
     organization will be distributed for
     the private benefit of individuals or
     shareholders; and

   • A statementthatthe organization
     will not engage in lobbying
     (definedas attemptingto
     influence legislation) as a
     substantial part of its activities,
     and will not participatein any way
     in political campaign activities.

     IRS Publication 557, Tax-
     Exempt Status for Your
     Organization provides useful
     information for draffingthis
     statement

3.  Submitnecessary forms and
   supporting documents to the
   IRS for tax-exempt status.
   SubmityourlRS-Forwz 1023,
  Application for  Recognition of
  Exemption Under Section
  501(c)(3) of the Internal
  Revenue Code, and IRS Form
  SS-4, Applicationfor Employer
  Identification Number to the
              49-
   appropriate IRS Regional office.
   Be sure to include all necessary
   supporting documents.

   It is always a good idea to have an
   attorney or accountant help prepare
   your application or review the
   documents before you submitthem to
   the IRS.

Additional  Resources:

U.S. Internal Revenue Service
Publication 557, Tax-Exempt Status
for Your Organization. FREE. Find
the address of the nearest Internal
Revenue Service Office in the "United
States Government" section of your
local telephone directory. Many IRS
publications and forms also are available
on the Internet at www.irs.ustreas.gov.

-------
-20-

-------
        In order to
    make informed
        decisions,
       Community
  Advisory Groups
     need access to
  reliable technical
        advice and
         expertise.
  Although experts
 may exist in some
       Community
  Advisory Groups,
  most groups will
    need to engage
  the services of an
      independent
  technical advisor.
    Receiving good
   technical advice
  is fundamental to
       an effective
       'Community
  Advisory Group.
     mmunity Advisory
    roups and
Technical Assistance
           rams
     Sources of Technical
     Assistance

     Community Advisory Groups may get
     technical assistance from several
     sources. At the city, county, state, or
     federal level, grants and contracts may
     be availableto fund technical advisors.
     At the federal level, Community
     Advisory Groups at sites listed on the
     Superfund National Priorities List
     (NPL) may qualify to apply for a grant
     to hire a technical advisor through the
     EPA's Superfund Technical Assistance
     Grant, or TAG, program. For sites not
     listed on the National Priorities List,
     Community Advisory Groups may
     receive technical assistance through
     EPA's Technical Outreach Services for
     Communities (TOSC) program.

     Superfund Technical
     Assistance Grant
     Program

     The Technical Assistance Grant
     program was establishedto promote
public involvement in Superfund site-
specific cleanup strategies. Through
the Technical Assistance Grant pro-
gram, grants of up to $50,000 are
provided to qualified citizens' groups to
hire independenttechnical advisors.
The role of the technical advisor is to
help citizens understand and comment
on site-related information, thereby
ensuring citizen participation in cleanup
decisions. Community Advisory Groups
must meet the same requirements as
other groups to be eligible for a Techni-
cal Assistance Grant.

Superfund  Technical
Assistance  Grant
Program Requirements

Community Advisory Groups and other
citizens' groups that want to apply for
Technical Assistance Grants must
meet four basic requirements:

• The group applyingforaTechnical
  Assistance Grant must be nonprofit
  and incorporated.
September 1998
                 -21-
                                                                    See Tools G and H

-------
* The group is required to contribute
  matchingfunds, whether in cash or
  in donated services or supplies,
  equal to 20 percent of the total
  project costs.

* The group must state what it
  intends to do with Technical
  AssistanceGrant funds.

• Only one Technical Assistance
  Grantrecipientmay existatatime
  for each SuperfundNational
  Priorities List site.

The following groups are not eligible
for grant funds:

• Potentially responsible parties,
  which include individuals, munici-
  palities, or companies (such as
  facility owners or operators,or
  transporters or generators of
  hazardous waste) potentially
  responsible for, or contributingto,
  the contaminationproblems at a
  Superfundsite;

• Academic institutions;

• Political subdivisions; and

• Groups, such as counties or cities,
  established or supported by
  government

This means thatthe membership of the
Community Advisory Group cannot
SeeTMlsGaidH
include government officials acting in
their official capacity. For example, if
the town mayor is a member of the
Community Advisory Group and
represents the town in his or her official
capacity as mayor, the group is not
eligible for a Technical Assistance
Grant However, if the town mayor is
serving on the Community Advisory
Group as a concerned citizen, the group
is eligible for a Technical Assistance
Grant The same reasoning applies to
potentially responsible parties and other
groups listed above as not eligible.

Applying  for  a
Technical  Assistance
Grant

Community Advisory Groups may take
advantage of a Technical Assistance
Grant in three ways. They may apply
for a Technical AssistanceGrant
themselves, become part of a coalition
applyingfor a Technical Assistance
Grant, or work with a group that
already has received a Technical
AssistanceGrant

Applying For Your Own Technical
Assistance Grant
To see if your Community Advisory
Group qualifies to apply for its
own Technical Assistance Grant,
answer the following questions.

1. IsyoursiteonEPA'sSuperfund
   National Priorities List?

   The National Priorities List
   contains approximately 1,400
   of the most serious hazardous
   waste sites across the nation.
   All of the sites are potential
   threats to the environ ment
   Technical Assistance Grants
   are availableonly at proposed
   or final National Priorities List
   sites.
2.  Is your Community Advisory
   Group a nonprofit corporation?

   Any group applying for a Technical
   AssistanceGrantmustbe nonprofit
   and incorporated(that is, form a
   legal corporation) or be working
   toward incorporation under appli-
   cable state laws.

   If your Community Advisory Group
   is not currently a nonprofit corpora-
   tion, there are steps you can take
   now to meetthis qualification. ^See
   the section on "Incorporating
   Your Community Advisory
   Group" for more information.

3.  Has a Technical Assistance Grant
   already been awarded to another
   group for your site?

   Only one Technical Assistance
   Grant may be awarded at a time
   for each Superfund National
                                                   -22-

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              Priorities List site.

4. Does your Community Advisory
   Group receive financial or other
   support from any of the following
   groups?

   Support from any of the following
   groups makes you ineligible for a
   Technical Assistance Grant

   •  Potentially responsible parties,
     which includes individuals, munici-
     palities, or companies (such as
     facility owners or operators, or
     transporters or generators of
     hazardous waste) potentially
     responsible for, or contributing to,
     the contaminationproblems at a
     Superfundsite.

   •  Academic institutions.

   •  Political subdivisions (such as
     counties or cities) or other groups
     established or supported
     by government

If the answers to questions 1 and 2 are
"YES," AND the answers to questions
3 and 4 are "NO," your Community
Advisory Group may qualify to apply for
its own Technical Assistance Grant If
your Community Advisory Group does
not qualify, consider joining acoalition
to apply for a Technical Assistance
Grant or working with an existing
Technical Assistance Grant group.

^A copy of Saperfund Technical
Assistance Grant (TAG) Handbook:
Applying For Your Grant is provided
in Part 2of this Toolkit for your
convenience.

Forming  Coalitions  To
fipplly  For a Technical
Assistance Grant

Coalitions may be formed for different
reasons. If several citizens' groups
exist in a community that has a Na-
tional Priorities List site and they all
express an interest in applyingfor a
Technical Assistance Grant, EPA
encourages the groups to form a coali-
tioa If a Community Advisory Group
doesn' t qualify for a Technical Assis-
tance Grant, a working coalition could be
formed with another community group
that does meet the qualification criteria
The existence of a Community Advisory
Group doesn't preclude the existence of
other citizens' groups at the same site.

Working with cm
Existing  Technical
Assistance Grant
Recipient

If a Technical Assistance Grant
already has been awarded to another
community group, the Community
Advisory Group is encouraged to form
a coalition with the Technical
Assistance Grant group. Commu-
nity Advisory Groups and Techni-
cal Assistance Grant groups
shouldwork together toward
commohgoals withrespectto site
cleanup. One way to achieve this
coordination is by having some
members of each group belongto
both groups.

For example, the Community
Advisory Group at the Oronogo-
Duenweg Mining Belt Superfund
 site in Missouri, which is called
the Jasper County EPA
 Superfund Citizen's Task Force,
has a good working relationship with a
separate group that has been awarded
a Technical Assistance Grant. The
constantflow of information between
the two groups is provided by two
members who belongto both.

In this case, the Community Advisory
Group also has its own technical
advisor (paid for by the city of Joplin)
who shares information with the
Technical Assistance Grant group's
technical advisor.

Uses of Technical
Assistance Grants

Citizens' groups use Technical Assis-
tance Grant funds to hire technical
advisors to help the group understand
existing information about the site or
information developed during the
Superfund cleanup process.

Technical advisors may:

• Review site-related documents,
  whether produced by EPA or others;

• Meetwith the Technical Assis-
  tance Grant group to explain
                    —T
                   '
 September 1998

-------
  technical information;

• Provide assistance in communicating
  the group's site-related concerns;

• Interprettechnicalinformationfor
  the community;

• Participate in site visits, when
  possible, to gain a better
  understanding of cleanup activities;

• Travel to meetings and hearings
  related to the situation at the site; and

• Attendrequiredhealthand
  safety training.

Technical Assistance Grant funds may
be used to hire someone to administer
the grant; however, using funds in this
mannerreducesthe amount of funds
availablefor technical assistanceand
those costs become part of the current
20 percent cap on administrativecosts.
Grant groups consideringthis option
should examine whether their grant
administrationmethods could be met
through volunteerefforts. Please note
thatthe Technical Assistance Grant
regulationis beingrevised. One item
thatmay change is the cap on adminis-
trative costs. Check with your Techni-
cal AssistanceGrantcoordinatorsfor
further information.

Youcannotuse Technical Assistance
Grant funds to develop new information
(for example, to conduct additional
sampling) or, in any way, to support legal
actions, including preparation of testi-
mony or hiring of expert witnesses.

Technical  Outreach
Services for
Communities (TOSC)

The Technical Outreach Services for
Communities program was established
to provide technical assistanceto
citizens and citizens' groups who do
not qualify for Technical Assistance
Grants. The Technical Outreach
Services for Communities program
provides Superfund grant monies to a
national network of Hazardous Sub-
stance Research Centers. The Centers
are made up of experts in environmen-
tal science and engineeringfrom 29 of
the nation's leading univeristies. The
Centers' experts provide independent
scientificand technical advice to
communities on a variety of topics
related to hazardous substances,
including potential health effects,
environmental risks, cleanup options
available, and regulatory con-
cerns. ^A copy of Technical
Outreach Services for Commu-
nities is provided in Part 2 of
this Toolkit for your conve-
nience.

The Technical Outreach Services
for Communities program does
not require you to file an applica-
tion to obtain help. However, the
type of services availableand
how to make arrangements to
receive assistance varies. A list
of regional contacts for the Technical
Outreach Services for Communities
program is included in the brochure in
Part 2 of this Toolkit. You may contact
these individuals or the Community
Involvement Coordinator in your EPA
Regional Office to learn more about
the specificservicesavailableto your
Community Advisory Group.

Finding Other Sources
of Funding  for Technical
Assistance

Funding to hire atechnicaladvisormay
be available through not only EPA's
programs but also other federal, state,
and local sources.

For example, the Community Advisory
Group at the Colorado School of Mines
Research Institute hazardous waste
removal action site in Golden, Colo-
rado, called the Citizen's Working
Group, wanted to hire a technical
consultant. The group was not eligible
          II Illll I
SttJTttteGaiflH
               -24-

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 for a SuperfundTechnical Assistance
 Grant because the site is not on the
 National Priorities List. No other
 sources of federal funding were
 available. The group finally was
 successful in obtainingthe needed
 funds from the State of Colorado
 Departmentof Local Affairs, which
 provided support through its Mining
 and Energy Impacts Grant program.

 The Jasper County EPA Superfund
 Citizen'sTaskForce, on the other
 hand, has a technical advisor who was
 hired by the City of Joplinto provide
 advice on EPA documents and actions.

 Community Advisory Group members
 and federal, state, and local govern-
 ment officials who work with your
 group may be able to suggest other
 sources of funding for technical
 assistance.

 Additional  Resources

 Superfund Technical Assistance
 Grants Fact Sheet (EPA 540-K-93-
 001 or PB93-963301)is available from
 EPA's National Center for Environ-
 mental Publications and Information,
 P.O. Box 42419, Cincinnati, Ohio -
 45242. FREE. Orders also may be
 faxed to 513-489-8695. Be sure to
 include the EPA publicationnumber
 listed after the title with these orders.
 The publicationalso may be purchased
 from the National Technical Informa-
 tion Service (NTIS) by calling 703-
     «*vj M !.->

September 1998
487-4650. Use the PB number listed
after the title to order from NTIS.

How to Find,  Choose and Hire a
Technical Advisor (EPA 540-K-95-
004) is available from EPA's National
Center for Environmental Publications
and Information (see ordering informa-
tion above). FREE.
               -25-
                                                                   •"*3C_

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-26-

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        , Where can
        Community
   Advisory Groups
       find funds to
       support their
  work? The answer
  may surprise you.
  While most people
      look first to the
 federal government
       or to national
          charitable
       foundations,
       most funding
      is found closer
            to home.
                    Funding
or
  dvisoru  Groups
    Local companies, major retailers, and
    even small businesses are potential
    contributors to Community Advisory
    Groups. There also are voluntary service
    organizations and the scores of small,
    local foundations and plant-level corpo-
    rate-givingprograms eager to support
    worthwhile local programs.

    Thinking locally is very important,
    because even getting funds from state
    and federal sources often depends on
    making contacts at the local level first
    The key is to talk to people at the local
    level who canhelp you identify potential
    fundingsources, and to form partnerships
    with local agencies and organizations
    with direct access to potential funders.

    Creating Local
    Partnerships

    Without a doubt, the local community is
    the best source of funding and other
    support for Community Advisory Group
    activities. Many local companies and
organizations are eager to support
worthwhile community projects. Often,
all you have to do is ask.

In identifying prospects, look for:

• Subsidiaries and local plants
  connected to major corporations;

• Major employers;

• Major retail outlets;

• Major small businesses located in
  or serving the affected area;

• Insurance companies, health
  maintenance organizations, and
  health care companies; and

• Local foundations—suchasyou
  city's "Community Foundation" or
  small foundations that restrict funding
  to local projects. The reference
  librarian at the local library can
  directyou to alistingof these.)
September 1998
                 -27-
                     SeeToolA

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 The best prospects are companies that:

 • Are doing well financially;

 • Have reputations for being "good
  corporate citizens";

 • Already supportprojects in
  the community; or

 • Have a natural tie-in with environ-
  mental issues, the affected area, or
  the affectedpopulationgroups.

 Identifying Potential Funders

 Chances are that one or more compa-
 nies in your community come to mind
 immediately—and there probably are
 others. Ask around. Talkto people who
 can help you identify companies that
 may be potential funders.

 A good place to start is among Com-
 munity Advisory Group members
 themselves. Does anyone on the
 Community Advisory Group have ties
 to the potential funder? Does he or she
 know someone who does? You also
 can talk to leaders from the Kiwanis
 Club, Lions, Rotary, and other local
 service organizations.Many of these
 groups havecloseties with the local
 business community and raise funds to
 supportworthwhile community
 projects. Call the Chamber of Com-
 merce and talk with someone who can
• share his or her knowledge of the local
 business community.
Suggest coffee or ask for a short,
informational meeting to introduce
yourself and the Community Advisory
Group. Briefly explain what you are
tryingto accomplish. If you can, outline
one or more specific projects for which
you are seeking support. Ask a leader
from the Kiwanis, Lions, Rotary Club,
or Chamber of Commerce if their
group would be willingto directly
supportyour activities, but don't stop
there.

It is equally importantto ask for
referrals and introductionsto other
prospects. Does he or she know any
other organizations or companies that
might supportyour work? Who is the
key person with whom you should talk?
Wouldhe or she be willingto make a
phone call or to introduceyou to the
people you need to talk to?

Introductionsto other potential funders
are extremely important, because most
local funding decisions are made based
on personal relationships. Avoid making
"cold calls" to potential funders. It is
much better to talk to someone you
know personally or to whom you have
been personally referred, and have him
or her introduce you the most appropri-
ate contact.
Contacting Prospective
Funders

Once you have identifieda
prospectand an appropriate
contact person, ask for a short
introductory meeting to learn
more about the company's giving
programs. Be prepared to make
a short but effective case that
"sells" the Community Advisory
Group's value to the community.

Be specific. It is much easier to
get funding for specific purposes
than for general support.
Describe one or more projects for
which you are seeking support. For
example, you might explain that the
Community Advisory Group wants to
increase
community participation in the decision-
making process and is seeking $500 to
start a newsletter, or to mail some
information that will help accomplish
that goal. Ask if the company would
consider a fundingrequest. To whom
should the request be directed? Is there
an application to fill out or a specific
proposal format you must use? When
is the best time to apply?

Don't overlook opportunities to seek
and receive non-cash support in the
form of donated property, services, or
volunteer hours. Often this support can
be as valuable as cash. ^See the
"Meet the Community Advisory
Group" section for more informa-
tion on how businesses and others
in the community can provide this
kind of support.

Funds from local companies usually are
awarded at the discretion of the local
plantmanager,thedirectorofpublicor
community relations, the government
 SCflTMlA
               -28-
                     •T r-, -  «. $*.
                  #.%"•*   f iy* *•
                    September 1998

-------
                                    The best way to find and obtain federal
                                    and state funds is through local
relations office, or a local committee.
A complicated application usually is not
required. However, you should prepare
a short, written proposal that explains
how your program will effectively
address a critical problem. Preparing a
good proposal is the single most
important step you can take to attract
fundingto your Community Advisory
Group. ^Information on how to
write a proposal is provided in Part
2 of this Toolkit for your conven-
ience.

Developing ongoing personal relation-
ships with the people who make
funding decisions is critical. Keep up
the contacts you have made. Touch
base on a regular basis, even if your
first meeting did not result in success.
Something could come up later, or he
or she could provide an importantlead
in the future.

Funding from  Federal
and State  Governments

Federal and state funding sources are
very limited, and eligibility often is
restricted to certain agencies and
organizations. However, your Commu-
nity Advisory Group can overcome this
by forming a partnership with an
agency that is eligible. The key is being
flexible and creative in your approach
tofundraising.
networking. Talk to people in the
community who are likely to know
about federal or state programs. The
best prospects are local elected
officials and their staffs. Also contact
local agencies that work on the same
kinds of issues as the Community
Advisory Group. The environmental
engineering or environmental education
departments of a local college or
university also can provide potential
leads.

Schedule a brief meeting to introduce
these local contacts to the Community
Advisory Group. Ask if they know of
any federal or state programs that
address goals and objectives similarto
yours. Ask for referrals. Are there
project ideas that you can work on
together as a team? Who else should
you talk to? Would your contact help by
introducing you to these other people?

Identifying Sources of Federal and
State Funding

There are only a few federal and state
programs that make grants directlyto
local community organizations. One
example is the "Health Connection
Project" sponsored by the National
Institutes of Health (NIH)
National Center for Research
Resources. Grants of up to
$10,000 are available to coalitions
of religious and/or community
groups for health education
programs. For more information,
contactBrendaFiles or Edward
Gonzales of the American
Associationfor the Advancement
of Science at 202-326-6783 or
e-mail: bfiles@aaas.org.

Keep in mind that this and olher
government grant programs are
subject to funding by Congress,
                                                                 L
and most have a limited duration. Grants
may be offered only on a one-time basis
or only over a short period.

Community Advisory Groups are not
eligible to apply directly for most
federal or state programs. But, certain
local agencies are eligible to apply. Find
out who they are and team up with
them. Sometimes, they will include
your project in their funding application
or can support your efforts directly
using the funds they receive. This is an
excellent opportunity to build strong
working relationships with key local
and state agencies.

For example, the federal Community
DevelopmentBlock Grant (CDBG)
program provides funds to promote
urban developmentand provide decent
housing and a suitable living environ-
ment. CDBG funds support a variety
of community economic development
and housing-related projects and
provide economic opportunities for
low- and moderate-income people.
Funds are awarded to metropolitan
cities and urban counties, or to the
states for rural areas. They, in turn,
September 1998

-------
 support projects undertaken by
 local governments and private
 "subgrantees." Generally, the city or
 county department of housing or
 community development is the local
 agency eligible for funding. Start by
 making contacts withpeople in these
 agencies.

 Is your site located in a federally or
 state-designatedEmpowermentZone
 (EZ), Enterprise Community (EC),
 Supplemental ErnpowermentZone or
 Enhanced Enterprise Community? If
 so, there may be funding available
 through the federal government'sEZ/
 EC Program for some Community
 Advisory Group activities. These
 designations also can triggeraccess to
 a variety of other federal and state
 programs that promote economic
 development and empowerment in
 designated areas with pervasive
 poverty, unemployment and general
 duress. Strong community participation
 is a major emphasis.

 Community-based organizations,
 businesses, schools, and service
 organizationsservingtheseEZ/EC
 areas may be eligibleto participate in
 the community development plan and
 receive support for community and
 neighborhood revitalization projects.
 Similar programs funded by individual
 states exist in many areas. Contact
 yourhousingand community develop-
 ment departmentsto see if your
 community qualifies and to getmore
 information.
SeaTiilA
 If your Community Advisory Group is
 dealing with health education or public
 health issues, you also should contact
 your local health department and social
 service agencies. These agencies can
 tap into a number of federal and state-
 funded public health-related programs.
 For example, the Centers for Disease
 Control of the U.S. Public Health
 Service offers grants for public health
 programs in specific categories.
 Contactyour local health departmentto
 see if health education activities or
 other health-related activities could
 qualify for support

 State and local departments of health
 can apply for funding under the Mater-
 nal and Child Health Block Grantto
 address health-relatedissues for low-
 income women and children. Commu-
 nity organizations can receive
 subgrants for local programs that
 promote childhood health, particularly
 among low-income populations.

 The Preventive Health and Health
 Services Block Grant supports a number
 of preventive health services and educa-
 tional programs. Here, too, local nonprofit
 community organizations may qualify for
 subgrants for projects that meet the
 objectives ofthe overall program.
 Contact your local health department or
 social service department.
Local community action agencies
(CAAs) receive fundingthroughthe
federal Community Services Block Grant
program and other federal and state
programs targeted to low-income
people. These local social service
agencies can become allies for Commu-
nity Advisory Groups in many communi-
ties. Many CAAs have experience
promoting community participation and
could be excellent partners in your
environmental education and community
outreach efforts. CAAs have many
different names: community action or
economic opportunity programs, boards,
or commissions are most common. If
you are unable to find a local listing, the
National Association of Community
Action Agencies can help you. Call
them at (202) 265-7546.

The Federal Surplus Property Program
makes available to local governments,
educational institutions and nonprofit
organizations federal surplus property
from fire trucks to office machines.
Property must be used for public
purposes. Contact your state's surplus
property agency to inquire about
eligibility and about items available at
anytime.

National  Foundations
and  Corporate Giving
Programs

There are nearly 25,000 grants-making
foundations in the United States.
Competitionfor these grants can be
stiff, and proposed projects usually
must fall into specific categories.

Once again, it is on the local level that
most ofthe action takes place. Large
               -30-
                   September 1998

-------
well-known foundations and corpora-
tions have more money to give away
and make larger grants, but they
comprise only a small part of the
foundationpicture. The vast maj ority of
foundations are quite small and limit
givingto certain geographical areas.
Most corporate giving programs
restrictfundingto projects in areas in
which they maintain plants, and grants
are made at the local-plant level rather
than by the corporate headquarters.

There are a few small national founda-
tions that are potential funders for
Community Advisory Groups. For
example, the Ben & Jerry'sFoundation
supports community-based and envi-
ronmental programs, includingthose
that promote public participation.
Contact the nearest Ben & Jerry's Ice
Cream store for more information. The
National Environmental Education and
Training Foundation provides grants to
local community-based organizations to
support projects promoting informed
local environmental decision-making
and to leverage fundingfrom other
sources. Call 202-628-8200 for applica-
tion guidelines.

An importantfactor to consider before
exploring foundation funding is that this
funding usually is restricted to nonprofit
organizations with a 501(cX3) designa-
tion from the Internal Revenue Ser-
vice. Some corporate givingprograms
may have less stringentrestrictions.

The key to accessingfoundationand
corporate funding is doing your
September 1999
homework. Again, the best place to
start is by networking locally and asking
people who may be familiar with
potential funders. After that, the next-
best place is a Foundation Center
Library. Foundation libraries are
maintained inNew York, Washington,
D.C., and other major cities, and in a
number of major universities. Forthe
location of the nearest Foundation
Center Library, contact the Foundation
Center Library Services, 79 Fifth Ave.,
New York,New York 10003-3076,212-
6204230.

The Foundation Center libraries are
easy to use. You can view a short
training video that shows you how to
use the reference materials. Start by
identifying foundations with an interest
in your subj ect area and which make
awards in your geographical area.
Look at information for each potential
foundation individually to see if your
project fits into their ftindingprofile. If
there is a good fit, write or call each
foundation directly to request applica-
tion guidelines.

Additional  Resources:

Guide to Proposal Writing by Jane C.
Geever and PatriciaMcNeill is avail-
able from The Foundation Center, 79
Fifth Avenue, Department JJ, New
York, New York 10003-3076. Cost:
$34.95, plus postage and handling. For
more information or to order by phone,
call 1-800-807-3677.

The nine-part Nonprofit Management
Series, available from Independent
Sector Publications, includes an
individual publication onFundraising
(#7). Cost: $5.00 each for individual
publications, or $35.00 for the nine-
volume set, plus postageand handling.
Call IndependentSector Publications at
301-490-3229 for more information or
write to them at Independent Sector
Publications, P.O. Box 451, Annapolis
Junction, Maryland 20701.
               -31- -

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How To
Write a
Proposal
September 1998
-TOOIA1-

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        Cover lener
                                                               Write
                                              a   ProposaC
September 1998
                      Finding funds to support the work of the Community Advisory Group is essential to its
                      long-term success.  There are a variety of funding sources available to Community
                      Advisory Groups, ranging from local foundations  and corporate-giving programs to
                      national charitable foundations and the federal government.

                      No matter what the source, getting funds usually requires developing a proposal in
                      which you make a case for funding the organization as a whole or a specific project.

                      The following is an outline for use in preparing an effective proposal, one that helps
                      you "sell" your idea.  Each section contains several questions.  Your answers to these
                      questions will provide the information to include in each section of your proposal.

                      You can find more information on how to find funding to support your Community
                      Advisory Group in Part 1 of this Toolkit.
Prepare a cover letter on your Community Advisory Group's letterhead. If you
do not have printed stationery, you can create your own on a computer. If that is
not possible, simply type the name and address of your Community Advisory
Group at the top of the page. In about three paragraphs, your cover letter should
summarize your request. The opening paragraph should be a sentence or two
indicating that the Community Advisory Committee is submitting the enclosed
proposal.

The middle paragraph is a short "sales pitch" to the prospective funder. This
paragraph should answer the following questions:

  • What is the name or title of your proposed project?
  • What is the dollar amount you are requesting?
  • What will the funding be used to do?
  • Will the project result in the development of a specific "product"?
   If so, what?
  • Specifically, what will the requested funds allow the Community Advisory
   Group to do?
  • What are the expected benefits to the community?
  • What are the expected benefits to the funder?
                  -TOBIAS-

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         Proposal
         Summary
      Introduction
          Problem
   Statementand
      Assessment
           ofNeed
September 1998
                     In the closing paragraph, thank the funder for the opportunity to submit the
                     proposal and offer to provide further information. Include a phone number and
                     other contact information.
Describe the key points of the proposed project in a concise paragraph. The
proposal summary, the first paragraph of your proposal, is the most important   \
paragraph and often is the sole basis for judgment that gets a proposal to the next •
step in the review process. Answer the following questions in your summary:    ;•

  • What do you plan to do?
  • Why do you plan to do it?
  • How will the proposed project address a documented need in the
    community?
  • What benefits will result? ...to the Community Advisory Group? ...to the
    community?
  • What type of supporter amount of funding are you requesting (for  example,
    basic organizational support, money for a specific project, "seed money" to
    raise funds from other sources)?
Provide a brief introduction to the Community Advisory Group as the applicant
organization. Answer the following questions:

  • What is the name of the Community Advisory Group?
  • Does it have 501(c)(3) status from the Internal Revenue Service? (This
   designation is required by most grants-making organizations.)
  • What is the overall purpose of the organization? (Use your Mission
   Statement.)
  • When was your Community Advisory Group formed?
  • What is your basic organizational structure?
  • Have you had significant accomplishments or prior successes that would
   add credibility to your request?
Briefly describe the site, the affected community, and the specific aspects of
the problem you plan to address. Answer these questions:

  • Where is the site?
  • What is the nature of the contamination and what conditions have resulted?
  • How many people are affected?
  • How are they affected?
  • What is the specific problem you are trying to address with requested
   funds?
  • What are the reasons you have chosen to address this particular problem or
   aspect of the problem? Why do you need to address the problem or aspect
   of the problem?
                    -TOOlM-

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       Program
     Objectives
       Methods
                       Who will benefit? How would you describe the affected community in
                       terms of family size and composition? Are there many families with
                       children?...senior citizens?...income levels? (Are there many low-income
                       people?) Are there specific groups within the community that will benefit
                       from the proposed project?
In a sentence or two, tell what outcomes are expected in terms of achievable,
measurable goals. Answer these questions:

  • What do you hope to accomplish?
  • What are the specific goals or outcomes from your proposed project?
  • How will what you plan to do specifically address the problems identified
   in the Problem Statement and Assessment of Need?
In a couple of paragraphs, summarize what you plan to do and when you plan to
do it. Answer the following questions:

  • What is your overall approach or project plan?
  • Why did you choose this particular approach over other alternatives?
   (What factors affected your decision? Has the Community Advisory Group
   or another similar organization had previous experiences that support your
   decision to do things in the manner you propose?)
  • Who will manage the project? What is his/her position in the organization?
   Why is he/she qualified to manage the project?
  • Why do you think the methods you chose will work?
  • What specific activities or tasks will be necessary to accomplish your
   objectives?
  • What is your time line for accomplishing each objective?
Describe how you will evaluate your project. Answer these questions:

  • What are the specific objectives or accomplishments for your project?
  • What specific measures will you use to determine progress towards each
   objective or accomplishment?
  • What information will you collect for each specific measure?
  • Will you provide periodic progress reports to the funder? How often? What
   information will be included in each progress report?
Explain how your activities will be sustained once initial funding is exhausted.
Most funders will not support a project that does not show any prospect for
continuing beyond the initial grant period. In this section, answer the following  I
questions:
September 1998                             -TOOlAS-
     Evaluation
 Future Funding

-------
        Budget
                      How do you plan to finance the project after the requested funding is used?
                      Are there other sources of funding or support for the project? If so, what
                      are they?
                      Are you raising funds from other sources? From whom? How will fundraising be
                      conducted?
Provide a detailed and realistic budget showing all expenditures necessary for
the program. Use the following categories as a guide:
Personnel/Services
Rent
Supplies
Equipment
Printing
Postage and Mailing
Travel
Telephone
Other
Labor costs, including allocated portion of salaries of
paid staff, if any, temporary help, consultants, or others
working on the proposed project.
Office space or meeting space, if applicable.
Office supplies for proposed project, and specific
supplies necessary for proposed project.
Computer, fax, phone, slide projector, video player, if
applicable. Include any special equipment to be
purchased or leased specifically for the proposed project.
Xeroxing, printing, duplicating slides, overhead transpar-
encies, etc. for presentations.
Postage, handling, shipping, and messenger services.
Local: mileage (a), rate/mile, taxis, public transportation
for travel necessary for proposed project.
Non-local: mileage (5), rate/mile, rail or plane fares,
lodging and food costs for required out-of-town travel.
Cost of a phone line, long-distance calls, fax,
on-line services.
Costs and expenses not included in other categories.

September 1998
                                                -TOOIA6-

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Community
Advisory
Group:
Our Voice in
EPfl Decisions
[Presentation]
September 1998
-T001B1-

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s
"3

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Community Advisory Group
 Our Voice in EPA Decisions

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What the Community Advisory Croup Is
   A way for all parts of the community
   to participate actively in decisions about site
   cleanup and other environmental issues

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Why We Have One
  Have a real voice in decision-making

  Discuss full range of community concerns
  about cleanup

  Present community views and concerns to
  EPA, State and Tribal agencies, others

  Get up-to-date information about status of
  cleanup and other activities at the site

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What We Do
  Hold meetings with community residents
  Review technical information
  Meet with EPA and State officials
  Work together to solve environmental
  problems

-------
Keys To Success
  Participation by all parts of the community
  Open to all viewpoints
  Patience and persistence
  Support from the whole community

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What You Can Do
• Come to meetings and speak up
• Encourage others to participate
• Help us inform others about environmental
  problems and the cleanup process
• Provide information and expertise
• Provide financial or other support

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Community
Advisory
Group:
Oar Voice in
EPff Decisions
[Script Notes]
September 1998
-Teal 61-

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-T80IG2-

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             Community Advisory Group
                Our Voice in EPA Decisions
                  COMMUNITY ADVISORY GROUP
                      Our Voice in EPA Decisions
                      Script Notes for Presentation


The purpose of the presentation slides is to introduce the audience to your Community
Advisory Group. Following is a replica of each slide and suggestions about the type of
information to provide in discussing each.
To be effective, keep your remarks brief;  10-15 minutes is best. Encourage people in the
audience to ask questions and leave time for answering them. These notes are to help you
plan what you want to talk about as you show each slide.

-------

-------
            What the Ciimmunity Advisory Group Is
               A way for all parts of the community
               to participate actively in decisions about site
               cleanup and other environmental issues
                             Slide 1


Explain the mission of your Community Advisory Group. If you have a formal mission
statement, read it to your audience. If not, briefly state the purpose for which the
Community Advisory Group was formed. Tell how many members you have, who they are,
and how they were selected.

-------
            Why We Have One
             Have a real voice in decision-making

             Discuss full range of community concerns
             about cleanup

             Present community views and concerns to
             EPA, State and Tribal agencies, others

             Get up-to-date information about status of
             cleanup and other activities at the site
                            Slide 2


Explain why it is important for the community to have a voice in decision-making.
Name two or three of the most important issues or concerns that your Community
Advisory Group is working on.

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            What We Dm
               Hold meetings with community residents
               Review technical information
               Meet with EPA and State officials
               Work together to solve environmental
               problems
                              SlideS


Tell the audience where and how often you hold meetings with community
residents. Tell them how to find out about meetings in the future. Explain what
kinds of technical information you review and how you do that. For example, do
some members of the Community Advisory Group have technical expertise or
experience with the site that helps you? Are there other technical experts you rely
on? Do you meet or talk with EPA and State officials regularly?

-------
             Keys To Success
                Participation by all parts of the community
                Open to all viewpoints
                Patience and persistence
                Support from the whole community
                              Slide 4


Tell the audience that it is very important for everyone to come to Community
Advisory Group meetings and express their views. Explain that, although the
cleanup process can be long and complicated, the members of the Community
Advisory Group are committed to stick it out and will keep them informed each step
of the way. Emphasize that the community's voice in the decisions is stronger when
the whole community participates in the process.

-------
             What You Can Do


                Come to meetings and speak up
                Encourage others to participate
                Help us inform others about environmental
                problems and the cleanup process
                Provide information and expertise
                Provide financial or other support
                               Slides


This is the most important part of your message. Invite everyone to get involved,
and give them specific ideas about how they can support the Community Advisory
Group's work. Emphasize that the single most important thing people can do is to
come to meetings and express their opinion. Let them know every citizen's view is
important. Remind them where and when the next meeting will be held. Let them
know how to reach you and other members if they cannot get to the meeting.
Suggest other ways for people to get involved. For example, long-tune residents
may have information about the site and its history that may be extremely useful.
People who belong to civic and other organizations in the community may be able
to help you spread the word about your meeting dates and times. Still others may be
able to help you get the local newspaper or television station to write about the
Community Advisory Group's work.
Leave plenty of tune for questions and comments from the audience. Make sure
people know how to reach the Community Advisory Group members to get more
information.

-------

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Operating
P raced a ires
September 1998
-TeolDI-

-------

-------
         Name and
          Duration

       Membership
        leadership
                Operating 'Proceduresfor
                                      Community
                          Advisory  Qroup
                    NOTE: Folio-wing is a suggested format for use in preparing the Operating Proce-
                    dures for your Community Advisory Group. Each section contains several questions.
                    The answers to these questions should be the information you include in each
                    section of your procedures.

                    You can find more information on developing operating procedures in Part 1 of
                    this Toolkit.
September 1998
What are you going to call the Community Advisory Group?
Will the Community Advisory Group exist for a specific period of time?
How many members will the Community Advisory Group have?
What, if any, are the special qualifications for membership?
Should the Community Advisory Group membership have a specified
composition (e.g., members from particular areas or groups in the
community)?
How will members be chosen? Will elections be held? How often?
For what term will members serve?
How will vacancies be filled?
What are the roles and responsibilities of Community Advisory Group
members?
Under what circumstances would a member be replaced? What procedures
would be used?
Will you have a chairperson or chairpersons?
Will you have an executive board? If so, what will be its composition?
How will leaders be chosen?
For what term will leaders serve?
What, if any, are the special qualifications for leadership positions?

           -TOOID3-

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            Meetings
            ResoMng
               Issues
                           How will leadership vacancies be filled?
                           What are the roles and responsibilities of the chairperson, board
                           members, or other leaders?
                           Under what circumstances would a leader be replaced? What proce-
                           dures would be used?
When and how often will the Community Advisory Group meet?
Where will Community Advisory Group meetings be held?
How will meetings be announced and publicized?
Will the public be invited to all meetings?
Will you hold additional meetings for members only or other types of
special meetings?
What will be the basic format for meetings?
Will you use Robert's Rules of Order or other procedures to govern
meetings?
How will records of the meetings be kept? Will meeting minutes be
prepared?
Will minutes be made available to the public? If so, where and when?

How will members make decisions? By consensus? Majority rule?
Some other means?
Are there some decisions that can be made by the chairperson, the
board, or some other subgroup of the total membership? If so, which
ones? Under what circumstances?
How can changes to operating procedures be made?

September 1998
                    -TOOID4-

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IRS Form SS-4
for Applying
for Employer
ID
September 1998
-loom-

-------

-------
 Form
       SS-4
 (Rev. December 1995)
 Department of tne Treasury
 Internal Revenue Service
Application for  Employer Identification  Number
(For use by employers, corporations, partnerships, trusts, estates, churches,
  government agencies, certain individuals, and others. See instructions.)
                        Keep a copy for your records.
       1   Name of applicant (Legal name) (See instructions.)
                                                                                                           EIN
  OMB No. 1545-0003
          Trade name of business (if different from name on line 1)
      4a  Mailing address (street address) (room, apt., or suite no.)
      4b  City, state, and ZIP code
      6   County and state where principal business is located
                                     3   Executor, trustee, "care of" name
                                                                  5a  Business address (if different from address on lines 4a and 4b)
                                     5b City, state, and ZIP code
      7  Name of principal officer, general partner, grantor, owner, or trustor— SSN required (See instructions.)
  8a  Type of entity (Check only one box.) (See instructions.)    D  Estate (SSN of decedent)
      D Sole proprietor (SSN) 	i	;	   Q  Plan administrator-SSN
      D Partnership              D  Personal service corp.   D  Other corporation (specify)
      D REMIC                  D  Limited liability co.       D  Trust
      D State/local government    D  National Guard
      CD Other nonprofit organization (specify)
      D Other (specify) »•
                                                             LJ Farmers' cooperative
                               Lj  Federal Government/military d Church or church-controlled organization
                                            _ (enter GEN if applicable)	
  8b  If a corporation, name the state or foreign country
      (if applicable) where incorporated
                         State
                                                                 Foreign country
  9   Reason for applying (Check only one box.)
      D Started new business (specify) *-	
      LJ Hired employees
      D Created a pension plan (specify type)
                               D  Banking purpose (specify) *•	
                               L_!  Changed type of organization (specify) >•.
                               D  Purchased going business
                               CU  Created a trust (specify) >•
10    Date business started or acquired (Mo., day, year) (See instructions.)
                                                                                              Other (specify)
                                                   11 Closing month of accounting year (See instructions.)
12    First date wages or annuities were paid or will be paid (Mo., day, year). Note: If applicant is a withholding agent, enter date income will first
13
Highest number of employees expected in the next 12 months. Note: If the applicant does
not expect to have any employees during the period, enter -0-. (See instructions.) *•
Nonagri cultural
Agricultural
Household
15    Is the principal business activity manufacturing? .
      If "Yes," principal product and raw material used
                                                                                 D  Yes     D No
16    To whom are most of the products or services sold?  Please check the appropriate box.
      D Public (retail)	D  Other (specify) >•
                                                                    Business (wholesale)
                                                                                             D N/A
17a   Has the applicant ever applied for an identification number for this or any other business?
      Note: // "Yes,"please complete lines T7b and 77c.
                                                                                 D  Yes     D No
17b   If you checked "Yes" on line 17a. give applicant's legal name and trade name shown on prior application, if different from line 1 or 2 above.
      Legal name >	Trade name »• 	
17c   Approximate date when and city and state where the application was filed. Enter previous employer identification number if known.
      Approximate date when filed (Mo., day, year)  City and state where filed                                     Previous EIN
Under penalties of perjury. I declare that I have examined this application, and to the best of my knowledge and belief, it is tme. correct, and complete.
Name and title (Please type or print clearly.) >•
                                                                       Business telephone number ftndude area code)
                                                                                                    Fax telephone number (include area code)
Signature
                                                                                             Date
                                        Note: Do not write below this line. For official use only.
Please leave
blank »•
Geo.
Ind.
Class
Size
Reason for applying
For Paperwork Reduction Act Notice, see page 4.
                                           Cat. No. 16055N
Form  SS-4  (Rev. 12-95)

-------
 Form SS-4 (Rev. 12-95)
                                                                                                                    Page 2
 General Instructions
 Section references are to the Internal
 Revenue Code unless otherwise noted.

 Purpose of Form
 Use Form SS-4 to apply for an employer
 identification number (EIN). An EIN is a
 nine-digit number (for example,
 12-3456789) assigned to sole proprietors,
 corporations, partnerships, estates, trusts,
 and other entities for filing and reporting
 purposes. The information you provide on
 this form will establish your filing and
 reporting requirements.

 Who Must File
 You must file this form if you have not
 obtained an EIN before and:
 • You pay wages to one or more
 employees including household employees.
 • You are required to  have an EIN to use
 on any return, statement, or other
 document, even if you are not an
 employer.
 • You are a withholding agent required to
 withhold taxes on income, other than
 wages, paid to a nonresident alien
 (individual, corporation, partnership, etc.).
 A withholding agent may be an  agent,
 broker, fiduciary, manager, tenant, or
 spouse, and is required to file Form 1042,
 Annual Withholding Tax Return for U.S.
 Source Income of Foreign Persons.
 •  You file Schedule C, Profit or Loss From
 Business, or Schedule F, Profit or Loss
 From Farming, of Form 1040, U.S.
 Individual Income Tax  Return, and have a
 Keogh plan or are required to file excise,
 employment information, or alcohol,
 tobacco, or firearms returns.
  The following must use EINs even if they
 do not have  any employees:
 •  State and  local agencies who serve as
 tax reporting agents for public assistance
 recipients, under Rev. Proc. 80-4, 1980-1
 C.B. 581, should obtain a separate EIN for
 this reporting. See Household employer
 on page 3.
 • Trusts, except the following:
  1. Certain grantor-owned revocable
 trusts. (See the Instructions for Form
 1041.)
  2. Individual Retirement Arrangement
 (IRA) trusts, unless the trust has to file
 Form 990-T, Exempt Organization
 Business Income Tax  Return. (See the
 Instructions for Form 990-T.)
  3. Certain trusts that are considered
 household employers can use the trust EIN
 to report and pay the social security and
 Medicare taxes. Federal unemployment tax
 (FUTA) and withheld Federal income tax. A
 separate EIN is not necessary.
 • Estates
• Partnerships
• REMICs (real estate mortgage
investment conduits) (See the Instructions
for Form 1066, U.S. Real Estate Mortgage
Investment Conduit Income Tax Return.)
• Corporations
 • Nonprofit organizations (churches, clubs,
 etc.)
 • Farmers' cooperatives
 • Plan administrators (A plan administrator
 is the person or group of persons specified
 as the administrator by the instrument
 under which the plan is operated.)

 When To Apply for a  New
 EIN
 New Business.—If you become the new
 owner of an existing business, do not use
 the EIN of the former owner. IF YOU
 ALREADY HAVE AN EIN, USE THAT
 NUMBER. If you do not have an EIN, apply
 for one on this form. If you become the
 "owner" of a corporation by acquiring its
 stock, use the corporation's EIN.
 Changes  in Organization or
 Ownership.—If you already have an EIN,
 you may need to get a new one if either
 the organization or ownership of your
 business changes.  If you incorporate a
 sole proprietorship or form a partnership,
 you must get a new EIN. However, do not
 apply for a new EIN if you change only the
 name of your business.
 Note:  If you are electing to be an
 "S corporation," be sure you file Form
 2553,  Election by a Small Business
 Corporation.
 File Only One Form SS-4.—File only one
 Form SS-4, regardless of the number of
 businesses operated or trade names under
 which  a business operates. However, each
 corporation in an affiliated group must file
 a separate application.
 EIN Applied For, But Not Received.—If
 you do not have an EIN by the time a
 return is due, write  "Applied for" and the
 date you applied in the space shown for
 the number. Do not show your social
 security number as an EIN on returns.
  If you do not have an EIN by the time a
 tax deposit is due, send your payment to
 the Internal Revenue Service Center for
 your filing area. (See Where To Apply
 below.) Make your check or money order
 payable to Internal Revenue Service and
 show your name (as shown on Form SS-4),
 address, type of tax, period covered, and
 date you applied for an EIN. Send an
 explanation with the deposit.
  For more information about EINs, see
 Pub. 583, Starting a Business and Keeping
 Records, and Pub.  1635, Understanding
 Your EIN.

 How To Apply
 You can apply for an EIN either by mail or
 by telephone. You can get an EIN
 immediately by calling the Tele-TIN phone
 number for the service center for your
 state, or you can send the completed Form
 SS-4 directly to the service center to
receive your EIN in the mail.
Application by Tele-TIN.—Under the
Tele-TIN program, you  can receive your
 EIN over the telephone and use it
immediately to file a return or make a
payment. To receive an EIN by phone,
complete Form SS-4, then call the
 Tele-TIN phone number listed for your
 state under Where To Apply. The person
 making the call must be authorized to sign
 the form. (See Signature block on page

  An IRS representative will use the
 information from the Form SS-4 to
 establish your account and assign you an
 EIN. Write the number you are given on the
 upper right-hand corner of the form, sign
 and date it.
  Mail or FAX the signed SS-4 within 24
 hours to the Tele-TIN Unit at the service
 center address for your state. The IRS
 representative will give you the FAX
 number. The FAX numbers are also listed
 in Pub. 1635.
  Taxpayer representatives can receive
 their client's EIN by phone if  they first send
 a facsimile (FAX) of a completed Form
 2848, Power of Attorney and Declaration of
 Representative, or Form 8821, Tax
 Information Authorization, to the Tele-TIN
 unit. The Form 2848 or Form 8821 will be
 used solely to release the EIN to the
 representative authorized on the form.
 Application by Mail.—Complete Form
 SS-4 at least 4 to 5 weeks before you will
 need an EIN. Sign and date the application
 and mail it to the service center address
 for your state. You will receive your EIN in
 the mail in  approximately 4 weeks.

 Where To Apply
 The Tele-TIN phone numbers listed below
 will involve a long-distance charge to
 callers outside of the local calling area and
 can be used only to apply for an EIN. THE
 NUMBERS MAY CHANCE WITHOUT
 NOTICE. Use 1-800-829-1040 to verify a
 number or to ask about an application by
 mail or other Federal tax matters.

                       Call the Tele-TIN
If your principal business,   phone number
office or agency, or legal    shown or file with
residence in the case of an  the Internal Revenue
individual, is located in:     Service Center at:
Florida, Georgia,
South Carolina
New Jersey, New York
City and counties of
Nassau, Rockland,
Suffolk, and Westchester
New York (all other
counties). Connecticut.
Maine. Massachusetts,
New Hampshire. Rhode
Island, Vermont
Illinois. Iowa, Minnesota,
Missouri, Wisconsin
Delaware, District of
Columbia, Man/land.
Pennsylvania. Virginia
Indiana, Kentucky,
Michigan. Ohio, west
Virginia
Kansas, New Mexico.
Oklahoma, Texas
Attn: Entity Control
Atlanta, GA 39901
(404) 455-2360
Attn: Entity Control
Holtsville. NY 00501
(516) 447-4955
Attn: Entity Control
Andover, MA 05501
(508) 474-9717
Attn: Entity Control
Stop 57A
2306 E. Bannister Rd.
Kansas City, MO 64131
(816) 926-5999
Attn: Entity Control
Philadelphia. PA 19255
(215) 574-2400
Attn: Entity Control
Cincinnati. OH 45999
(606) 292-5467
Attn: Entity Control
Austin. TX 73301
(512) 460-7843

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  Form SS-4 (Rev. 12-95)
                                                                                                                         Page 3
 Alaska, Arizona. California
 (counties of Alpine, Amador.
 Butte. Calaveras. Colusa. Contra
 Costa. Del None. El Dorado.
 Glenn, Humboldt. Lake. Lessen.
 Marin, Mendocino. Modoc.     Ann: Entity Control
 Napa. Nevada. Placer, Plumas.    Mail Stop 6271-T
 Sacramento. San Joaquin,          P.O. Box 9950
 Shasta. Sierra, Sisktyou. Solano.  Ogden, UT 84409
 Sonoma. Sutter. Tehama, Trinity.    (801) 620-7645
 Yob. and Yuba), Colorado.
 Idaho. Montana, Nebraska,
 Nevada. North Dakota.  Oregon.
 South Dakota. Utah.
 Washington. Wyoming
 California (all other
 counties), Hawaii
 Attn: Entity Control
  Fresno. CA 93888
    (209) 452-4010
 Alabama. Arkansas,
 Louisiana, Mississippi,
 North Carolina. Tennessee
 AKn: Entity Control
Memphis. TN 37501
    (901) 365-5970
   If you have no legal residence, principal
 place of business, or principal office or
 agency in any state, file your form with the
 Internal Revenue Service Center,
 Philadelphia, PA 19255 or call
 215-574-2400.

 Specific Instructions
 The instructions that follow are for those
 items that are not self-explanatory. Enter
 N/A (nonapplicable) on the lines that do
 not apply.
 Line 1.—Enter the legal name of the entity
 applying for the EIN exactly as it appears
 on the social security card, charter,  or
 other applicable legal document.
   Individuals.—Enter the first name,  middle
 initial, and last name. If you are a sole
 proprietor, enter your individual name, not
 your business name. Do not use
 abbreviations or nicknames.
   Trusts.—Enter the name of the trust.
   £srate of a decedent.—Enter the name
 of the estate.
   Partnerships.—Enter the legal name of
 the partnership as it appears in the
 partnership agreement. Do not list the
 names of the partners on line 1. See the
 specific instructions for line 7.
   Corporations.—Enter the corporate name
 as it appears in the corporation charter or
 other legal document creating it.
   Plan administrators.—Enter the name of
 the plan administrator. A plan administrator
 who already has an EIN should use that
 number.
 Line 2.—Enter the trade name of the
 business if different from the legal name.
 The trade name is the "doing business as"
 name.
 Note: Use the full legal name on line 7 on
 all tax returns filed for the entity. However,
 if you enter a trade name on line 2 and
 choose to use the trade name instead of
 the legal name, enter the trade name on all
 returns you file. To prevent processing
 delays and errors, always use either the
 legal name only or the trade name only on
 all tax returns.
 Line 3.—Trusts enter the name of the
trustee. Estates enter the name of the
executor, administrator, or other fiduciary.
 If the entity applying has a designated
person to receive tax information, enter
that person's name as the "care of"
 person. Print or type the first name, middle
 initial, and last name.
 Line 7l—Enter the first'rtame, middle initial,
 last name, and social security number
 (SSN) of a principal officer if the business
 is a corporation; of a general partner if a
 partnership; or of a grantor, owner, or
 trustor if a trust.
 Line 8a.—Check the box that best
 describes the type of entity applying for
 the EIN. If not specifically mentioned,
 check the "Other" box and enter the type
 of entity. Do not enter N/A.
   Sole proprietor.—Check this box if you
 file Schedule C or F (Form 1040) and have
 a Keogh plan,  or are required to file excise,
'employment, information, or  alcohol,
 tobacco, or firearms returns. Enter your
 SSN in the space provided.
   REMIC.—Check this box if the entity has
 elected to be treated as a real estate
 mortgage investment conduit (REMIC). See
 the Instructions for Form 1066 for more
 information.
   Other nonprofit organization.—Check this
 box if the nonprofit organization is other
 than a church or church-controlled
 organization  and specify the  type of
 nonprofit organization (for example, an
 educational organization).
   If the organization also seeks tax-exempt
 status, you must file either Package 1023
 or Package 1024, Application for
 Recognition of Exemption. Get Pub. 557,
 Tax-Exempt Status for Your Organization,
 for more information.
   Group exemption number (GEN).—If the
 organization is  covered by a group
 exemption letter, enter the four-digit GEN.
 (Do not confuse the GEN with the nine-digit
 EIN.) If you do  not know the GEN, contact
the parent organization. Get Pub. 557 for
more information about group exemption
numbers.
   Withholding agent.—If you are a
withholding agent required to file Form
1042, check the "Other"  box  and enter
"Withholding agent"
   Personal service corporation.—Check
this box if the entity is a personal service
corporation. An entity is a personal service
corporation for a tax year only if:
•  The principal activity of the entity during
the testing period (prior tax year) for the
tax year is the performance of personal
services substantially by employee-owners,
and
•  The employee-owners own 10% of the
fair market value of the outstanding stock
in  the entity on the last day of the testing
period.
  Personal services include performance of
services in such fields as health,  law,
accounting, or consulting. For more
information about personal service
corporations, see the Instructions for
Form 1120, U.S. Corporation Income Tax
Return, and Pub. 542, Tax Information on
Corporations.
  Limited liability co.—See the definition of
limited liability company in the Instructions
for Form 1065. If you are classified as a
partnership for Federal income tax
  purposes, mark the "Limited liability co."
  checkbox. If you are classified as a
  corporation,for Federal income tax
  purposes, mark the "Other corporation"
  checkbox and write "Limited liability co." in
.  the space provided.
   Plan administrator.—If the plan    •
  administrator is an individual, enter  the
  plan administrator's SSN in the space
  provided.
   Other corporation.—This box is for any
  corporation other than a personal service
  corporation. If you  check this box, enter
  the type  of corporation (such as insurance
  company) in the space provided.
   Household employer.—If you are an
  individual, check the  "Other" box and enter
  "Household employer" and your SSN. If
 you are a state  or local agency serving  as
 a tax reporting agent for public assistance
 recipients who become household
 employers, check the "Other" box and
 enter "Household employer agent." If you
 are  a trust that qualifies as a household
 employer, you do not need a separate EIN
 for reporting tax information relating to
 household employees; use the EIN of the
 trust.
 Line 9.—Check only one box. Do not enter
 N/A.
   Started new business.—Check this box if
 you are starting a new business that
 requires an EIN. If you check this box,
 enter the  type of business being started.
 Do not apply if you already have  an EIN
 and are only adding another place of
 business.
   Hired employees.—Check this box if the
 existing business is requesting an  EIN
 because it has hired or is hiring employees
 and is therefore required to file
 employment tax returns. Do not apply if
you  already have an EIN and are only
 hiring employees. For information on the
applicable employment taxes for family
members, see Circular E, Employer's Tax
Guide (Publication 15).
   Created a pension plan.—Check this box
if you have created  a  pension plan and
need this  number for reporting purposes.
Also, enter the type of plan created.
   Banking purpose.—Check this box if you
are requesting an EIN for banking
purposes  only, and  enter the banking
purpose (for example, a bowling league for
depositing dues or an investment  club for
dividend and interest reporting).
   Changed type of organization.—Check
this box if the business is  changing its type
of organization, for example, if the
business was a sole proprietorship and has
been incorporated or has become a
partnership. If you check this box, specify
in the space provided the  type of change
made, for  example,  "from  sole
proprietorship to partnership."
  Purchased going business.—Check this
box if you purchased an existing business.
Do not use the former owner's EIN. Do
not apply  for a new EIN if you already
have one.  Use your  own EIN.
  Created a trust.—Check this box if you
created a  trust, and enter the type of trust
created.

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 F
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         y  '&• ':-
IRS
Instructions
and  Forms
1023, 872-C,
and  8718 for
Applying  for
Recognition
of Tax-Exempt
Status
September 1998
-Tooin-

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     Department of the Treasury
     Internal Revenue Service
 Application
 for Recognition
 of Exemption

 Under Section
 501(c)(3)of the
 Internal Revenue Code
Contents:
Form 1023 and
 Instructions
Form 872-C
Note: Far the addresses for filing Form 1023,
see Form 8718, User Fee for Exempt
Organization Letter Request. For obtaining an
employer identification number (EIN), see
Form SS~4, Application for Employer
Identification Number.
Package 1023
(Rev. April 1996)
                      Cat No. 47194L

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             Department  of the Treasury
             Internal Revenue Service


   Instructions  for

   Form   1023

   (Revised April  1996)

   Application for Recognition of Exemption
   Under Section 501 (c) (3)  of the Internal
   Revenue Code
   Section references are to the  Internal  Revenue Code unless
   otherwise noted.      	
  Note: Retain a copy of the completed Form 7023 in the
  organization's permanent records. See Public Inspection of Form
   1023 regarding public inspection of approved applications.
  Paperwork Reduction Act Notice.—We ask for the information on
  this form to carry out the Internal  Revenue  laws of the United States.
  If you want your organization to be recognized as tax-exempt by the
  IRS, you are required to give us this information. We need it to
  determine whether the organization meets the legal requirements for
  tax-exempt status.
    The organization is not required to provide the information
  requested on a form that is subject to the Paperwork Reduction Act
  unless the form displays a valid OMB control number. Books or
  records  relating to a form or its instructions must be retained as long
  as their  contents  may become material in the administration of any
  Internal  Revenue law. The rules governing the confidentiality of the
  Form 1023 application are covered in Code section 6104.
   The time needed to complete and file these forms will vary
  depending on individual circumstances. The estimated averaqe times
  are:
 Form           Recordkeeping
 1023 Parts I to IV   55 hr.. 29 min.
 1023 Sen. A        7 hr.. 10 min.
 1023 Sch. B        4 hr.. 47 min.
 1023 Sch. C         5 hr.. 1 min.
 1023 Sch.. D         4 hr., 4 min.
 1023 Sch. E        9 hr.. 20 min.
 1023 Sch. F        z hr.. 39 min.
 1023 Sen. G        2 hr.. 38 min.
 1023 Sch. H        1 hr.. 55 min.
 1023 Sch. I         3 hr.. 35 min.
 872-C             1 hr.. 26 min.
  Learning
about the Jaw
 or the form
 4 hr., 37 min.
     -0- min.
      30 min.
      35 min.
      42 min.
  1 hr.. 5 min.
 2 hr.. 53 min.
     -0- min.
      42 min.
     -0- min.
     24 min.
Preparing, and
 sending the
 form to IRS
  8 hr.. 7 min.
       7 min.
      36 min.
      43 min.
      47 min.
 1 hr.. 17 min.
  3 hr.. 3 min.
       2 min.
      46 min.
       4 min.
      26 min.
   If you have comments concerning the accuracy of these time
 estimates or suggestions for making these forms simpler, we would
 be happy to hear from you. You can write to the Tax Forms
 Committee. Western Area Distribution Center, Rancho Cordova, CA
 95743-0001. DO NOT send the application to this address. Instead,
 see Where To File on page 2.

 General Instructions
 User fee.—A user fee must be paid with determination letter
 requests submitted to the Internal Revenue Service. Form 8718,
 User Fee for Exempt Organization Determination Utter Request
 must be submitted with this application along with the appropriate
 fee as stated on Form 8718. Form 8718 may be obtained through
 your local IRS office or by calling the telephone number given below
 for obtaining forms and publications.
 Helpful information.—For additional information, get Pub. 557,
 Tax-Exempt Status for Your Organization: Pub. 578, Tax Information
 for Private Foundations and Foundation Managers; and Pub. 598,
 Tax on Unrelated Business Income of Exempt Organizations. You
 may also call 1-800-829-4477 to listen to recorded tax information. A
touch-tone telephone is required. Topic JK310, Tax-exempr. status for
organizations, and Topic #311, How to apply for exempt status, are
informative. These topic numbers may change If so. listen to the
directory of topics for the new topic numbers or refer to the
   instructions for a current Form TO40, U.S. Individual Income Tax
   Return, for the updated list of Tele-Tax Topics. For additional forms
   and publications, call 1-800-829-3676 (1-800-Tax-Form).

   Purpose of Form
   1. Completed Form 1023  required for section 501(c)(3)
   exemption.—Unless it  meets either of the exceptions in item 2
   below, or notifies the IRS that it is applying for recognition of section
   501(c)(3) exempt status, no organization formed after October 9
   1969, will be considered tax-exempt under section 50l(c)(3).
    An organization notifies the IRS by filing a completed Form 1023
   Form 1023  also solicits the information that the IRS needs to
   determine if the organization is a private foundation.
   2. Organizations not required to file Form 1023.—The following
   organizations will  be considered tax-exempt under section 501{c)(3)
   even if they do not file Form 1023: (a) churches, their integrated
   auxiliaries, and conventions or associations of churches, or (b) any
   organization that is not  a private foundation (as defined in section
   509(a)) and  that has gross receipts in each taxable year of normally
   not  more than S5.000.
    Even if these organizations are not required to file Form 1023 to
   be tax-exempt, they may wish to file Form 1023 and receive a
  determination letter of IRS recognition of their section 501(c){3)
  status to obtain certain  incidental benefits  such as public recognition
  of their tax-exempt status: exemption from certain state taxes:
  advance assurance to donors of deducibility of contributions;
  exemption from certain Federal excise taxes; nonprofit mailing
  privileges, etc.
  3. Other organizations.—In applying  for a determination letter,
  cooperative  service organizations, described in section 501 (e) and (f)
  and  child care organizations, described in section 501 (k), use Form
  1023 and are treated as section 501(c)(3) organizations.
  4. Group exemption letter.—Generally, Form 1023 is not used to
  apply for a group exemption letter. For information on how to apply
  for a group exemption letter, see Pub. 557.

  What To File

  All applicants must complete pages 1  through 9 of Form 1023. The
  following organizations must also complete the schedules or form
  indicated:
   1.  Churches — Schedule A
   2.  Schools — Schedule B
   3.  Hospitals and Medical Research — Schedule C
   4.  Supporting Organizations (509(a)(3» — Schedule D
   5.  Private Operating Foundations — Schedule E
   8.  Homes for the Aged or  Handicapped — Schedule F  •
   7.  Child Care — Schedule G
   8.  Scholarship Benefits or Student Aid — Schedule H
   9.  Organizations that have taken over or will take over a "for
 profit" institution — Schedule I
   10. Organizations requesting an advance  rulinq in Part III
 Line 11 —Form 872-C
 Attachments.—State on  each attachment that it relates to Form
 1023  and identify the applicable part and line item number.  Also
 show on each attachment the organization's name, address, and
 employer identification number (EIN). Use 8Vz by 11 inch paper for
 attachments.
   In addition  to the required  documents and statements, include
 with the application any additional information citing court decisions,
 rulings, opinions, etc., that will expedite processing of the
 application. Generally, attachments in the form of tape recordings
 are not acceptable unless accompanied by a transcript.

 When To File
 An organization formed after October 9,1969, must file Form 1023
 to be  recognized as an organization described in section 501(c)(3).
 Generally, if an organization files its application within 15 months
 after the end of the month in  which it was formed, and if the IRS
 approves the application,  the effective date of the organization's
 section S01(c)(3) status win be the date it was organized.
   Generally, if an organization does  not file its application (Form
 1023)  within 15 months  after the end of the month in which it was
formed, it will  not qualify for exempt status during the period before
the date of its application. For exceptions and special rules,
including automatic extensions in some cases, see Part 111 of Form
1023.

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Where To RIe
File the completed appBcation. and all information required, with the
IRS key district office for the organisation's principal place of
business or office as listed in Form 8718. As soon as possible after
the complete application is received, you will be advised of the IRS's
determination and of the annual returns Of any) that the organization
will be required to file.

Signature Requirements
An officer, a trustee who is authorized to sign, or another person
authorized by a power of attorney must sign this application. Send
the power of attorney with the application when you file it Form
2848, Power of Attorney and Declaration of Representative, may be
used for this purpose.

Deducibility of Contributions
Deductions for charitable contributions are not allowed for any gifts
or bequests made to organizations that do not qualify under section
501(c){3). The effective date  of an organization's section 501(c)(3)
status determines the date that contributions to it are deductible by
donors. (See When To File on page 1.)
   Contributions by U.S. residents to foreign organizations generally
are not deductible. Tax treaties between the U.S. and certain foreign
countries provide limited exceptions. Foreign organizations (other
than those in Canada or Mexico) claiming eligibility to receive
contributions deductible by U.S. residents must attach an English
copy of the U.S. tax treaty that provides for such deducibility.

Public Inspection  of Form  1023
IRS responsibilities.—If the application is approved, it and any
supporting documents will be open to public inspection in any key
district office and in the Internal Revenue Service's National Office,
as required by section 6104. In addition, any letter or other
document issued by the IRS with regard to the application will be
open to public inspection. However, information relating to a trade
secret, patent, style of work, or apparatus that, if released, would
adversely affect the organization, or any other information that would
adversely affect the national defense, will not be made available for
DubHc inspection. Applicants must identify this information by clearly
marking it "NOT SUBJECT TO PUBLIC INSPECTION" and attach  a
statement explaining why the organization asks that the information
be withheld. If the IRS agrees, the information will be withheld.
Organization's responsibilities.—The organization must make
avaBable for public inspection a copy of its approved application and
supporting documents, along with any document or letter issued by
the IRS. These must be available during regular business  hours at
the organization's principal  office and  at each of its regional or
district offices having at least three paid employees. See Notice
88-120,1988-2 C.B. 454. If any person under a duly to comply with
the Inspection provisions fails to comply with these requirements, a
 penalty of S10 a  day will be imposed for each day the failure
continues.

 Appeal  Procedures
The organization's application will be considered by the key district
 office which will  either:
   1. Issue a favorable determination letter;
   2. Issue a proposed adverse determination letter denying the
 exempt status requested: or
   3. Refer the case to the National Office.
   If we send you a proposed adverse determination, we will advise
 you of your appeal rights at that time.

 Language  and  Currency Requirements
 Form 1023 and attachments must be prepared in English. If the
 organizational document or bylaws are in any other language, an
 English translation must be furnished. If the organization produces or
 distributes foreign  language publications that are submitted with the
 application, you  may be asked to provide English translations for one
 or more of them during the processing of the application.
    Report all financial information in U.S. dollars (specify the
 conversion rate used). Combine amounts from within and outside the
 United States and report the total for each item on the financial
 statements.
  For example:
   Gross Investment Income
     From U.S. sources                                 $4,000
     From non-U.S. sources                              1.QCO
        Amount to report on income statement            $5.000

Annual  Information Return
If the annual information return for tax-exempt organizations
becomes due while its application for recognition of exempt status is
pending with the IRS (including any appeal of a proposed adverse
determination), the organization should file Form 990, Return of
Organization Exempt From Income Tax, (or Form 990-EZ, Short
Form Return of Organization Exempt From Income Tax) and if
required, Schedule A (Form 990), Organization Exempt Under
Section 501(c)(3), or Form 990-PF, Return of Private Foundation, if a
private foundation, and indicate that an application is pending.

Special Rule for  Canadian  Colleges and

Universities
A Canadian college or university that has received a Form T20S1,
Notification of Registration, from Revenue Canada (Department of
National Revenue, Taxation) and whose registration has not been
revoked, does not have to complete all parts of Form 1023 that
would otherwise be applicable. Such an organization must complete
only Part I of Form 1023 and Schedule B (Schools, Colleges, and
Universities). The organization must also attach a copy of its Form
T2050, Application for Registration, together with all the required
attachments that it submitted to Revenue Canada. If any
attachments were prepared in French, an  English translation must be
furnished.
   Other Canadian organizations seeking a determination of section
501(c)(3) status must complete Form 1023 in the same manner as
U.S. organizations.

Specific Instructions
The following instructions are keyed to the line items on the
application form:

Part I. Identification of Applicant
Line 1. Full name and address of organization.—Enter the
organization's name exactly as it appears in its creating document
including amendments. If the organization will be operating under
another name, show the other name in parentheses. Enter your nine-
digit ZIP code.
   If the organization's address is outside the United States or its
possessions or territories, enter the information on the line for "City
or town, state, and ZIP code" in the following order: city, province or
state, foreign postal code, and the name of the foreign country. Do
not abbreviate the country name.
Line 2. Employer identification number (BN).—All organizations
must have an EIN. Enter the nine-digit EiN assigned to the
organization by the IRS. If the organization does not have an EIN,
 get Form SS-4, Application for Employer Identification Number, for
 details on how to obtain an EIN immediately by telephone. If the
 organization has previously applied for a number, enter "applied for"
 and attach a statement giving the date of the application and the
 office where it was filed. Do not apply for an EIN more than once.
 Line 3. Person to contact—Enter the name and telephone number
 of the person to contact during business hours if more information is
 needed. The contact person should be an officer, director, or a
 person with power of attorney who is familiar with the organization's
 activities and is authorized to act on its behalf. Attach Form 2848 or
 other power of attorney.
 Line 4. Month the annual accounting period ends.—Enter the
 month the organization's annual accounting period ends. The
 accounting period is usually the 12-month period that is the
 organization's tax year. The organization's first tax year depends on
 the accounting period chosen. (The first tax year could be less than
 12 months).
 Line S. Date formed.—Enter the date the organization became a
 legal entity. For a corporation, this is the date that the articles of
 incorporation were approved by the appropriate state official. For an
 unincorporated organization, it is the date its constitution or articles
 of association were adopted.

                                                     Page 2

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       . Activity codes.—Select up TO three of trie code numbers
  listed on trie back cover that best describe or most accurately
  identify the organization's purposes, activities, or type of
  organization. Enter the codes in the order of importance.  ">
  tine 7.—Indicate if the organization is one of the following:
  • 501 (e)     Cooperative hospital service organization;
  • 501(f)     Cooperative service organization of operating
                educational organization;
  • 501 (k)     Organization providing child care.
  If none of the above applies, make no entry on line 7.
  line 8.—Indicate if the organization has ever filed a Form 1023 or
  Farm 1024, Application for Recognition of Exemption Under Section
  501 (a), with the IRS.
  Line 9.—If the organization for which this application is being filed is
  a private  foundation, answer "N/A." If the organization is not required
  to file Form 990 (or Form 990-EZ) and is not a private foundation.
  answer "No" and attach an explanation.  Get the Form 990
  Instructions and refer to page 2 for a discussion of organizations not
  required to file Form  990 (or Form 990-EZ). Otherwise, answer "Yes."
  Line 10.—indicate if  the organization has ever filed Federal income
  tax returns as a taxable organization or  filed returns as an exempt
  organization (e.g.. Form 990. 990-EZ. 990-PF, or 990-T, Exempt
  Organization Business Income Tax Return).
  Line 11. Type of organization and organizational documents.—
  Submit a  conformed  copy of the organizing instrument. If the
  organization does not have an organizing instrument it will not
  qualify for exempt status. A conformed copy is one that agrees with
 the original and all amendments to it The conformed copy may be a
 photocopy of the original signed and dated organizing document OR
 it may be a  copy of the organizing document that is not signed but
 is accompanied by a written declaration signed by an authorized
 individual stating that the copy is a complete and  accurate copy of
 the original signed and dated document.
   In the case of a corporation, a copy of the articles of
 incorporation, approved and dated by an appropriate state official, is
 sufficient  by itself. If an unsigned copy of the articles of
 incorporation is submitted, it must be accompanied by the written
 declaration discussed above. Signed or  unsigned copies of the
 articles of incorporation must be accompanied by a declaration
 stating that the original copy of the articles was filed with,  and
 approved  by, the state. The date filed must be specified.
   In the case of an unincorporated association, the conformed copy
 of the constitution, articles of association, or other organizing
 document must indicate in the document itself, or in a written
 declaration, that the organization was formed by the adoption of the
 document by two or more persons.
   If the organization has adopted bylaws, include  a current copy.
 The bylaws need not be signed if submitted as an attachment to the
 application for recognition of exemption. The bylaws of an
 organization alone are not an organizing instrument. They are merely
 the internal rules and regulations of the organization.
   In the case of a trust a copy of the signed and  dated oust
 instrument must be furnished.
   For your organization to qualify for exempt status, its organizing
'instrument must contain a proper dissolution clause, or state law
 must provide for distribution of assets for one or more exempt
 (section 501(c)(3)) purposes upon dissolution. If you rely on state law,
 please cite the law and briefly state its provisions on an attachment
 Foreign organizations must cite and attach a copy of the foreign
 statute along with an  English language translation.
   See Pub. 557 for a discussion of dissolution clauses under the
 heading. Dedication and Distribution of Assets. Examples of
 dissolution clauses are shown in the sample organizing instruments.
   The organizing instrument must also specify the organizational
 purposes and the purposes specified must be limited to one or more
 of those set out in section 501(c)(3). See Pub. S57 for detailed
 instructions and for sample organizing instruments that satisfy the
 requirements of section 501(c)(3) and the related regulations.

 Part II. Activities and Operational
 Information
 Line 1.—It is important that you report all activities carried  on by the
 organization to enable the IRS to make a proper determination of the
 organization's exempt status.
 Line z.—if it is anticipated that the organization's principal sources
 of support will increase or decrease substantially in relation to the
 organization's total support attach a statement describing
 anticipated changes and explaining the basis for the expectation.
 Line 3.—For purposes of providing the information requested on line
 3. "fundraising activity" includes the solicitation of contributions and
 both functionally related activities and unrelated business  activities.
 Include a description of the nature and magnitude of the activities.
 Line 4a.—Furnish the mailing addresses of the organization's
 principal officers, directors, or trustees. Do not give the address of
 the organization.
 line 4b.—The annual compensation includes salary, bonus, and any
 other form of payment to the individual for services  while employed
 by the organization.
 line 4c.—Public officials include anyone holding an elected position
 or anyone appointed to a  position by an elected official.
 Line 4d.—For purposes of this application, a "disqualified  person" is
 any person who. if the applicant organization were a private
 foundation, is:
   1. A "substantial contributor" to the foundation (defined  below);
   2. A foundation manager;
   3. An owner of more than 20% of the total combined voting
 power of a corporation that is a substantial contributor to the
 foundation:
   4. A "member of the family" of any person described in  1, 2, or 3
 above;
   5. A corporation, partnership, or  trust in which persons described
 in 1, 2, 3, or 4 above, hold more than 35% of the combined voting
 power, the profits interest or the beneficial interests; and
   6. Any other private foundation that is effectively controlled by the
 same persons who control the first-mentioned private foundation or
 any other private foundation substantially all of whose contributions
 were made by the same contributors.
   A substantial contributor is any person who gave a total  of more
 than 55,000 to the organization, and those contributions are more
 than 2% of all the contributions  and bequests received by  the
 organization from the date it was created up to the end of  the year
 the contributions by the substantial contributor were received. A
 creator of a trust is treated as a substantial contributor regardless of
 the amount contributed by that person or others.
   See Pub. 578 for more information on "disqualified persons."
 line 5.—If your organization controls or is controlled by another
 exempt organization or a taxable organization, answer "Yes."
 "Control" means that:
   1. Fifty  percent (50%) or more of the filing organization's officers,
 directors,  trustees, "or key employees are also officers, directors,
 trustees, or key employees of the second organization being tested
 for control;
   2. The filing organization appoints 50% or more of the officers,
 directors, trustees, or key employees of the second organization; or
   3. Fifty percent (50%) or more of the filing organization's officers.
 directors, trustees, or key employees are appointed by the  second
 organization.
   Control  exists if the 50% test is met by any one group of persons
 even if collectively the 50% test  is not met  Examples of special
 relationships are common officers and the sharing of office space or
 employees.
 Line 6.—If the organization conducts any financial transactions
 (either receiving funds or paying  out funds),  or nonfinancial  activities
with an exempt organization (other than a 501(c)(3) organization), or
with a political organization, answer "Yes," and explain.
line 7.—If the organization must report its income and expense
activity to any other organization (tax-exempt or taxable entity),
answer "Yes."
Line 8.—Examples of assets used to perform an exempt function
are: land, building, equipment and publications. Do not include cash
or property producing investment income. If you have no assets
used in performing the organization's exempt function, answer
"N/A."
line 10a.—If the organization is managed by another exempt
organization, a taxable organization, or an individual,  answer "Yes."
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 Line lOb.—If the organization leases property from anyone or leases
 any of its property to anyone, answer "Yes."
 Une 11.—A membership organization for purposes of this question
 is an organization that is composed of individuals or organizations
 who:
   1. Share in the common goal for which the organization was
 created:
   2. Actively participate in achieving the organization's purposes;
 and
   3. Pay dues.
 Line 12.—Examples of benefits, services, and products are: meals to
 homeless people, home for the aged, museum open to the public.
 and a symphony orchestra giving public performances.
 Note: Organizations that provide low-income housing should see
 Rsv. Proc. 95-32, 1996-20I.R.B.  T4. for a "safe harbor" and an
 alternative facts and circumstances test to be used in completing line
 72,
 Line 13.—An organization is attempting to influence legislation if it
 contacts or urges the public to contact members of a legislative
 body,  for the purpose of proposing, supporting, or opposing
 legislation, or if it advocates the adoption or rejection of legislation.
   ff you answer "Yes," you may want to file Form  5768,
 Election/Revocation of Election by an Eligible Section 501(c)(3)
 Organization To Make Expenditures To Influence Legislation.
 Une -u.—An organization is intervening in a political campaign if it
 promotes or opposes the candidacy or prospective candidacy of an
 individual for public office.

 Part HI. Technical Requirements
 Line 1.—If you check "Yes," proceed to line 8. If you check "No,"
 proceed to fine  2.
 Une 2a,—To qualify as an integrated auxiliary, an organization must
 not be a private foundation and must satisfy the affiliation and •
 support tests of Regulations section 1.6033-2(h).
 Line 3.—Relief from the 15-month filing requirement is granted
 automatically if the organization submits a completed Form 1023
 within  12 months from the end of the 15-month period.
 Line 4.—See Rev. Proc. 92-85,1992-2 C.B. 490, for information
 about an extension beyond the 27-month period. According to
 section 5.01  of Rev. Proc.  92-85,  the IRS will allow an organization
 an extension of time to file a Form 1023 application under a
 reasonable action and good-faith  standard.  In such case, the
 organization does not need to provide any further information or
 affidavits provided that it files its application before the IRS has
 discovered the organization's failure to file an application.
 Line 5.—The reasons for late fifing should be specific to your
 particular organization and situation. Rev. Proc. 92-85 lists the
 factors the IRS will consider in determining if good  cause exists for
 granting an extension of time to file the application. (Also see Pub.
 557J To address these factors, your response on line 5 should
 provide the following information:
  1. Whether the organization consulted an attorney or accountant
 knowledgeable in tax matters or communicated with a responsible
 IRS employee (before or after the organization was  created) to
 ascertain the organization's Federal filing requirements and, if so, the
 names and occupations or titles of the persons contacted, the
 approximate dates, and the substance of the information obtained;
  2. How and when the organization learned about the 15-month
 deadline for filing Form 1023;
  3. Whether any significant intervening circumstances beyond the
 organization's control prevented it from submitting the application
timely or within a reasonable period of time  after it learned of the
requirement to file the application within the 15-month period; and
  4. Any other information that you believe may establish good
cause for not filing timely or otherwise justify granting the relief
sought.
Line 7.—The organization may still be able to qualify for exemption
under section 501 (cK4) for the period preceding the effective date of
its exemption as a section  501(c)(3) organization.  If the organization
is qualified under section 501(c)(4) and page 1 of Form 1024 is filed
as directed, the  organization win not be liable for income tax returns
as a taxable entity. Contributions to section  501(c)(4) organizations
are generally not deductible by donors as charitable contributions.
Line 8.—Private foundations are subject to various requirements,
restrictions, and excise taxes under Chapter 42 of the Code that do
not apply to public charities. Also, contributions to private
 foundations may receive less favorable treatment than contributions
 to public charities. See Pub. 578. Therefore, it is usually to an
 organization's advantage to show that it qualifies as a public charity
 rather than as a private foundation if its activities or sources of
 support permit it to do so. Unless an organization meets one of the
 exceptions below, it is a  private foundation. In general, an
 organization is not a private foundation if it is:
   1. A church, school, hospital, or governmental unit
   2. A medical research organization operated in conjunction with a
 hospital;
   3. An organization operated for the benefit of a college or
 university that is owned or operated by a governmental unit;
   4. An organization that normally receives a substantial part of its
 support in the form of contributions from a governmental unit or from
 the general public as provided -in section 170(b)(1)(A)(vi);
   5. An organization that normally receives not more than one-third
 of its support from gross investment income and more than
 one-third of its support from contributions, membership fees, and
 gross receipts related to its exempt functions (subject to certain
 exceptions) as provided in section 509(a)(2);
   6. An organization operated solely for the benefit of, and in
 connection with, one or more organizations described above (or for
 the benefit of one or more of the organizations described in section
 501(c)(4), (5), or (6) of the Code and also described  in S above), but
 not controlled by disqualified persons other than foundation
 managers, as provided in section 509(a)(3); or
   7. An organization organized and operated to test for public safety
 as provided in section 509(a)(4).
 Line 9.—Basis for private operating foundation status: (Complete
 this  line only if you answered "Yes" to the question on line 8.)
   A "private operating foundation" is a private foundation that
 spends substantially all of its adjusted net income or its minimum
 investment return, whichever is less, directly for the active conduct
 of the activities constituting the purpose or function for which it is
 organized and operated. The foundation must satisfy the income test
 and  one of the three supplemental tests: (1) the assets test (2) the
 endowment test: or (3) the support test For additional information,
 see  Pub. 578.
 Line 10.—Basis for nonprivate foundation status: Check the box that
 shows why your organization is not a private foundation.
   Box (a). A church or convention or association of churches.
   Box (b). A school.—See the definition in the instructions for
 Schedule B.
   Box (c). A hospital or medical research organization.—See the
 instructions for Schedule C.
   Box (d).  A governmental unit—This category includes a state, a
 possession of the United States, or a political subdivision of any of
 the foregoing, or the United States, or the District of Columbia.
   Box (e).  Organizations operated in connection with or solely for
 organizations described in (a) through (d) or (g).  (h). and (i).—The
 organization must be organized and operated for the benefit of, to
 perform the functions of, or to carry out the purposes of one or more
 specified organizations described in section 509(a)(1) or (2). It must
 be operated, supervised, or controlled by or in connection with one
 or more of the organizations described in the instructions for boxes
 (a) through (d) or (g), (h),  and (i). It must not be controlled directly or
 indirectly by disqualified persons (other than foundation managers or
 organizations described in section 509(a)(1) or (2)). To show whether
 the organization satisfies these tests, complete Schedule  0.
   Box (f). An organization testing for public safety.—An organization
 in this category is one that tests products to determine their
 acceptability for use by the general public. It does not include any
 organization testing for the benefit of a manufacturer as an operation
 or control in the manufacture of its product
   Box (g). Organization for the benefit of a college or university
 owned or operated by a governmental unit—The organization must
 be organized and operated  exclusively for the benefit of a college or
 university that is an educational organization within the meaning of
section  170(b)(1)(A)(fi) and is an agency or instrumentality of a state
 or political subdivision of a state; is owned or operated by a state or
 political subdivision of a state; or is owned or operated by an agency
or instrumentality of one or more states or political subdivisions. The
organization must also normally receive a substantial part of its
support from the United States or any state or political subdivision of
a state,  or from direct or indirect contributions from the general

                                                       Page 4

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public or from a combination of these sources. An organizaton
described in section 170(b)(1)(A)(iv) will be subject to the same
publicly supported rules that are applicable to l70(b)(1)(A)(vi)
organizations described in box (h) below.
   Box (h). Organization receiving support from a governmental unit
or from  the general public.—The organization must receive 34
substantial part of its support from the United States or any state or
political  subdivision, or from direct or indirect contributions from the
general  public, or from a combination of these sources. The
organization may satisfy the support requirement in either of two
ways. It will be treated as publicly supported if the support it
normally receives from the above-described governmental units and
the general public equals at least one-third  of its total support. It will
also be  treated as publicly supported if the  support it normally
receives from governmental or public sources equals at least 10% of
total support and the organization is set up to attract new and
additional public or governmental support on a continuous basis. If
the organization's governmental and public  support is at least 10%,
but not over one-third of its total support, the questions on lines 1
tnrougn  14 of Part II will apply to determine both the organization's
claim  of exemption  and whether it is publicly supported. Preparers
should exercise care to assure that those questions are answered in
detail.
   Box fi). Organization described in section 509(a)(2).—Trte
organization must satisfy the support test under section 509{a)(2)(A)
and the  gross investment income test under section 509(a)(2)(B). To
satisfy the support test the organization must normally receive more
than one-third of its support from: (a) gifts,  grants, contributions, or
membership fees, and (b) gross receipts from admissions, sales of
merchandise, performance of services, or furnishing of facilities,  in
an activity that is not an unrelated trade or business (subject to
certain limitations discussed below). This one-third of support must
be from  organizations described in section S09(a)(1), governmental
sources, or persons other than disqualified persons. In computing
gross  receipts from admissions, sales of merchandise, performance
of services, or furnishing of facilities in an activity that is not an
unrelated trade or business, the gross receipts from any one person
or from any bureau or similar agency of a governmental unit are
includible only to the extent they do not exceed the greater of
S5.000 or 1% of the organization's total support. To satisfy the gross
investment income  test the organization-must not receive more than
one-third of its support from gross investment income.
   Box 0.—)f you believe the organization meets the public support
test of section 170(b)(1)(A)(vi) or 509(a)(2) but are uncertain as to
which public support test it satisfies, check box fl). By checking  this
box, you are claiming that the organization is not a private
foundation and are  agreeing to let the IRS compute the public
support  of your organization and determine the correct foundation
status.
Lone 11.—To receive a definitive (final) ruling under sections
170(b)(1)(A)(vi) and 509(a)(1) or under section 509(a)(2), an
organization must have completed a tax year consisting of at least 8
months. Organizations that checked box (h), 0), or 0) on line 10 that
do not satisfy the 8-month requirement must request an advance
mling  covering their first 5 tax years instead of a definitive oiling.
  An organization that satisfies the 8-month requirement has two
options:
  1. It may request a definitive ruling. In this event the
organization's qualification under sections 170(b)(1)(A)(vi) and
S09(a)(1) or under section 509(a)(2) will be based on the support that
the organization has received to date; or
  2. It may request an advance ruling. If the IRS issues the advance
ruling, the organization's public support computation will be based
on the support it receives during its first 5 tax years. An organization
should consider this option if it has not received significant public
support during its first tax year or during its first and second tax
years, but it reasonably expects to receive such support by the end
of its fifth tax year.  An organization that receives an advance ruling is
treated,  during the 5-year advance ruling period, as a public charity
(rather than a private foundation) for certain purposes, including
those relating to the deducibility of contributions by the general
public.
Line 12.—For definition of an unusual grant see instructions for Part
IV-A. line 12.
Line 13.—Answer this question only if you checked box (g). (h). or fl)
on line 10.

Page 5
Line 14.—Answer the question on this line only if you checked box
(0 or jj) on line 10 and are requesting a definitive ruling on line 11.
Line 15.—Answer "Yes" or "No" on each line. If "Yes," you must
complete the appropriate schedule. Each schedule is included in this
application package with accompanying instructions. For a brief
definition of each type of organization, see the appropriate schedule.

Part IV. Financial Data
The Statement of Revenue and Expenses must be completed for
the current year and each of the 3 years immediately before it (far
the years the organization has existed, if less than 4). Any applicant
that has existed for less than 7 year must give financial data for the
current year and proposed budgets for the following 2 years. We
may request financial data for more than 4 years if necessary. All
financial information for the current year must cover  the period
beginning  on  the first day of the organization's established annual
accounting period and ending on any  day that is within  60 days of
the date of this application. If the date of this application is less than
60 days after the first day of the current accounting  period, no
financial information is required for the current year.  Financial
information is required for the 3 preceding years regardless of the
current year requirements. Please note that if no financial information
is required for the current year, the preceding year's financial
information can end on any day that is within 60 days of the date of
this application. Prepare the statements using the method of
accounting and the accounting period (entered on line 4 of Part I)
the organization uses in keeping its books and records. If trie
organization uses a method other than the cash receipts and
disbursements method, attach a statement explaining the method
used.

A. Statement of Revenue and Expenses
Line 1.—Do not include amounts received from the general public or
a governmental unit for the exercise or performance  of the
organization's exempt functions. However, payments made by a
governmental unit to enable the organization to provide a service to
the general public should be included. Also, do not include unusual
grants. For an explanation of unusual  grants, see the discussion for
Line 12 on the following page.
Line 2.—Include amounts received from members for the basic
purpose of providing support to the organization. These are
considered to be contributions. Do not include payments to
purchase admissions, merchandise, services, or use of facilities.
Line 3.—Include on  this line the income received from dividends,
interest and payments received on securities loans,  rents, and
royalties.
Line 4.—Enter the organization's net income from  any activities that
are regularly carried on and are not related to the organization's
exempt purposes. Examples of such income include fees from the
commercial testing of products; income from renting office
equipment or other personal property; and income from the sale of
advertising in an exempt organization's periodical. See Pub. 598 for
information about unrelated business income and activities.
Line 5.—Enter the amount collected by the local tax authority from
the general public that has been allocated for your organization.
Line 6.—To report the value of services and/or facilities furnished by
a governmental unit use the fair market value at the time the
service/facility was furnished to your organization.  Do not include
any other donated services or facilities in Part IV.
Line 7.—Enter the total income from all sources that is not reported
on lines 1  through 6, or lines 9,11, and 12. Attach a schedule that
lists each type of revenue source and the amount derived from each.
Line 9.—Include income generated by the organization's exempt
function activities (charitable, .educational, etc.) and by its nontaxable
fundraising events (excluding any contributions received). Examples
of such income include the income derived by a symphony orchestra
from the sale of tickets to its performances; and raffles, bingo, or
other fundraising-event income that is not taxable  as unrelated
business income because the income-producing activities are not
regularly carried on or because they are conducted with substantially
all (at least 85%) volunteer labor. Record related cost of sales on line
22, Other.
Line 11.—Attach a schedule that shows a description of each asset
the name of the person to whom sold, and the amount received. In
the case of publicly traded securities sold through a broker, the
name of the purchaser is not required.

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     Une 12.—Unusual yams generally consist of substantial
     comnbutfons and bequests from disinterested persons that:
       1. Are attracted by reason of the publicly supported nature of the
     organization;
       2. Are unusual and unexpected as to the amount and
       3. Would, by reason of their size, adversely affect the status of the
     ?SS25!!!S? f3 normally meeting the support test of section
     170(b)(1)CA)(vi) or section 509{a)(2), as the case may be.
       If the organization is awarded an unusual grant and the terms of
    the granting instrument provide that the organization will receive the
    funds over a period of years, the amount received by the
    organization each year under the grant may be excluded. See the
    regulations under sections 170 and 509.
    Line 14.—Fundraising expenses represent the total expenses
    incurred m soficiting contributions, gifts, grants, etc.
    Line 15.—Attach a schedule showing the name of the recipient a
    brief description of the purposes or conditions of payment, and the
    amount paid. The following example shows the format and amount
    of detail required for this schedule:
Recipient
Museum of Natural History
State University
Richard Roe
Purpose
General operating budget
Books for needy students
Educational scholarship

S9.000
4,500
2.200
     Colleges, universities, and other educational institutions and
   agencies subject to the Family Educational Rights and Privacy Act
   (ZD U.S.C. 1232g) are not required to list the names of individuals
   who were provided scholarships or other financial assistance where
   such disclosure would violate the privacy provisions of the law.
   Instead, such organizations should group each type of financial aid
   provided, indicate the number of individuals who received the aid  "
   and specify the aggregate dollar amount.
   Une IB.—Attach a schedule showing the name of each recipient a
   bnef description of the purposes or condition of payment, and
   amount paid. Do not include any amounts that are on line 15 The
   schedule should be similar to the schedule shown in the line 15
   instructions above.

   Line 17.—Attach a schedule that shows the name of the person
   compensated; the office or position; the average amount of time
   devoted to the organization's affairs per week, month, etc.; and the
   amount of annual compensation. The following example shows  the
   format and amount of detail required:
Name
Philip Poe
Position
President and
general manager
Time devoted
16 hrs. perwk.
Annual salary
S7.500
  Une 18.— Enter the total of employees' salaries not reported on line

  Line 19.— Enter the total interest expense for the year, excluding
  mortgage interest treated as occupancy expense on line 20.
  Une 20.— Enter the amount paid for the use of office space or other
  facilities, heat tight power, and other utilities, outside janitorial
  services, mortgage interest real estate taxes, and similar expenses.
  Line 21.— If your organization records depreciation, depletion, and
  similar expenses, enter the total.
  Line 22.— Attach a schedule listing the type and amount of each
 significant expense for which a separate line is not provided. Report
 other miscellaneous expenses as a single total if not substantial in
 amount

 B. Balance Sheet

 Une 1.— Enter the total cash in checking and savings accounts,
 temporary cash investments (money market funds. CDs, treasury
 bills, or other obligations that mature in less than 1 year), change
 funds, and petty cash funds.
 Line 2.— Enter the total accounts receivable that arose from the sale
 of goods and/or performance of services, less any reserve for bad
 Ocu
Une 3.— Enter the amount of materials, goods, and supplies
purchased or manufactured by the organization and held to be sold
or used in some future period.
     Une 4.—Attach a schedule that shows the name of the borrower a
     bnef description of the obligation, the rate of return on the principal
     indebtedness, the due date, and the amount due. The following
     example shows the format and amount of detail required-
borrower
Hope Soap
Corporation
Big Spool
Company
Description of obligation
Debenture bond (no senior
issue outstanding)
Collateral note secured by
company's fleet of 20
delivery trucks
Rate of
10%
12%
Due date
Jan. 2004
Jan. 2003
Amount
S 7.500
62.000
    Une 5.—Attach a schedule listing the organization's corporate stock
    holdings  For stock of closely held corporations, the statement
    should show the name of the corporation, a brief summary of the
    corporation s capital structure, and the number of shares held and
    their value as carried on the organization's books. If such valuation
    does not reflect current fair market value, also include fair market
    value. For stock traded on an organized exchange or in substantial
    quantities over the counter, the statement should show the name of
    the corporation, a description of the stock and the principal
    exchange on which it is traded, the number of shares held, and their
    value as carried on the organization's books. The following example
    snows the format and the amount of detail required:
Name of
corporation
Little Spool
Corporation







Flintlock
Corporation
Capital structure (or
exchange on which traded
100 shares nonvoting
preferred issued and
outstanding, no par
• value; 50 shares
common issued and
outstanding, no par
value.
Preferred shares:
Common shares:
Class A common
N.Y.S.E.
Shares






50
10
20
Book
amount






S20.000
25,000
3,000
Fair
market
value






524,000
30.000
3.500
  Une 6.—Report each loan separately, even if more than one loan
  was made to the same person. Attach a schedule that shows the
  borrower's name, purpose of loan, repayment terms, interest rate
  and ongmal amount of loan.

  Une 7.—Enter the book value of government securities held (U S
  state, or municipal). Also enter the book value of buildings and' "
  equipment held for investment purposes. Attach a schedule
  identifying and reporting the book value of each.
  Line 8.—Enter the book value of buildings and equipment not held
  tor investment This includes plant and equipment used by the
  organization in conducting its exempt activities. Attach a schedule
  listing these assets held at the end of the current tax  year/period
  and the cost or other basis.

  LSne 9.—Enter the book value of land not held for investment
  Une 10.—Enter the book value of each category of assets not
  reported on lines 1 through 9. Attach a schedule listing each.
  U'ne 12.—Enter the total of accounts payable to suppliers and
  others  such as salaries payable, accrued payroll taxes, and interest
 Line 13.—Enter the unpaid portion of grants and contributions that
 the organization has made a commitment to pay other organizations
 or individuals.

 Line 14.—Enter the total of mortgages and other notes payable
 outstanding at the end of the current tax year/period Attach a
 schedule that shows each item separately and the lender's name,
 purpose of loan, repayment terms, interest rate, and original amount
 Line IS.—Enter the amount of each liability not reported on lines 12
 through 14. Attach a separate schedule.
 Line 17.—Under fund accounting, an organization segregates its
 assets, liabilities, and net assets into separate funds accordinq to
 resOTctions on the use of certain assets. Each fund is like a separate
 entity> in that it has a self-balanang set of accounts showing assets,
 liabilities, equity (fund balance), income, and  expenses. If the
 organization does not use fund accounting, report only the "net
assets" account balances, such as: capital stock, paid-in capital
and retained earnings or accumulated income        •
                                                      Page  6

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                     Procedural



         Make sure  the application is  complete.

       if you do not complete all applicable parts or do not provide all required attachments,
       we may return the incomplete application to your organization for resubmission with the
       missing information or attachments. This will delay the processing of the application and
       may delay the effective date of your organization's exempt status. The organization may
       also incur additional user fees.


       Have you  ...

     .  Attached Form 8718 (User Fee for Exempt Organization Determination Letter Request)
       and the appropriate fee?

       Located the correct IRS key district office for the mailing of the application? (See
       Where To File addresses on Form 8718.)  Do not file the application with your local
       Internal Revenue Service Center.

       Completed Parts I through IV and any other schedules that apply to the organization?

       Shown the organization's Employer Identification Number (EIIM)?
       a. If your organization has an  EIN, write it  in the space provided.
       b. If this is a newly formed organization and does not have an Employer Identification
         Number, obtain an EIN by telephone. (See Specific Instructions, Part I, Line 2,  on page 2.)

       Described your organization's specific activities as directed in Part II, line 1, of the
       application?

       Included a conformed copy of the  complete organizing instrument? (See Specific
       Instructions, Part I, Line 11, on page 3.)

       Had the application signed by one of the following?
      a. An officer or trustee who is authorized to sign (e.g., president, treasurer); or
       b. A person authorized by a power of attorney (Submit Form 2848, or other power of
        attorney)

      Enclosed financial statements (Part IV)?
      a. Current year (must include period up to  within 60 days of the date the application is
        filed) and 3 preceding years.
      b. Detailed breakdown of revenue and expenses (no lump sums).
      c. If the organization has been in  existence less than  1 year, you must also submit
        proposed budgets for 2 years showing the amounts and types of receipts and
        expenditures anticipated.
      Note: During the technical review of a completed application by the Employee
      Plans/Exempt Organizations Division in the key district or by Exempt Organizations
      Division in the National Office, it may be necessary to contact the organization for more
      specific or additional information.

                    Do not send this checklist with the application.
Page?

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Form 1023
(Rev. April 1996)
Department of me Treasury
internal Revenue Setwce
Application for Recognition of Exemption
Under Section 501 (c) (3) of the internal Revenue Code
OMB No. 1545-0056
If exempt status is
approved, this
application will be open
for public inspection.
                                      Read the instructions for each Part carefully.
                                   A User Fee must be attached to this application.
      If the required information and appropriate documents are not submitted along with Form 8718 (with payment of the
                              appropriate user fee), the application may be returned to you.
     	Complete the Procedural Checklist on page 7  of the instructions.	

     I]    identification of Applicant
la Full name of organization (as shown in organizing document)
1b c/o Name (if applicable)
1c Address (number and street)
Id City or town, state, and ZIP code
5 Date incorporated or formed 6 i
Room/Suite

Activity codes (See page 3 of the instructions.)
2 Employer identification number (E1N)
(If none, see page 2 of the instructions.)
3 Name and telephone number of person
to be contacted if additional information
is needed
( )
4 Month the annual accounting period ends
7 Check here if applying under section:
a Q 501 (e) bD 501 (f) c D 501 (k)
 8   Did the organization previously apply for recognition of exemption under this Code section or under any
     other section of the Code?	."	  .   .  D Yes D  No
     If "Yes," attach an explanation.	
 9   Is the organization required to file Form 990 (or Form 990-EZ)?	D  N/A Q Yes Q  No
     If "No," attach an explanation (see page 3 of the Specific Instructions).	
10   Has the organization filed Federal income tax returns or exempt organization information returns?
     If "Yes," state the form numbers, years filed, and Internal Revenue office where filed.
                                                                       D  Yes D  No
11   Check the box for the type of organization. ATTACH A CONFORMED COPY OF THE CORRESPONDING ORGANIZING
     DOCUMENTS TO THE APPLICATION BEFORE MAILING. (See Specific Instructions for Part I, Line 11, on page 3.) Get
     Pub. 557, Tax-Exempt Status for Your Organization, for examples of organizational documents.)
  a  D Corporation—Attach a copy of the Articles of Incorporation (including amendments and restatements) showing
                     approval by the appropriate state official: also include a copy of the bylaws.
  b  D Trust—      Attach a copy of the Trust Indenture or Agreement, including all appropriate signatures and dates.

  c  D Association— Attach a copy of the Articles of Association, Constitution, or other creating document with a
                     declaration (see instructions) or other evidence the organization was formed by adoption of the
                     document by more than one person; also include a copy of the bylaws.

     If the organization is a corporation or an unincorporated association that has not yet adopted bylaws, check here *•   D
  1 declare under the penalties of perjury that I am authorized to sign this applteadon on behalf of the above organization and that 1 have examined this application,
including the accompanying schedules and attachments, and to the best of my knowledge it is true, correct, and complete. .
Please
Sign
Here
(Signature)
(Title or authority of signer)
                                                                             (Date)
For Paperwork Reduction Act Notice, see page 1 of the instructions.
                                                                                 Cat. No. 17133K

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frxm 1023 (Rev. 4-96)                                                                        	Page 2

nEffTTl   Activities and Operational information

  1   Provide a detailed narrative description of all the activities of the organization—past, present, and planned. Do not merely
     refer to or repeat the language in the organizational document. List each activity separately in the order of importance
     based on the relative time and other resources devoted to the activity. Indicate the percentage of time for each activity.
     Each description should include, as a minimum, the following: (a) a detailed description of the activity including its purpose
     and how each activity furthers your exempt purpose; (fa) when the activity was or will be initiated: and (c) where and by
     whom the activity will be conducted.
 2  What are or will be the organization's sources of financial support? List in order of size.
 3  Describe the organization's fundraising program, both actual and planned, and explain to what extent it has been put into
    effect Include details of fundraising activities such as selective mailings, formation of fundraising committees, use of
    volunteers or professional fundraisers, etc. Attach representative copies of solicitations for financial support

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Form 1023 (Rev. 4-96)
                  Page 3
         Activities and Operational information (Continued)
 4  Give the following information about the organization's governing body:
  a Names, addresses, and titles of officers, directors, trustees, etc.
b  Annual compensation
  c Do any of the above persons serve as members of the governing body by reason of being public officials
    or being appointed by public officials?	D Yes
    If "Yes," name those persons and explain the basis of their selection or appointment.
               D  No
  d Are any members of the  organization's governing  body  "disqualified persons"  with  respect to the
    organization (other than by reason of being a member of the governing body) or do any of the members
    have either a business or family relationship with "disqualified persons"? (See Specific Instructions for
    Part II, Line 4d, on page 3.)	D Yes
    If "Yes," explain.
               n  NO
 5  Does the organization control or is it controlled by any other organization?	D Yes  D No
    Is the organization the outgrowth of (or successor to) another organization,  or does it have a special
    relationship with another organization by reason of interlocking directorates or other factors?  .  .  .   .   D Yes  D No
    If either of these questions is answered "Yes," explain.
    Does or will the organization directly or indirectly engage in any of the following transactions with any
    political organization or other exempt organization (other than a 501(c){3) organization): (a) grants;
    (b) purchases or sales of assets; (c) rental of facilities or equipment; (d) loans or loan guarantees;
    (e) reimbursement arrangements; (f) performance of services, membership, or fundraising solicitations;
    or (g) sharing of facilities, equipment mailing lists or other assets, or paid employees?	D Yes  D No
    If "Yes," explain fully and identify the other organizations involved.
7   Is the -organization financially accountable to any other organization?	D  Yes  D No
    If "Yes," explain and identify the other organization. Include details concerning accountability or attach
    copies of reports if any have been submitted.

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 Fonn 1023 [Rev. 4-961		Page *

KSffffi   Activities and Operational Information (Continued)

  8  What assets does the organization have that are used in the performance of its exempt function? (Do not include property
     producing investment income.) If any assets are not fully operational, explain their status, what additional steps remain to
     be completed, and when such final steps will be taken. If "None," indicate "N/A."


  9  Will the organization be the beneficiary of tax-exempt bond financing within  the next 2 years?.  .  .  .   D Yes D No

 lOa Will any of the organization's facilities or operations be managed by another organization or individual
     under a contractual agreement?	D Yes EH No
   b Is the organization a party to any leases?	  .  .  .   D Yes D No
     If either of these questions is answered "Yes," attach a copy of the contracts  and explain the relationship
     between the applicant and the other parties.
11   Is the organization a membership organization?	D Yes  D No
     If "Yes," complete the following:
  a Describe the organization's membership requirements and attach a schedule of membership fees and
     dues.


  b Describe the organization's present and proposed efforts to attract members and attach a copy of any
     descriptive literature or promotional material used for this purpose.
  c What benefits do (or will) the members receive in exchange for their payment of dues?
12a  If the organization provides benefits, services, or products, are the recipients required, or will
     they be required, to pay for them?	D N/A D Yes  D No
     If "Yes," explain how the charges are determined and attach a copy of the current fee schedule.
  b Does or will the organization limit its benefits, services, or products to specific individuals or
     classes of individuals?	D N/A D Yes  D No
     If "Yes," explain how the recipients or beneficiaries are or will be selected.
13   Does or will the organization attempt to influence legislation?	D Yes  D No
     If "Yes," explain. Also, give an estimate of the percentage of the organization's time and funds that it
     devotes or plans to devote to this activity.     *•
14   Does or will the organization intervene in any way in political campaigns, including the publication or
     distribution of statements?	D Yes  D No
     If "Yes," explain fully.

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 Form 1023 (Rev. 4-96)	.                                                               Page 5

 •iSilTT|   Technical Requirements


  1  Are you filing Form 1023 within 15 months from the end of the month in which your organization was
     created or formed?	Q y^  Q No
     If you answer "Yes," do not answer questions on lines 2 through 7 below.

  2  If one of the exceptions to the 15-month filing requirement shown below applies, check the appropriate box and proceed
     to question 8.
     Exceptions—You are not required to file an exemption application within 15 months if the organization:

     D a   Is a church, interchurch organization of local units of a church, a convention or association of churches, or  an
            integrated auxiliary of a church. See Specific Instructions, Line 2a, on page 4;
     D b   Is not a private foundation and normally has gross receipts of not more than $5,000 in each tax year; or

     D c   Is a subordinate organization covered by a group exemption letter, but only if the parent or supervisory orqanization
	timely submitted a notice covering the subordinate.	

 3   If the organization does not meet any of the exceptions on line 2 above, are you filing Form 1023 within
     27 months from the end of the month in which the organization was created or formed?	D Yes  D No

     If "Yes," your organization qualifies under section 4.01  of Rev. Proc. 92-85, 1992-2 C.B. 490, for an
     automatic 12-month extension of the 15-month filing requirement Do not answer questions 4 through 7.

     If "No," answer question 4.


 4-  If you answer "No" to question 3, has the organization been contacted by the IRS regarding its failure to
     file Form 1023 within 27 months from the end of the month in which the organization was created or
     formed?	D Yes  D No

     If "No," your organization is requesting an extension of time to apply under the "reasonable action and
     good faith" requirements of section 5.01 of Rev. .Proc. 92-85. Do not answer questions 5 through 7.

     If "Yes," answer question 5.


 5   If you answer "Yes" to question 4, does the organization wish to request relief from the 15-month filing
     requirement?	D Yes D No

    If "Yes," give the reasons for not filing this application prior to being contacted by the IRS. See Specific
    Instructions, Line 5, on page 4 before completing this item. Do not answer questions 6 and 7.

    If "No," answer question  6.


 6   If you answer "No" to question 5, your organization's qualification as a section 501(c)(3) organization can
    be recognized only from the date this application is filed with your key District Director. Therefore, do you
    want us to consider the application  as a request for recognition of exemption as a  section 501(c)(3)
    organization from the date the application is received and not retroactively to the date the organization
    was created or formed?	£] yes D  No


 7   If you answer "Yes" to question 6 above and wish to request recognition  of section 501(c)(4) status for the period beginning
    with the date the organization was formed and  ending with the date the  Form 1023 application was  received (the effective
    date of the organization's section  501(c)(3) status),  check here *• Q  and attach a completed page 1 of Form  1024 to this
    application.

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 Form 1023 (Rev. 4-96)
                                                                                                          Page 6
           Technical Requirements (Continued)
  8  Is the organization a private foundation?
     D  Yes  (Answer question 9.)
     D  No   (Answer question 10 and proceed as instructed.)
 9   If you answer "Yes" to question 8. does the organization claim to be a private operating foundation?
     D  Yes (Complete Schedule E.)
     D  No

     After answering question 9 on this line, go to line 15 on page 7.
10  If you answer "No" to question 8, indicate the public charity classification the organization is requesting by checkina the
    box below that most appropriately applies:                                                              s


    THE ORGANIZATION IS NOT A PRIVATE FOUNDATION BECAUSE IT QUALIFIES:
a D
b n
c U
d n
e D
* n
g u
h U
i U
As a church or a convention or association of churches
(CHURCHES MUST COMPLETE SCHEDULE A.)
As a school (MUST COMPLETE SCHEDULE B.)
As a hospital or a cooperative hospital service organization, or a
medical research organization operated in conjunction with a
hospital (MUST COMPLETE SCHEDULE C.)
As a governmental unit described in section 170(c)(1).
As being operated solely for the benefit of, or in connection with,
one or more of the organizations described in a through d, g, h, or i
(MUST COMPLETE SCHEDULE D.)
As being organized and operated exclusively for testing for public
safety.
As being operated for the benefit of a college or university that is
owned or operated by a governmental unit
As receiving a substantial part of its support in the form of
contributions from publicly supported organizations, from a
governmental unit, or from the general public.
As normally receiving not more than one-third of its support from
gross investment income and more than one-third of its support from
contributions, membership fees, and gross receipts from activities
related to its exempt functions (subject to certain exceptions).
Sections 509(a)(1)
and 170(b)(1)(A)(i)
Sections 509(a)(1)
and 170(b)(1)(A)(ii)
Sections S09(a)(1>
and 170(b)(1)(A)(iii)
Sections 509(a)(1) j
and 170(b)(l)(A){v) fl
Section 509(a)(3)
Section 509(a)(4)
Sections 509(a)(1)
and 170(b)(1)(A)(iv)
Sections 509(a)(1)
and 170(b)(1)(A)(vi)
Section 509(a)(2)
           The organization is a publicly supported organization but is not sure
           whether it meets the public support test of block h or block i. The
           organization would like the IRS to decide the proper classification.
Sections 509(a)(1)
and 170(b)(1)(A)(vi)
or Section 509(a)(2)
                    if you checked one of the boxes a through f in question 10, go to question
                       15. If you checked box g in question 10, go to questions 12 and 13.
                          If you checked box h, i, or j, in question 10, go to question 11.

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Form 1O23 \Rev.
                                                                                                               Page 7
           Technical Requirements (Continued)
11   If you checked box n, i, or j in question 10, has the organization completed a tax year of at least 8 months?
     G  Yes—Indicate whether you are requesting:                     :-
        D A definitive ruling  (Answer questions 12 through 15.)
        D An advance ruling (Answer questions 12 and 15 and attach two Forms 872-C completed and signed.)
     fj  No—You must request an advance ruling by completing and signing two Forms 872-C and attaching them to the
	application.	
12   If the organization received any unusual grants during any of the tax years shown in Part IV-A, attach a list for each year
     showing the name of the contributor; the date and the amount of the grant; and a brief description of the nature of the grant
13   If you are requesting a definitive ruling under section 170(b)(1)(A)(iv) or (vi), check here >• D  and:
  a  Enter 2% of line 8, column (e). Total, of Part IV-A.                                            	
  b  Attach a list showing the name and amount contributed by each person (other than a governmental unit or "publicly
     supported" organization) whose total gifts, grants, contributions, etc., were more than the amount entered on line 13a
     above.

14   If you are requesting a definitive ruling under section 509(a)(2), check here >•  O  and:
  a  For each of the years included on lines 1, 2, and 9 of Part IV-A, attach a list showing the name of and amount received
     from each  "disqualified person." (For a definition of "disqualified person," see  Specific Instructions, Part II, Line 4d, on
     page 3.)
  b  For each of the years included on line 9 of Part IV-A, attach a list showing the name of and amount received from each
     payer (other than a "disqualified person") whose payments to the organization were more than 55,000. For this purpose,
     "payer" includes, but is not limited to, any organization described in sections  170(b)(1)(A)(i) through (vi) and any
     governmental agency or bureau.	

15   Indicate if your organization is one of the following.  If so, complete the required schedule. (Submit
     only those schedules that apply to your organization. Do not submit blank schedules.)



     Is the organization a church?	


     Is the organization, or any part of it a school?	


     Is the organization, or any part of it, a hospital or medical research organization?	


     Is the organization a section 509(a)(3) supporting organization?	


     Is the organization a private operating foundation?	.	


     Is the organization, or any part of it a home for the aged or handicapped?	


     Is the organization, or any part of it a child care organization?	


     Does the organization provide or administer any scholarship benefits, student aid, etc.?  ....

     Has the oroanization taken over, or will it take over, the facilities of a "for profit" institution?.  .   .
Yes









No









If "Yes,"
complete
Schedule:
A
B
C
D
E
F
G
H
1

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Form 1023 (Rev. 4-361
                                                                                                               Page 3
           Financial Data
  Complete the financial statements for the current year and for each of the 3 years immediately before it. If in existence less
than 4 years, complete the statements for each year in existence. If in existence less than 1 year, also provide proposed
A. Statement of Revenue and Exoenses
Revenue |
(A
o

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Fom 1023 (Rev. 4-96)
                                                                                                             Page 9
             Financial Data (Continued)
                   B. Balance Sheet (at the end of the period shown)
 Current tax year
Date	
                                          Assets
 1  Cash ...............................

 2  Accounts receivable, net  ........................

 3  Inventories ......   '.  ......................

 4  Bonds and notes receivable (attach schedule) .................   —

 5  Corporate stocks (attach schedule) .....................

 6  Mortgage loans (attach schedule)  ........  .   ............

 7  Other investments  (attach schedule)  ............  ........

 8  Depreciable and depietable assets (attach schedule) ...............

 9  Land ...............................

10  Other assets (attach schedule) ......................

11           Total assets (add lines 1 through 10) .................

                                         Liabiiities

'12  Accounts payable   ................. ..........

13  Contributions, gifts, grants, etc., payable ...................

14   Mortgages and notes  payable (attach schedule)  ...........  .....    l4-

15   Other liabilities (attach schedule)    .....................

16           Total liabilities (add lines 12 through 15)   ...............      6

                               Fund Balances or Net Assets

17   Total fund balances or net assets   .....................

18_ _ Total liabilities and fund balances or net assets (add line 16 and line 17) .  .  .  .    18
If there has been any substantial  change in any aspect of the organization's financial activities since the end of the period
shown above, check the box and attach a detailed explanation .................... *"

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(Rev. April! 996)
Department of the Treasury
internal Revenue Service
    Consent Fixing Period of Limitation Upon
Assessment of Tax Under Section 4940 of the
               Internal Revenue Code


                (See instructions on reverse side.)	
                                                                                          OMB No. 1S45-0056
                                                                                            To be used with
                                                                                           Form 1023. Submit
                                                                                             in duplicate.
  Under section 6501{c){4) of the Internal Revenue Code, and as part of a request filed with Form  1023 that the
organization named beiow be treated as a publicly supported organization under section l70(b)(1)(A)(vi) or section
509(a)(2) during an advance ruling period,
            "(Exact legal name of organization as shown in organizing document)
                 ' '(Nuinoer, street city or town, state, and ZIP code)
                                                                                    District Director of
                                                                                   Internal Revenue, or
                                                                         and the        Assistant
                                                                                     Commissioner
                                                                                  (Employee Plans and
                                                                                  Exempt Organizations)
   Consent and agree that the period for assessing tax (imposed under section 4940 of the Code) for any of the 5
   tax years in the advance ruling period will extend 8 years, 4 months, and 15 days beyond the end of the first ,a
   year.
   However if a notice of deficiency in tax for any of these years is sent to the organization before the period
   expires, the time for making an assessment will be further extended by the number of days the assessment is
   prohibited, plus 60 days.
   Ending date of first tax year
                                       (Month, day. ana year)
Name of organization (as shown in organizing document)
Officer or trustee having authority to sign
Signature »• 	 	 	 •
For IRS use only
District Director or Assistant Commissioner (Employee Plans and Exempt Organizations)
Date
Titled-

Date
By»- 	 	 	 — 	 	 	 : 	 '
 For Paperwork Reduction Act Notice, see page 1 of trie Form 1023 Instructions.

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 FOOD 872-C (Rev. 4-96)
     You must complete this form and attach it to the Form 1023 if
     you checked box h, if or j of Part III, question 10, and the
     organization has not completed a tax year of at least 8 months.
           For example: If the organization incorporated May 1 5 and
                       its year ends December 31 , it has completed
                       a tax year of only Tk months. Therefore,
                       Form 872-C must be submitted.


 (a)   Enter the name of the organization. This must be entered
     exactly as it appears in the organizing document. Do not use
     abbreviations unless the organizing document does.

 (b)   Enter the current address.

 (c)   Enter the ending date  of the first tax year.

          • For example:
            (1)  If the organization was formed on June 15 and it has
                chosen December 31 as its year end, enter December 31,
                19 ...........
            (2)  If the organization was formed June 15 and it has chosen
                June 30 as its year end, enter June 30, 19 .......... . In this
                example, the organization's first tax year consists of only
                15 days.

(d)  The form must be signed by an authorized officer or trustee,
    generally the president or treasurer.

(e)  Enter the date that the form was signed.


                     DO  NOT MAKE ANY OTHER ENTRIES.

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form 10Z3 (Rev. 4-96)	  . 	; 	                             pa_e -j-j

	Schedule A. Churches

 1   Provide a brief history of the deveiopment of the organization, including the reasons
     for its formation.
 2  Does the organization have a written creed or statement of faith?. .  .  .  LJ Yes    D No

    If "Yes," attach a copy.	

 3  Does the organization require prospective members to renounce other
    religious beliefs or their membership in other churches or religious orders
    to become members?	[1 Yes    H3 No
 4  Does the organization have a formal code of doctrine and discipline for                 ~
    its members?	D Yes    D No

    If "Yes," describe.	

 5  Describe the form of worship and attach a schedule of worship services.
 6   Are the services open to the public?	'	D Yes    D No

    If "Yes," describe how the organization publicizes its services and explain the criteria for
    admittance.
7   Explain how the organization attracts new members.




8   (a) How many active members are currently enrolled in the church?


    (b) What is the average attendance at the worship services?


9   In addition to worship services, what other religious services (such as baptisms, weddings,
    funerals, etc.) does the organization  conduct?

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 Femi 1023 gtev. 4-96)	^	page 12

 	Schedule A. Churches (Continued)


 10 Does the organization have a school for the religious instruction of the
    young?	D Yes    D No

 11 Were the current deacons, minister, and/or pastor formally ordained after
    a prescribed course of study?	 .  . D Yes    D No
 12 Describe the organization's religious hierarchy or ecclesiastical government.
 13 Does the organization have an established place of worship?	'  .  D Yes    D No

    If "Yes," provide the name and address of the owner or lessor of the property
    and the address and a description of the facility.
    If the organization has no regular place of worship, state where the services
    are held and how the site is selected.
14  Does (or will) the organization license or otherwise ordain ministers (or their
    equivalent) or issue church charters?	D Yes   D No

    If "Yes," describe in detail .the requirements and qualifications needed to
    be so licensed, ordained, or chartered.
15  Did the organization pay a fee for a church charter?	n Yes    D No

    If "Yes," state the name and address of the organization to which the fee
    was paid, attach a copy of the charter, and describe the circumstances
    surrounding the chartering.
16 Show how many hours a week the minister/pastor and officers each devote
   to church work and the amount.of compensation paid to each of them. If
   the minister or pastor is otherwise employed, indicate by whom employed,
   the nature of the employment, and the hours devoted to that employment.

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• Forni 1OZ3 (Rev. 4-96)
                                           Page 13
                             Schedule A. Churches (Continued)
 17  Will any funds or property of the organization be used by any officer, director,
     employee, minister, or pastor for his or her personal needs or convenience?
                                                                                   D Yes    D No
     If "Yes," describe the nature and circumstances of such use.
 18  List any officers, directors, or trustees related by blood or marriage.
 19  Give the name of anyone who has assigned income to the organization or
     made substantial  contributions of money or other property.  Specify  the
     amounts involved.
                                            Instructions
Although a church, its integrated auxiliaries, or a
convention or association of churches is not required
to file Form 1023 to be exempt from Federal income
tax or to receive tax-deductible contributions, such an
organization may find it advantageous to obtain
recognition of exemption. In this event, you should
submit information showing that your organization is a
church, synagogue, association or convention of
churches, religious order or religious organization that
is an integral part of a church, and that it is carrying
out the functions of a church.
  In determining whether an admittedly religious
organization is also a church, the IRS does not accept
any and every assertion that such an organization is a
church. Because  beliefs and practices vary so widely,
there is no single definition of the word "church" for
tax purposes. The IRS considers the facts and
circumstances of each organization applying for church
status.
  The IRS maintains two basic guidelines in
determining that an organization meets the religious
purposes test
  1. That the particular religious beliefs of the
organization are truly and sincerely held,  and
  2. That the practices and rituals associated with the
organization's religious beliefs or creed are not illegal
or contrary to clearly defined public policy.
  In order for the IRS to property evaluate your
organization's activities and religious purposes, it is
important that all questions in Schedule A be
answered accurately.
  The information submitted with Schedule A will  be a
determining factor in granting the "church" status
requested by your organization. In completing the
schedule, consider the following points:
  1. The organization's activities in  furtherance of  its
beliefs must be exclusively religious, and
  2. An organization will not qualify for exemption if it
has a substantial nonexempt purpose of serving the
private interests of its founder or the founder's family.

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Form 1023 (Rev. -»-9S)	Page IS

                      Schedule  B. Schools, Colleges,  and Universities	
 1  Does, or will, the organization normally have: (a) a regularly scheduled curriculum, (b) a regular faculty
    of qualified teachers, (c) a regularly enrolled student body, and (d) facilities where its educational activities
    are regularly carried on?	-	U Yes U No
    If "No," do not complete the rest of Schedule B.		
 2  Is the organization an instrumentality of a state or political subdivision of a state?	D Yes D No
    If "Yes," document this in Part II and do not complete items 3 through 10 of Schedule B. (See instructions
    on the back of Schedule B.)		
 3  Does or will the organization (or any department or division within it) discriminate in any way on the basis
    of race with respect to:                                                                                  _
  a Admissions?	^ Yes D No
  b Use of facilities or exercise of student privileges?	•  •  •   •  LJ Yes U No
  c Faculty or administrative staff?	U Yes U No
  d Scholarship or loan programs?	.'	•	l_ Yes U No
    If "Yes" for any of the above, explain.
 4   Does the organization include a statement in its charter, bylaws, or other governing instrument, or in a
     resolution of its governing body, that it has a racially nondiscriminatory policy as to students?.  .  .   .  U Yes U No

     Attach whatever corporate resolutions or other official statements the organization  has made on this
     subject.	—	'•	:	
 5a  Has the organization  made its racially nondiscriminatory policies  known in a manner that brings toe
     policies to the attention of all segments of the general community that it serves?	U Yes U No

     If "Yes," describe  how  these policies have been publicized and how  often relevant  notices or
     announcements have  been made. If no newspaper or broadcast media notices have been used, explain.
   b If applicable, attach clippings of any relevant newspaper notices or advertising, or copies of tapes or
     scripts used for media broadcasts. Also attach copies of brochures and catalogues dealing with student
     admissions, programs, and scholarships, as well as representative copies of all written advertising used
     as a means of informing prospective students of the organization's programs.	
  6  Attach a numerical schedule showing the racial composition, as of the current academic year, and projected to the extent
     feasible for the next academic year, of:  (a) the student body, and  (b) the faculty and administrative staff.	
~7  Attach a list showing the amount of any scholarship and loan funds awarded to students enrolled and the racial composition
     of the students who have received the awards.	
  8a Attach a list of the organization's incorporators. founders-, board members, and donors of land or buildings, whether individuals
     or organizations.
   b State  whether any of the organizations listed in 8a have as an objective the maintenance of segregated public or private
     school education, and, if so. whether any of the individuals listed in 8a are officers or active members of such organizations.
  9a Enter  the public school district and county in which the organization is located.


   b Was the organization formed or substantially expanded at the time of public school desegregation in the
     above district or county?	-'	•.   .  .   l_l Yes i_J MO
 10  Has the organization ever been determined by a state or Federal  administrative agency or judicial body
     to be  racially discriminatory?	U Yes U No

     If "Yes " attach a detailed explanation identifying the parties to the suit the forum in which the case was
     heard,'the cause of action, the holding in the case, and the citations (if any) for the case.  Also describe
     in detail what changes in the organization's operation, if any, have occurred since then.

                                      For more information, see back of Schedule B.

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  Form 1023 (Rev. 4-96)
                                                                                                          16
                                               Instructions
 A "school" is an organization that has the primary
 function of presenting formal instruction, normally
 maintains a regular faculty and curriculum, normally
 has a regularly enrolled student body, and has a place
 where its educational activities are carried on. The
 term generally corresponds to the definition of an
 "educational organization" in section 170(b)(1)(A)(ii).
 Thus, the term includes primary, secondary,
 preparatory and high schools, and colleges and
 universities. The term does not include organizations
 engaged in both educational and noneducational
 activities unless the latter are merely incidental to the
 educational activities. A school for handicapped
 children is included within the term, but an
 organization merely providing handicapped children
 with custodial care is not.
   For purposes of Schedule B,  "Sunday schools" that
 are conducted by a church are not included in the
 term "schools," but separately organized schools (such
 as parochial schools, universities, and similar
 institutions) are included in the term.
   A private school that otherwise meets the
 requirements of section 501(c)(3) as an educational
 institution will not qualify for exemption under section
 501 (a) unless it has a racially nondiscriminatory policy
 as to students. This policy means that the school
 admits students of any race to all the rights, privileges,
 programs, and activities generally accorded or made
 available to students at that school and that the school
 does not discriminate on the basis of race in the
administration of its educational policies, admissions
policies, scholarship and loan programs, and athletic or
 other school-administered programs. The IRS
 considers discrimination on the basis of race to include
 discrimination on the basis of color and  national or
 ethnic origin. A policy of a school that favors racial
 minority groups in admissions, facilities,  programs, and
 financial assistance will not constitute discrimination on
 the basis of race when the purpose and effect is to
 promote the establishment and maintenance of that
 school's racially nondiscriminatory policy as to
 students. See Rev. Proc. 75-50, 1975-2 C.B. 587, for
 guidelines and recordkeeping requirements for
 determining whether private schools that are applying
 for recognition of exemption have racially
 nondiscriminatory policies as to students.

 Line  2

 An instrumentality of a state or political subdivision of
 a state may qualify under section 501(c)(3) if it is
 organized as a separate entity from the governmental
 unit that created it and if it otherwise meets the
 organizational and operational tests of section
 501(c)(3). (See Rev. Rul. 60-384. 1960-2 C.B.  172.) Any
 such organization that is a school is not a private
 school and, therefore, is not subject to the provisions
 of Rev. Proc. 75-50.
  Schools that incorrectly answer "Yes" to line 2 will
 be contacted to furnish the information called for by
 lines 3 through 10 in order to establish that they meet
the requirements for exemption. To prevent delay in the
processing of your application, be sure to answer iine
2 correctly and complete lines 3 through 10, if
applicable.

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 Form 1023 (Rev. 4-96)                                                                                            p
               Schedule C. Hospitals and Medical Research  Organizations

  LJ  Check here if claiming to be a hospital; complete tine .questions in Section I of this schedule; and write "N/A" in Section II.
  LJ  Check here if claiming to be a medical research organization operated in conjunction with a hospital; complete the
      questions in Section II of this schedule; and write "N/A" in Section I.
^questions in Section II of this schedule: and write "N/A" in Section 1.
regiTTT^i    Hospitals
  1a How many doctors are on the hospital's courtesy staff?.
   b Are all the doctors in the community eligible for staff privileges?	[J~ yes Q NO
     If "No," give the reasons why and explain how the courtesy staff is selected.


  2a Does the hospital maintain a full-time emergency room?.	fl yes Q NO
   b What is the hospital's policy on administering emergency services to persons without apparent means
     to  pay?
   c Does the hospital have any arrangements with police, fire, and voluntary ambulance services for the
     delivery or admission of emergency cases?	Q yes  CD No
     Explain.
  3a  Does or will the hospital require a deposit from persons covered by Medicare or Medicaid in its admission
     Practices?	'	D Yes D No
     If "Yes," explain.



  b  Does the same deposit requirement, if any, apply to all other patients?.	O Yes [H No
     If "No," explain.
 4   Does or will the hospital provide for a portion of its services and facilities to be used for charity patients?  D Yes D No
     Explain the policy regarding charity cases. Include data on the hospital's past experience in admitting
     charity patients and arrangements it may have with municipal or government agencies for absorbing the
     cost of such care.
 5  Does or will the hospital carry on a formal program of medical training and research?                  d Yes 0 No
    If "Yes," describe.
 6  Does the hospital provide office space to physicians carrying on a medical practice?	O Yes  Cj No
    If "Yes," attach a list setting forth the name of each physician, the amount of space provided, the annual
^rent^he expiration date of the current lease and whether the terms of the lease represent fair market value.	_*
BtBiBBlTj   Medical Research Organizations	
 1  Name the hospitals with which  the organization has a relationship and describe the relationship.
 2  Attach a schedule describing the organization's present and proposed (indicate which} medical research activities; show
    the nature of the activities, and the amount of money that has been or will be spent in carrying them out (Making grants to
    other organizations is not direct conduct of medical research.)   .	

 3  Attach a statement of assets showing their fair market value and the portion of the assets directly devoted to medical
    research.	
                                    For more information, see back of Schedule C.

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  Form 1023 (Rev. 4-95)
                                                                                                     Page 18
                                        Additional Information
 Hospitals

 To be entitled to status as a "hospital," an organization
 must have, as its principal purpose or function, the
 providing of medical or hospital care or medical
 education or research. "Medical care" includes the
 treatment of any physical or mental disability or
 condition, the cost of which may be taken as a
 deduction under section 213, whether the treatment is
 performed on an inpatient or outpatient basis. Thus, a
 rehabilitation institution, outpatient clinic, or community
 mental health or drug treatment center may be a
 hospital if its principal function is providing the
 above-described services.
  On the other hand, a convalescent home or a home
for children or the aged is not a hospital. Similarly, an
institution whose principal purpose or function is to
train handicapped individuals to pursue some vocation
is not a hospital. Moreover, a medical education or
medical research institution is not a hospital, unless it
is also  actively engaged in providing medical or
hospital care to patients on its premises or in its
facilities on an inpatient or outpatient basis.
 Cooperative Hospital Service Organizations
 Cooperative hospital service organizations (section
 501 (e)) should not complete Schedule C.

 Medical Research Organizations
 To qualify as a medical research organization, the
 principal function of the organization must be the
 direct, continuous, and active conduct of medical
 research in conjunction with a hospital that is
 described in section 501(c)(3), a Federal hospital, or an
 instrumentality of a governmental unit referred to in
 section 170(c)(1). For purposes of section
 170(b)(1)(A)(iii) only, the organization must be set up to
 use the funds it receives in the active conduct of
 medical research by January 1  of the fifth calendar
 year after receipt. The arrangement it has with donors
 to assure use of the funds within the 5-year period
 must be legally enforceable. As used here, "medical
 research" means investigations,  experiments, and
 studies to discover, develop, or verify knowledge
relating to the causes, diagnosis, treatment,
prevention, or control of human physical or mental
diseases and impairments. For further information  see
Regulations section 1.170A-9(c)(2).

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Form 1023 (Rev. 4-96)
                                                                                                               f>ags
Schedule D. Section 509(a)(3) Supporting Organizations
la Oraanizations suoported bv the apolicant orqanization:
Name and address of supported organization










b Has the supported
or determination le
foundation by reas
D Yes
D Yes
DYes
D Yes
D Yes
organization received a ruling
tter that it is not a private
on of section 509(a)(1) or (2)?
D No
D No
n NO
n NO
n NO
   c If "No" for any of the organizations listed in la, explain.
  2  Does the supported organization have tax-exempt status under section 501(c)(4), 501(c)(5), or 501(c)(6)?   D Yes  D No
     If "Yes," attach: (a) a copy of its ruling or determination letter, and (b) an analysis of its revenue for the
     current year and the preceding 3 years. (Provide the financial data using the formats in Part IV-A (lines
     1-13) and Part III (lines 12, 13, and 14).)	
  3  Does your organization's governing document indicate that the majority of its governing board is elected
     or appointed by the supported organizations?	U1 Yes  D No
     If "Yes," skip to line 9.
     If "No," you must answer the questions on lines 4 through 9.	
  4  Does your organization's governing document indicate the common supervision or control that it and the
     supported organizations share?	L-J Yes  LJ No
     If "Yes," give the article and paragraph numbers. If "No," explain'.
  5  To what extent do the supported organizations have a significant voice in your organization's investment policies, in the making
     and timing of grants, and in otherwise directing the use of your organization's income or assets?
  6  Does the mentioning of the supported organizations in your organization's governing instrument make it
     a trust that the supported organizations can enforce under state law and compel to make an accounting?   LJ Yes  LJ No
     If "Yes," explain.
  7a What percentage of your organization's income does it pay to each supported organization?
   b What is the total annual income of each supported organization?
   c How much does your organization contribute annually to each supported organization?
                                      For more information, see back of Schedule D.

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 ftxm 1023 (Rev. 4-96)	Page 20


       Schedule D. Section 509(a)(3) Supporting Organizations (Continued)


  8 To what extent does your organization conduct activities that would otherwise be carried on by the supported organizations?

    Explain why these activities would otherwise be carried on by the supported organizations.
  9 Is the applicant organization controlled directly or indirectly by one or more "disqualified persons" (other

    than one who is a disqualified person solely because he or she is a manager) or by an organization that

    is not described in section 509(a)(1) or (2)?	D Yes D No

    If "Yes," explain.
                                          Instructions


For an explanation of the types of organizations            Line 3

             °" y& fn^t1nnei^epnhdS7fr°m **     Your organization's governing document may be
       3    P     foundaaon. see Pub. 557,            articles of incorporation, articles of association,

                                                    constitution, trust indenture, or trust agreement.


Une 1                                              Line 9
                                                    assr- •„ "asTS ess
organization has received a letter recognizing exempt       SSSSfiSi^r?       P 9
stilus as a section 501(c)(3> public chlrity as defined
in section 509(a)(1) or 509(a)(2). If you answer "No" in
1b to any of the listed organizations, please explain in

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 Form 1023 (Rev. 4-96)
                                                                                                             Page Zt
                          Schedule E. Private Operating  Foundations
                                           Income Test

  1a Adjusted net income, as defined in Regulations section 53.4942(a)-2(d)	
   fa Minimum investment return, as defined in Regulations section 53.4942(a)-2(c)	
  2  Qualifying distributions:
   a Amounts (including administrative expenses) paid directly for the active conduct of the activities for
     which organized and operated under section 501(c)(3) (attach schedule)	
   b Amounts paid to acquire assets to be used (or held for use) directly in carrying out purposes described
     in section 170(c)(1) or 170(c)(2)(B) (attach schedule)	
   c Amounts set aside for specific projects  that are for purposes described in section  170(c)(1) or
     170(c)(2)(B) (attach schedule)	
   d Total qualifying distributions (add lines 2a, b, and c)	
  3  Percentages:
   a Percentage of qualifying distributions to adjusted net income (divide line 2d by line la)	
   b Percentage of qualifying distributions to minimum investment return (divide line 2d by line 1b).  .   .
     (Percentage must be at least 85% for 3a or 3b)	
                                                                                                     Most recent
                                                                                                       tax year
                                                                                                  1a
                                                                                                  1b
                                                                                                  2a
                                                                                                  2b
                                                                                                  2c
                                                                                                  2d
                                                                                                  3a
                                                                                                  3b
                                           Assets Test
     Value of organization's assets used in activities that directly carry out the exempt purposes. Do not
     include assets held merely for investment or production of income (attach schedule)	
     Value of any stock of a corporation that is controlled by applicant organization  and carries out its
     exempt purposes (attach statement describing corporation)	
     Value of all qualifying assets (add lines 4 and 5)	
     Value of applicant organization's total assets	
     Percentage of qualifying assets to total  assets (divide line 6 by line 7—percentage  must exceed 65%)
                                         Endowment Test
 9   Value of assets not used (or held for use) directly in carrying out exempt purposes:
  a  Monthly average of investment securities at fair market value	
  b  Monthly average of cash balances	
  c  Fair market value of all other investment property (attach schedule)	
  d  Total (add lines 9a, b, and c)	
10   Acquisition indebtedness related to line 9 items (attach schedule)	
11   Balance (subtract line 10 from line 9d)   .	
12   Multiply line 11 by 3Vs% (% of the percentage for the minimum investment return computation under
     section 4942(e)). Line 2d above must equal or exceed the result of this computation	
                                                                                                  9b
                                                                                                  9c
                                                                                                  9d
                                                                                                  10
                                                                                                  11
                                                                                                  12
                                                                                                 13
                                                                                                 14
                                                                                                 15
                                                                                                 16
                                                                                                 17
                                                                                                 18
                                                                                                 19
                                          Support Test
13   Applicant organization's support as defined in section 509(d)	
14   Gross investment income as defined in section 509(e)	
15   Support for purposes of section 4942fl)(3)(B)(iii) (subtract line 14 from line 13)	
16   Support received from the general public, five or more exempt organizations, or a combination of
     these sources (attach schedule)	
17   For persons (other than exempt organizations) contributing more than 1% of line 15, enter the total
     amounts that are more than 1% of line 15	
18   Subtract line 17 from line 16	
19   Percentage of total support (divide line 18 by line 15—must be at least 85%)	
20   Does line 16 include support from an exempt organization that is more than 25% of the amount of
     line 15?	U  Yes U  No
21   Newly created organizations with less than 1 year's experience: Attach a statement explaining how the organization is planning
     to satisfy  the requirements of section 4942Q)(3) for the income test and one of the supplemental tests during its first year's
     operation. Include a description of plans and arrangements, press clippings, public announcements, solicitations for funds,
     etc.	^	^___
22   Does the  amount entered on line 2a above include any  grants that the applicant organization made?     d  Yes Q  No
     If "Yes." attach a statement explaining how those grants satisfy the criteria for 'significant involvement"
     grants described in section 53.4942(b)-1(b)(2) of the regulations.	.	
                                     For more information, see back of Schedule E.

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Form 1023 (Rev. 4-96)
                                                                                                  Page 22
                                          Instructions
If the organization claims to be an operating foundation
described in section 4942(j)(3) and—
  a. Bases its claim to private operating foundation
status on normal and regular operations over a period  .
of years; or
  b. Is newly created, set up as a private operating
foundation, and has at least 1 year's experience;
provide the information under the income test and
under one of the three supplemental tests (assets,
endowment, or support). If the organization does not
have at least 1 year's experience, provide the
information called for on line 21. If the organization's
private operating foundation status depends on its
normal and regular operations as described in a above,
attach a schedule similar to Schedule E showing the
data in tabular form for the 3 years preceding the most
recent tax year.  (See Regulations section 53.4942(b)-1
for additional information before completing the
"Income Test" section of this schedule.) Organizations
claiming section '4942(j){5) status must satisfy the
income test and the endowment test
  A "private operating foundation" described in section
4942(0(3) is a private foundation that spends
substantially all  of the smaller of its adjusted net
income (as defined below) or its  minimum investment
return directly for the active conduct of the activities
constituting the purpose or function for which  it is
organized and operated. The foundation must satisfy
the income test under section 4942(j)(3)(A), as modified
by Regulations section 53.4942(b)-1, and one of the
following three supplemental tests: (1) the assets test
under section 4942(j)(3){B)(i); (2) the endowment test
under section 4942Q)(3)(B)(ii); or (3) the support test
under section 4942{j}(3)(B)(iii).
  Certain long-term care facilities described in section
4942(0(5) are treated as private operating, foundations
for purposes of section 4942 only.
  "Adjusted  net income" is the excess of gross income
determined with the income modifications described
below for the tax year over the sum of deductions
determined with the deduction modifications described
below. Items of gross income from any unrelated  trade
or business and the deductions directly connected
with the unrelated trade or business are taken into
account in computing the organization's adjusted net
income.

income Modifications
The following are income modifications {adjustment to
gross income):
  1. Section 103 (relating to interest on certain
governmental obligations) does not apply. Thus,
interest that otherwise would have been excluded
should be included in gross income.
  2. Except as  provided in 3 below, capital gains and
losses are taken into account only to the extent of the
net short-term gain. Long-term gains and losses  are
disregarded.
  3. The gross amount received from the sale or
disposition of certain property should be included in
gross income to the extent that the acquisition of the
property constituted a qualifying distribution under
section 4942(g)(1)(B).
  4. Repayments of prior qualifying distributions (as
defined in section 4942(g)(1)(A)) constitute items of
gross income.
  5. Any amount set aside under section 4942(g)(2)
that is "not necessary for the purposes for which it
was set aside" constitutes an item of gross income.

Deduction Modifications
The following are deduction modifications (adjustments
to deductions):
  1. Expenses for the general operation of the
organization according to Its charitable purposes (as
contrasted with expenses for the production or
collection of income and management, conservation,
or maintenance of income-producing property) should
not be taken as deductions. If only a portion of the
property is used for production of income subject to
section 4942 and the remainder is used for general
charitable purposes, the expenses connected with that
property should be divided according to those
purposes. Only expenses related to the income-
producing portion should be taken as deductions.
  2. Charitable contributions, deductible under section
170 or 642(c), should not be taken into account as
deductions for adjusted net income.
  3. The net operating loss deduction prescribed under
section 172 should not be taken into account as a
deduction for adjusted net income.
  4. The special deductions for corporations  (such  as
the dividends-received deduction) allowed under
sections 241  through 249 should not be taken into
account as deductions for adjusted net income.
  5.  Depreciation and depletion should be determined
in the same manner as under section 4940(c)(3)(B).
  Section 265 (relating to the expenses and interest
connected with tax-exempt income) should not be
taken into account.
  You may find it easier to figure adjusted net income
by completing column (c), Part 1, Form 990-PF,
according to the instructions for that form.
  An organization that has been held to be a  private
operating foundation will continue to be such an
organization only if it meets the income test and either
the assets, endowment, or support test in later years.
See  Regulations section 53.4942(b) for additional
information. No additional request for ruling will be
necessary or appropriate for an organization to
maintain  its status as a private operating foundation.
However, data related to the above tests must be
submitted with the organization's  annual information
return. Form 990-PF.

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  Fotm 1Q23 ^Rev. 4-96)
       "	—	—		_____	',	Page 23

  	Schedule F. Homes for the Aged or Handicapped

   1  What are the requirements for admission to residency? Explain fully and attach promotional literature and application forms.'
   2  Does or will the home charge an entrance or founder's fee?    .   .  .              "       "    FTy   FTM
      If "Yes." explain and specify the amount charged.          	      es U No
  3  What periodic fees or maintenance charges are or will be required of its residents?
  4a What established policy does the home have concerning residents who become unable to pay their regular charges?
                                                                         -*
 5  What arrangements does or will the home have to provide for the health needs of its residents?
 6
                                                                   n °      »• -— .
                              'S ***** ** S9^ ^ ** reSide"tial """^ of *» home and ** current
8  Attach a sample copy of the contract or agreement the organization makes with or requires of its residents.
                               For more information, see back of Schedule F.

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 Fomj 1023 (Rev. 4-96)
                                                                                      Page 24
                                       Instructions
Linel
Provide the criteria for admission to the home
and submit brochures, pamphlets,  or other
printed material used to inform the public
about the home's admissions policy.

Line 2
Indicate whether the fee charged is an
entrance fee or a monthly charge, etc. Also, if
the fee is an entrance fee, is it payable in a
lump sum or on an installment basis?
 Line 4
 Indicate the organization's policy regarding
 residents who are unable to pay. Also,
 indicate whether the organization is
 subsidized for all or part of the cost of
 maintaining those  residents who are unable to
 Pay-

 Line 5
 Indicate whether the organization provides
 health care to the  residents, either directly or
 indirectly, through  some continuing
 arrangement with other organizations,
facilities, or health personnel. If no health
care is provided, indicate "N/A."

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                                                                                       25
                       Schedule G. Child Care Organizations
  1  Is the organization's primary activity the providing of care for children away
     from their homes?.  .......  .  .  ................  n Yes   D No

  2  How many children is the organization authorized to care for by the state (or local governmental
     unit), and what was the average attendance during the past 6 months, or the number of months
     the organization has been in existence if less than 6 months?


  3  How many children are currently cared for by the organization?


  4  Is substantially all (at least 85%) of the care provided  for the purpose of
     enabling parents to be gainfully employed or to seek employment?       D Yes   D No
  5  Are the services provided available to the general public? ........ . D Yes   D No
     If "No," explain.
  6 Indicate the category, or categories, of parents whose children are eligible for the child care
    services (check as many as apply):

     D  low-income parents

     D  any working parents (or parents looking for work)

     D  anyone with the ability to pay

     D  other (explain)


                                      Instructions

Line 5                                        REMINDER—If this organization claims to
If your organization's services are not available    operate a school, then it must also fill out
to the general public, indicate the particular    Schedule B.
group or groups that may utilize the services.

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Fonn 1023 (Rev. 4-96)                                                                                               Page 27

     Schedule H. Organizations Providing Scholarship Benefits, Student Aid, etc., to Individuals

  la Describe the nature and the amount of the scholarship benefit student aid, etc., including the terms and conditions governing
     its use, whether a gift or a loan, and how the availability of the scholarship is publicized. If the organization has established
     or will establish several categories of scholarship benefits,  identify each kind of benefit and explain how the organization
     determines the recipients for each category. Attach a sample copy of any application the organization requires individuals to
     complete to be considered for scholarship grants, loans, or similar benefits. (Private foundations that make grants for travel,
     study, or other similar purposes are required to obtain advance approval of scholarship procedures. See Regulations sections
     53.494S-4(c) and (d).)
   b If you want this application considered as a request for approval of grant procedures in the event we determine that the
    organization is a private foundation, check here	>   \H

   c If you checked the box in 1 b above, check the boxes for which you wish the organization to be considered.

    D 4945(g)(1)   	D 4945(g)(2)	D 4945(g)(3)	
  !  What limitations or restrictions are there on the class of individuals who are eligible recipients? Specifically explain whether
    there are, or will be, any restrictions or limitations in the selection procedures based upon race or the employment status of
    the prospective recipient or any relative of the prospective recipient. Also indicate the approximate number of eligible individuals.
 3  Indicate the number of grants the organization anticipates making annually
    If the organization bases its selections in any way on the employment status of the applicant or any relative of the applicant,
    indicate whether there is or has been any direct or indirect relationship between the members of the selection committee and
    the employer. Also indicate whether relatives of the members of the selection committee are possible recipients or have been
    recipients.
    Describe any procedures the organization has for supervising grants (such as obtaining reports or transcripts) that it awards
    and any procedures it has for taking action if the terms of the grant are violated.
                                     For more information, see back of Schedule H.

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Form 1023 (Rev. 4-96}
                                                                                     Page 28
                                 Additional Information
Private foundations that make grants to
individuals for travel, study, or other similar
purposes are required to obtain advance
approval of their grant procedures from the
IRS. Such grants that are awarded under
selection procedures that have not been
approved by the IRS are subject to a 10%
excise tax under section 4945. (See
Regulations  sections 53.4945-4(c) and (d).)

  If you are  requesting advance approval of
the organization's grant procedures, the
following sections apply to line 1c:

4945(g)(1)— The    grant     constitutes    a
            scholarship or fellowship grant that
            meets the  provisions of section
            117(a) prior to  its amendment by
            the Tax Reform Act of 1986 and is
            to  be  used   for study  at  an
            educational organization  (school)
            described in section 170(b)(1)(A)(ii).
4945(g)(2)—The grant constitutes a  prize or
           award  that  is  subject  to  the
           provisions of section 74(b), if the
           recipient of such a prize or award
           is selected from the general public.

4945(g)(3)—The purpose of the grant is to
           achieve   a  specific  objective,
           produce a report or  other similar
           product, or improve or enhance a
           literary, artistic, musical, scientific,
           teaching, or other similar capacity,
           skill, or talent of the grantee.

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   OTV> -KS3 VUev. 4-9B)                                                                                               2g

    	Schedule  I. Successors to "For Profit" Institutions

   1   What was the name of the predecessor organization and the nature of its activities?


   2   Who were the owners or principal stockholders of the predecessor organization? (If more space is needed  attach	
       schedule.)
                                        Name and address
                                                                                                 Share or interest
  3   Describe the business or famiiy relationship between the owners or principal stockholders and principal employees of
      predecessor organization and the officers, directors, and principal employees of the applicant organization.
  4a  Attach a copy of the agreement of sale or other contract that sets forth the terms and conditions of sale of the predecessor
      organization or of its assets to the applicant organization.
   b  Attach an appraisal by an independent qualified expert showing the fair market value at the time of sale of the facilities or
      property interest sold.


  5   Has any property or equipment formerly used by the predecessor organization been rented to the applicant
      organization or will any such property be rented?  ......	                  Q yes r]  No
      If "Yes," explain  and attach copies of all leases and  contracts.
  6  Is the organization leasing or will it lease or otherwise make available any space or equipment to the
     owners, principal stockholders, or principal employees of the predecessor organization?.  .....  Q Yes D No
     If "Yes," explain and attach a list of these tenants and a copy of the lease for each such tenant.
 7   Were any new operating  policies initiated as  a  result of the transfer of assets from a profit-making
     organization to a nonprofit organization?	     Q Yes  D No
     If "Yes," explain.
                                           Additional Information
A Tor profit" institution for purposes of Schedule I          stock, or otherwise exercise an ownership interest The
includes any organization in which a person may have      institution need not have operated for the purpose of
a proprietary or partnership interest, hold corporate         making a profit.'

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  Activity Code Numbers of Exempt Organizations (select up to three codes that best describe or most accurately identify your organization's purposes,
  activities, operations or type of organization and enter in block 6, page 1, of the application. Enter first the code that most accurately identifies the organization.)
   Cod*

   Religious Activities
   001 Church, synagogue, etc.
   002 Association or convention of churches
   003 Refigous oroer
   004 Church auxiliary
   005 Mission
   005 Missionary activities
   007 Evangefam
   003 ReHgwus publishing activities
   — 8oOKStrxe(use918)
   — Genealogical activities fuse 094)
   029 Omer reSgious activities
   Schools, CoB^rs. and ReUttd Activities
   030 School. coSege. trade school, etc.
   031 Special school for the Wind,
       handicapped, etc.
   032 Nursery school
   — Day car* center (use 574)
   033 Faculty group
   034 Alumn association or group
   035 Pjrent or parent-teachers association
   036 rraienwy or soronty
   ... Key duo (use 323)
   037 Omer student society or group
   033 Scnool or coBege athletic association
   039 Scnoajsnips (or children of employees
   040 Scnottrstups (other)
   041 Student loans
   042 Student housing activities
   043 Omer student aid
   044 Student exchange with foreign country
   045 Student operated business
   — financial support of scnools. colleges
       etc. {use 602)
   — Aonevenwjit prizes or awards (use 914
   -•• Student bookstore (use 918)
   — Student travel (use 299)
   — Scientific researcn (see Scientific
       Research Activities)
   046 Private school
   059 Omer school related activities
  CuGunL Historical or Other Educational
  Acorrnes
   060 Museum, zoo. planetarium, etc.
   051  Library
  052 Historical site, records, or reenactment
  OS3  Monument
  054  Commemorative event (centennial.
       festival, pageant, etc.)
  055  Fair
  038  Community theatrical group
  089  Singing society or group
  090  Cultural performances
  091  Art exhibit
  092  literary activities
  033  Cutoral excnanges with foreign country
  094  Genealogical activities
   —  Achievement prizes or awards (use 914.
   —  Qfts or grants to individuals (use 561]
   --•  Firanaalsupport of cultural
       organizations (use 602)
  119  Omer cultural or historical activities
  Other Instruction and Training Activities
  120  PubSshing activities
  121  Radio or television broadcasting
  122  Proooong films
  123  Discussion groups, forums, panels,
       lectures, etc.
  124  study and research ((unscientific)
  125  Giving information or opinion
       (see also Advocacy)
  125  Apprentice trairanq
   •••  Travel tours (use 299)
  149  Other Instruction and training
  HuRh Services and Related Activities
  150  Hosoiol
  151  noscital aimftary
  152  Nursing or convalescent home
  153  Caro and housing for the aged
       (S««alS0382)
  154  Hearth cfinte
  15!  Rural medical facility
  155  Stood bank
  157  Cooperative hospital service
       Grg&rizatiQn
  1SS  Rescue and emergency service
  159  Nurses register or bureau
:  160  Aid to me handicapped  (see also 031)
  161  Scientific research (diseases)
  162  Other medical research
  163  Health Insurance (medical, dental.
      optical etcj
  16*  Prepared group hearth plan
  165 Community health planning
  166 Mental health care
  167 Group medical practice association
  163 kvfacutw group practice association
  165 Hospital pharmacy, parking facility,
      food services, etc.
  179 Omer health services
 Scumific Research Activities
 ISO Contract or sponsored scientific •
      research for Industry
  Code

  181  Scientific research for government
  --•  Scientific researcn (diseases) (use 16'
  199  Other scientific research activities

  Business and Professional Organizations
  200  Business promotion (chamber of
       commerce, business league, etc.)
  201  Real estate association
  202  Board of trade
  203  Regulating business
  204  Promotion of fair business practices
  205  Professional association
  206  Professional association auxiliary
  207  Industry trade snows
  208  Convention displays
  —  Testing products for public safety
       (use 90S)
  209  Researcn. development and testing
  210  Professional athletic league
  - - -   Attracting new industry (use 403)
  —   Publishing activities (use 120)
  —   Insurance or other benefits for
       members (see Employee or
       Membership Benefit Organizations)
  211   Unoerwntina municipal insurance
  212 Assigned risk insurance activities
  213 Tounst bureau
  229 Otner business or professional group
  Farming and Related Activities
  230  Farming
  231  Farm bureau
 232 Agricultural group
 233 Horticultural oroup
 234  Farmers cooperative marketing or
      purchasing
 235  Financing crop operations
 - - -  FFA. FHA. 4-H dub. etc.  (use 322)
 —  Fair (use 065)
 236  Dairy nerd improvement association
 237  Breeders association
 249  Other farming and related activities
 Mutual Organizations
 250  Mutual ditch, irrigation, telephone.
      electric company, or like organization
 251  Credit union
 252  Reserve funds or insurance for
      domestic building and loan
      association, cooperative bank.
      or mutual savings bank
 253  Mutual insurance company
 254  Corporation organized under an
      Act of Congress (see also 904)
 —  Farmers cooperative marketing or
      purchasing (use 234)
 —  Cooperative Hospital service
      organization (use 157)
 259  Otner mutual organization
 Employee or Membership Benefit
 Organizations
 260  Fraternal beneficiary society, order.
      or association
 261  Improvement of conditions of workers
 262  Association of municipal employees
 263  Association of employees
 264  Employee or member welfare
      association
 265  Sick, accident, death, or similar
      benefits
 266  Strike benefits
 267  Unemployment benefits
 268  Pension or retirement benefits
 269  Vacation benefits
 279  Other services or benefits to
      members or employees
 Sports, Athletic, Recreational, and
 Social ActivrbBS
 280  Country dub
 281   Hobby dub
 282  Dinner dub
 283  Variety dub
 284  Dog dub
 285  Women's dub
 - --   Garden dub (use 356)
 286  Hunting or fishing club
 287   Swimming or tennis dub
 288   Other sports dub
—*   Boys Qub. Line League, etc. (use 321
296   Community center
297   Community recreational facilities
     (park, playground,  etc.)
298  Training in sports
299  Travel tours
300  Amateur athletic association
  --  School or college athletic association
     (use 038)
 101  Fundraising athletic or sports, event
 117  Other sports or athletic activities
 118  Other recreational activities
319  Other social activities
 Touth Activities
 120  Boy Scouts. Girt Scouts, etc.
 121  Boys dub. Uttie League,  etc.
  Code

  322 FFA. FHA. 4-H dub. etc.
  323 Key club
  324 YMCA. YWCA. YMHA. etc.
  325 Camp
  326 Care and housing of children
      (orphanage, etc.)
  327 Prevention of cruelty to children
  328 Combat juvenile delinquency
  349 Other youth organization or activities

  Conservation, Environmental, and
  Beautification Activities
  350 Preservation of natural resources
      (conservation)
  351  Combating or preventing pollution
      (air, water, etc.)
  352 Land acquisition for preservation
  353 Soil or water conservation
  354 Preservation of scenic beauty
  ---  Litigation (see Litigation ana Legal
      Aid Activities)
  •-•  Combat community deterioration
      (use 402)
  355  wildlife sanctuary or refuge
  356  Garden club
  379  other conservation, environmental.
      or beautincation activities
 Housing Activities
  380  Low-income housing
  381  Low and moderate income housing
 382  Housing for the aged (see also 153)
  --•  Nursing or convalescent home
      (use 152)
  •-•  Student housing (use 042)
  •--  Orpnanage (use 326)
 398  Instruction and guidance on housing
 399  Other housing activities
 Inner City or Community Activities
 400  Area development, redevelopment.
      or renewal
  --•  Housing (see Housing Activities)
 401  Homeowners association
 402  Other activity aimed at combating
      community deterioration
 403  Attracting new industry or retaining
      industry in an area
 404  Community promotion
  •-•  Community recreational facility
      (use 297)
  - --  Community center (use 296)
 405  Loans or grants for minority businesses
  - - -  Job training, counseling, or
      assistance (use 566)
 ---  Day care center (use 574)
 - -•  Referral service (social agencies)
      (use 569)
 --•  Legal aid to indigents (use 462)
 406  Crime prevention
 407  Voluntary firemen's organization or
      auxiliary
  --  Rescue squad (use  158)
 408  Community service organization
 429  Other inner city or community
      benefit activities
 Civil Rights Activities
 430  Defense of human and civil rights
 431  Elimination of prejudice and
     discrimination (race, religion.
     sex. national origin,  etc.)
 432 Lessen neiohborhood tensions
 449 Other civil fights activities
 Litigation and Legal Aid Activities
 460 Public interest litigation activities
 461  Other litigation or support of litigation
 462 Legal aid to indigents
 463 Providing bail
 Legislative and Political Activities
 480 Propose, support, or oppose legislation
 481  Voter information on issues or
     candidates
 482 Voter education (mechanics of
     registering, voting, etc.)
 483  Support, oppose, or rate political
     candidates
 484  Provide facilities or services for
     political campaign activities
 509  Other legislative and political activities
Attempt to influence public opinion
 onceming!
"10  Firearms control
 ill  Selective Service System
512  National defense policy
 13  Weapons systems
 114  Government spending
 115  Taxes or tax exemption
516  Separation of church and state
 i17  Government aid to parochial schools
 .18  U.S. foreign policy
 .19  U.S. military involvement
  Code

  520 Pacifism and peace
  521 Economic-political system of U.S.
  522 Anti-communism
  523 Right to work
  524 Zoning or rezoning
  525 Location of highway or transportation
      system
  526 Rights of criminal defendants
  527 Capital punishment
  528 Stricter law enforcement
  529 Ecology or conservation
  530 Protection of consumer interests
  531 Medical care service
  532 Welfare system
  533 Urban renewal
  534 Busing students to achieve racial
      balance
  535 Racial integration
  536 Use of intoxicating beverages
  537 Use of drugs or narcotics
  538 Use of tobacco
  539 Prohibition of erotica
  540 Sex education in public scnods
  541  Population control
  542 Birtn control metnods
  543 Legalized abortion
  559 Otner matters
 Other Activities Directed to Individuals
  560 Supplying money, goods, or services
      to me poor
 561  Gifts or grants to individuals (other
      than scholarships)
 • - -  Scholarships for children of
      employees (use 039)
 • - -  Scholarships (other) (use 040)
 • - -  Student loans (use 041)
 562  Otner loans  to individuals
 563  Marriage counseling
 564  Family planning
 565  Credit counseling and assistance
 566  Job training, counseling, or assistance
 567  Draft counseling
 568  Vocational counseling
 569  Referral service (social agencies)
 572  Rehabilitating convicts or ex-convicts
 573  Rehabilitating alcoholics, drug
      abusers,  compulsive gamblers, etc.
 574  Day care center
 575  Services for the aged (see also 153
      and 382)
   -  Training of or aid to the handicapped
      (see 031  and 160)
 Acthrieies Directed to Other Organizations
 600  Community Chest. United Way, etc.
 601  Booster dub
 602  Gifts, grants, or loans to other
      organizations
 603  Nonfinancial services or facilities to
     .other organizations

 Other Purposes and Activities
 900  Cemetery or burial activities
 901  Perpetual care fund (cemetery,
      columbarium, etc.)
 902  Emergency or disaster aid fund
 903  Community trust or component
 904  Government instrumentality or
      agency (see also 254)
 905 Testing products for public safety
 906  Consumer interest group
 907 Veterans  activities
 908  Pamotic activities
 909  4947(a)(1) trust
 910  Domestic organization with activities
     outside U.S.
 911  Foreign organization
 912 Title holding corporation
 913  Prevention of cruelty to animals
 914 Achievement prizes or awards
 915 Erection or maintenance of public
     building or works
 916 Cafetena. restaurant, snack bar.
     food services, etc.
 917 Thrift shop, retail outlet etc.
 918 Book. gift, or supply store
 919 • Advertising
 !20 Association of employees
 921  Loans or credit reporting
 922 Endowment fund or financial  services
 923 Indians (tribes, cultures, etc.)
924 Traffic or tariff bureau
925 Section 501(c)(1) with 50%
     deductibilrry
926 Government instrumentality other
     than section SOKcl
927 Fundraising
928  4947(3)0 trust
931  Withdrawal liability payment fund
990 Section 501(k) child care organization

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i

         -.'(JE-
Superfcind
Technical
Assistance
Grant (IRQ)
Handbook:
Applying
for Your
Grant
September 1998
-Tool 61-

-------

-------
             United States          EPA 540-K-93-003
             Environmental Protection     Publication 9230.1-09A
             Agency              PB93-963352
                              September 1993
             Office of Solid Waste and Emergency Response


&EPA      Superfund Technical

             Assistance Grant (TAG)

             Handbook:

             Applying For Your

             Grant

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                   EPA CONTACTS
For more information about the Technical Assistance Grant
                 (TAG) Program, contact:
                 Regional TAG Coordinator
             Community Involvement Coordinator
                 National TAG Coordinator
         U.S. Environmental Protection Agency (5204G)
                    401 M Street, SW
                  Washington, DC 20460
                     (703) 603-8889

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                         CONTENTS
 BASIC REQUIREMENTS
 The TAG Program [[[    1
 The Superfund Cleanup Process .................................. .".'."".""" ............... 1
 Beginning the Process [[[ _"" .................. 2
 Making Sure Your Group Is Eligible ................. .'.".".'."."""".'.".""."" ........... 3
 Demonstrating Your Group's Capabilities .................... "l."l"l........ 4
 Meeting Your Financial Requirements ................................. ""."."."   4
 Identifying Eligible Activities ........................................... .""I"."" ........... 6
 The TAG Application [[[    ................ o
 Intergovernmental Review ........................................... Z.......... .......... io
 Submitting Your Grant Application ........................................ ........ IQ
 EPA Evaluation of the Grant Application ............. ."."""" .................. n
 EPA Notification of Grant Applicants .............. lllZ......"..".".."." ......... H

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IV

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     BASIC REQUIREMENTS FOR APPLYING FORA
            TECHNICAL ASSISTANCE GRANT
 THE TAG PROGRAM
 Community involvement is an important part of the Environmental Pro-
 tection Agency's (EPA) efforts under the Superfund Program to respond
 to risks associated with the nation's worst hazardous waste sites The
 Technical Assistance Grant (TAG) Program provides funds for qualified
 citizens' groups affected by a Superfund site to hire independent techni-
 cal advisors to help interpret and comment on site-related information
 This booklet explains the basic program requirements that your group
 must meet to be eligible for a TAG and to successfully complete a TAG
 application. The TAG Program is governed by certain regulations,
 which are paraphrased throughout this booklet. It is important that you
 dearly understand these requirements and how they apply to the TAG
 Program.  If you wish, you may refer to the full text, recorded in the Code
 of Federal Regulations (CFR), Parts 30,33, and 35, subpart M. The full text
 is available from your library and your Regional TAG Coordinator.
THE SUPERFUND CLEANUP PROCESS  _i________.
The Comprehensive Environmental Response, Compensation and Li-
ability Act of 1980 (CERCLA), commonly known as "Superfund," pro-
vides the nation with its principal means of deaning up hazardous waste
sites that EPA has placed, or proposes to place, on the National Priorities
List (NPL). The NPL is the list of the nation's most serious hazardous
waste sites. Milestones in the deanup process indude the following:
  • Upon identification of a potentially
   contaminated site (discovery), EPA
   determines whether the site poses
   an immediate threat to human
   health or the environment that
   warrants immediate "removal"
   action. If a contamination problem
   exists but does not pose immediate
   danger to the community, EPA
   conducts a Preliminary Assess-
   ment/Site Inspection (PA/SI) to
   determine whether the site should
   be placed on the NPL.
 • Once a site is listed, EPA conducts
   detailed technical studies on the
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    nature and extent of the waste at the site. This examination of the
    site contamination and the identification of possible remedies is
    called a Remedial Investigation/Feasibility Study (RI/FS). This
    study outlines alternative methods of cleanup available and recom-
    mends the most suitable one. The Record of Decision (ROD), which
    is based on the documents that make up the RI/FS, identifies and
    explains the selected remedy.
  • After signing a ROD, EPA begins the Remedial Design (RD) phase,
    adapting the remedy chosen to site-specific conditions.  During
    Remedial Action (RA), EPA cleans up the site using the selected
    remedy. Operation and Maintenance activities may continue at the
    site for many years after the initial cleanup is completed.

TAGs are available at any time during the site cleanup process, but
most opportunities for effective community involvement exist during
the RI/FS  (sometimes called the "pre-ROD stage").  This is the stage
when most decisions about how to respond to site contamination are
made and when your technical advisor will be most useful to the mem-
bers of your group.
,/si- "X^r|i3c₯>ssi|fef;3^iiile

BEGINNING THE PROCESS  ———^—•
The TAG process begins when a group of individuals affected by a Super-
fund site listed, or proposed for listing, on the NPL submits either a Let-
                             ter of Intent (LOI) or a completed TAG
                             application to its EPA Regional Office.
                             EPA then notifies the community as a
                             whole that an application is or will
                             shortly be under review, giving other
                             potential applicants 30 days to contact
                             the original applicant to form a coali-
                             tion and submit a single application.
                           Since only one TAG may be awarded
                           for a site, EPA encourages groups to
                           consolidate in order to provide techni-
                           cal assistance to the most widely repre-
                           sentative group of individuals affected
                           by a site. If groups are unsuccessful in
                           forming a coalition, each has an addi-
                           tional 30 days to prepare its own appli-
                           cation.

                           This booklet is intended for groups of
                           potentially affected individuals who
                           have decided to apply for a TAG and
 -r ers who?coul<|be^g||-
 it affe^cffiyiiheiifie^^jii

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   who may have sent EPA an LOI stating this.  If you have not sent in
   an LOI, you may do so, although a completed application also serves
   that purpose.

   To make the best use of your time, you should be certain that your group
   is eligible to receive a TAG before beginning the application process If
   you are unsure, you should contact your Regional TAG Coordinator be-
   fore proceeding (see inside cover).
  MAKING SURE YOUR GROUP IS ELIGIBLE ——^—
  Your group is eligible to receive a TAG if it is a group of individuals po-
  tentially affected by a hazardous waste site that is either listed or pro-
  posed for listing on the NFL.  In addition, EPA must have started its re-
  sponse action at the site. The response action begins when EPA sets
  aside funds for site cleanup.  Your Regional TAG Coordinator can tell
  you whether the response action has begun.

  White someone representing an ineligible group cannot belong to an eli-
  gible group, that person acting as an "affected individual" may be a
  member.  For example, your mayor could not be a member of your
  group if he/she did so as a representative of your local government but
  could participate as a private individual if he/she was affected by the
  site. Contact your Regional TAG Coordinator for help in determining
  your group's eligibility.                                        °

  Incorporating
 To be eligible to receive a grant for a
 site, your group must be incorporated
 as a nonprofit organization for the pur-
 pose of addressing that Superfund site.
 Incorporation can protect the indi-
 vidual members of your group from
 potentially serious personal liability
 problems,  incorporation costs are reim-
 bursable with TAG funds if your group
 receives a TAG.
If your group is already incorporated
for another purpose, it must be rein-
corporated for the purposes of the
TAG Program, unless you can show
that your group or group members
have been significantly involved with
issues related to the site. If your group
would be eligible except that it is not
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 ^municipality);-
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incorporated, you still may submit an application. However, if your group
is awarded the grant, you must be able to prove both of the following:
  • Your group has filed for incorporation by the time of the grant
    award.
  • Your group has been incorporated by the time you submit your first
    request for reimbursement.

By planning the incorporation process to coincide with the application
process, your group will avoid incurring incorporation costs until after
you find out if your application is approvable.  Be sure to state this in
your application if this is what your group plans to do.

Some groups find it desirable to apply for tax-exempt status at the same
time that they incorporate. When you have tax-exempt status, individu-
als can make tax-deductible cash donations to your group. TAG funds
may be used to cover the additional costs involved.
DEMONSTRATING YOUR GROUP'S CAPABILITIES  —
As a TAG applicant, your group must demonstrate its capability to ade-
quately and responsibly manage the grant. In general, you must demon-
                         strate that your group has established, or
   EPA will evaluate-
  _: -'-your group's
   •Raise
   "• contributions, rl
   Comply: with i
  '. rights' arid ;equalf|||
  ''• employment lawi||i
                         has plans for establishing, reliable proce-
                         dures for managing a TAG.
                          MEETING YOUR FINANCIAL
                          REQUIREMENTS
                          As specified in the 1986 amendments to the
                          Superfund law, initial TAG awards are lim-
                          ited to $50,000 per site. In addition, these
                          amendments require recipient groups to
                          contribute, or "match," 20 percent of the to-
                          tal project costs.

                          Twenty Percent Matching Funds
                          Requirement
                          As part of the TAG agreement with EPA,
                          your group must provide 20 percent of the
                          total costs of the technical assistance
project. For example, your group must add $12,500 to match an EPA
grant of $50,000 (20 percent of the total project costs of $62,500). Twenty
percent may seem like a lot; however, in recognition of the value of your
group members' skills and time, the TAG Program allows you to count
the value of volunteered services and contributions of supplies toward
the required match, as well as cash that the group spends on products or
                              4

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  services. Volunteered services and donated supplies used toward your
  match are called "in-kind contributions."

  In-Kind Contributions
  In-kind contributions are non-cash contributions to the project. Examples
  of in-kind contributions include:
    • Volunteered services, such as:
       — A bookkeeper's maintenance of your group's financial records and
          preparation of required financial reports.
       — An auditor's review of your group's financial records.
       — A lawyer's aid in drafting a contract for your technical advisor(s).
       — Your project manager's oversight of contracts.
       — A group member's efforts to produce a group newsletter.
       — The time spent by group representatives (such as Board Members)
         attending site-related meetings.
    • Donated supplies, such as:
      — Use of equipment (such as a computer or copier) and office space.
      — Office supplies (such as paper and pencils).
      — Photocopying, printing, and postage.
      — Telephone calls.
      — Meeting space.
   • Other costs in your TAG  application that are approved by EPA.

 In-kind contributions must be documented in your records and  approved
 by your EPA Regional Office. Rates  for volunteer services must be consis-
 tent with rates in your community for
 similar services, and may not include
 fringe benefits, overhead, or profit.
 Your Regional TAG Coordinator can
 assist you in determining the eligibility
 and value of in-kind contributions.

 Waivers of the Matching Funds
 Requirement
 Because in-kind contributions can be
 counted toward your group's  20 per-
 cent match, EPA will waive all or part
 of the matching funds requirement
 only under unusual circumstances.
 EPA can allow waivers only at sites
 where the Record of Decision (ROD)
 has not yet been signed for the last op-
 erable unit at the site.

To request a waiver, include a written
statement describing your group's
reasons in your application package.
                               5
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.. ynustdempnstrate tft	
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 The Administrative Cap
 To ensure that TAG funds are used primarily for their intended pur-
 pose—the interpretation and communication of site-related technical
 data to the affected community—administrative costs, such as
 recordkeeping and accounting activities, may comprise only 20 percent
 of the total TAG budget. The total budget includes federal funds and
 your group's matching share.
 IDENTIFYING ELIGIBLE ACTIVITIES  -—____
 Eligible activities are those that can be carried out with TAG funds.
 Questions concerning activities suitable for technical assistance should be
 directed to your Regional TAG Coordinator. The term "contractor" re-
 fers to any people or companies you hire (enter into a contract with).

 Eligible Activities                           ,
The purpose of a TAG is to assist groups in obtaining technical assistance
in interpreting site-related documents and other activities that would
contribute to the public's understanding of overall site conditions and
                                 decisions.  To obtain this assistance,
                                 your group should hire a technical
                                 advisor. The TAG project manager
                                 or Board of Directors should provide
                                 direction and oversight of contrac-
                                 tors' activities.
   Suitable technical advisor
        activities include:
  »_Reviewihg/interpreting srte-
  .Jrelatectdocuments.  -
 __r: Meetfng-with you to explain
 "_  technfcaf information^  ~_~r
 r.rfProvidftig assistance^c-^! ^
 ^_=. your-!g"rpupracommunfcat-
 —_- ing theigrouD'&site-related-
  > concernsto EPA. A=^ W
 5> Communicating the 5jn- ~ t
 ' .-Jents of the technical- =,--_ *
    advisor's reportsjp tne^_r
 =\community. -•=~-=~"^^-  '
 _•- Participating in'sfte vl^ts to
 -  ~gain:albetterunderstandfng
  _ of creanup activities- a~ __
 • Traveirng to meetings and T
_ - hearingVdirectiy related to ~
 •J- the. situation at the sfte. J~^
   Parti8pating in healffTahd ~
 -  safe^/rtraining.-  ;- •>U^,-I
                                 The exhibit on page 7 suggests a
                                 number of points in the deanup
                                 process when your technical
                                 advisor's involvement may be. par-
                                 ticularly useful.  When you fill out
                                 the grant application, you will be
                                 asked to estimate the amount of
                                 document review time needed by
                                 your technical advisor.  You are en-
                                 couraged to discuss with your Re-
                                 gional TAG Coordinator projected
                                 tasks for your advisor and how
                                 these tasks may be affected by site-
                                 specific circumstances.

                                Eligible activities also include hiring
                                someone with the necessary skills to
                                help your group manage the grant
                                (within the constraints of the 20 per-
                                cent cap on administrative costs).

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                             Exhibit
   Tasks for Which a Technical Advisor May Be Useful

  Removal:
  — Reviewing public documents generated during the removal
     process.

  Preliminary Assessment/Site Inspection:
  — Reviewing Preliminary Assessment/Site Investigation (PA/SI) data
     that led to the site's listing.

  Remedial  Investigation/Feasibility Study:
  — Participating in informal meetings with your group, prior to the
     Remedial Investigation/Feasibility Study (RI/FS), to explain what
     is known about the nature of the problems at the site based on the
     PA/SI data.
  — Reviewing selected  technical documents, including the  Ri/FS
    report, produced during the RI/FS.
  — Participating in public meetings to help clarify information about
    site conditions and how the RI/FS will address these conditions.
  — Interpreting results of the RI/FS report once it is available for public
    review.  Explaining the range of alternatives under consideration.
    Identifying the differences among the remedial alternatives with
    respect to the group's preferences.
 — Reviewing or assisting in preparing the group's public comments
    on the RI/FS report.
 — Explaining the lead  and  supporting agencies' recommended
    remedial action (RA) presented in the  proposed plan for the site.

 Remedial Design/Remedial Action:           :
 — Explaining the lead and supporting agencies' remedial action
    decision  present in the Record of Decision (ROD) for the site.
 — Reviewing the remedial design (RD) to ensure that your group's
   concerns are addressed.
 — Visiting the site vicinity periodically during the RA, if possible, to
   observe the progress of construction activities and to provide a
   technical update to the group members.
 — Reviewing the final inspection/certification report and final tech-
   nical report because  any concerns over construction activities
   must be raised priorto EPA's acceptance of the completed project.

 Operation and Maintenance:
— Reviewing the operation and  maintenance plan and close-out
   reports for the group.

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 Ineiigibie Activities
 Grant funds may not be used to finance
 the following activities:
   • Political and lobbying activities.
   • Any tuition or other expenses for
    group members to attend training,
    seminars, or courses.
   • Generation of new primary data,
    such as well drilling and testing
    (including split sampling).
   • Challenging final EPA decisions
    (such as RODs), unless EPA has
    formally reopened such a decision
    for comment.
   • Any activities or expenditures for
    group members' travel.
   • Litigation or underwriting legal
    actions, such as paying attorneys or
    technical advisors to participate in
    any legal action or proceeding
    regarding or affecting the site.
   • Activities inconsistent with the cost
    principles stated in OMB Circular
    A-122, "Cost Principles for Non-
    Profit Organizations."
    Suitable grant  -
     administrator
   activities include:
1 Helping to prepare the
 "Solicitation" used to;
 hire your advisor.
 Preparing solicitation:
 packages for prospect
 tive contractors.
 Placing public notices.
 Preparing, contracts-
 Preparing financial and:
 progress reports.
 Preparing: amendments
 and continuation appli-
 cations. '>:'
 Tracking expenses;  -...
 Submitting payment
 vouchers.::: ~
 Taking meeting notes. ~
 Acting as the group  **'
 contact with the EPA _-
 RegionaLOffice.
Although the above activities cannot be
funded with TAG funds, members of
your group may be able to undertake
them by using other funds (so long as those funds are not used to meet
the matching requirement).
THE TAG APPLICATION  •^•••••i
The following discussion provides a basic orientation to the structure,
organization, and timing of the application. In addition, it suggests
steps you should take before filling out the application.

Overview of the Application Forms
The application form required for the TAG Program is entitled, "Appli-
cation for Federal Assistance" [EPA Standard Form (SF) 424]. As the
name implies, it is a grant application form used for many grant pro-
grams besides the TAG Program. TJhe basic application form consists of
four parts:
                               8

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    • General Information, Signature, and Certification (SF 424).
    • Budget Information (SF 424A).
    • Assurances (SF 424B).
    • Project Narrative Statement (Applicant Qualifications and the
      Statement of Work).

  Your group also must complete a form entitled "Certification Regarding
  Debarment, Suspension, and Other Responsibility Matters" (EPA Form
  5700-49) if you are applying for a grant of $25,000 or more. This form
  represents your group's assurance that it has not been disqualified from
  engaging in transactions with the federal government.

  To aid you in completing your application, step-by-step instructions and a
  sample version specific to the TAG Program are available along with the
  blank forms. If you have questions on the TAG Program requirements or
  how to complete the forms, contact your Regional TAG Coordinator.

  Consolidating
  If you are aware of other groups in your community planning to apply
  for a TAG at the same site, you are strongly encouraged to consolidate
  your groups and applications into one. If there is more than one quali-
  fied applicant and the groups cannot consolidate, EPA will award the
  grant to the single most appropriate applicant, based on EPA's evalua-
  tion of each application and any additional information requested from
  the groups. Everyone benefits if groups form a coalition that most
 broadly represents the affected community.

 Planning and Scheduling Activities
 Typically, a TAG is planned and awarded for a three-year budget pe-
 riod. However, the cleanup process at Superfund sites generally takes
 longer than three years. If you have funds left at the end of the first bud-
 get period and wish to continue your involvement at the site, you can
 submit a "continuation application" to EPA prior to the expiration of
 that period. If, however, at the end of the first budget period, your
 group is out of money and feels that it needs more money for informed
 participation in site-related issues, you can apply for additional funds.

 Getting Ready
 Before filling out a TAG application, you
 should contact the EPA Remedial Project Man-
 ager for the site to obtain information about
 the planned schedule for site .activities. This
 information will help you plan the tasks you
would like to have your technical advisor(s)
perform. Keep in mind, however, that site ac-
tivity schedules are subject to change.
     ;;|K t,,

iSuperfuni

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  INTERGOVERNMENTAL REVIEW —————
  All grants are subject to intergovernmental review. This means that, if
  the state requires it, you must provide it with an opportunity to review
  your grant application so that your Governor can stay informed about
  the variety of grants awarded within your state. State requirements re-
  garding this review vary, so you should call your state's intergovern-
  mental review contact to find out the procedure to follow. Typically,
 you will need to submit a copy of your grant application to that contact,
 who will distribute it to interested reviewers. Reviewers may or may not
                            ask you to make minor changes in your
                            application if, for example, it affects state
                            programs. Your Regional TAG Coordina-
    Determining state
   requirements should
     be one of the ffrst
     ^things you do in
      preparing your  ~
   ; V»   application.
                           tor can give you the contact's name and
                           telephone number for your state.

                           States may require up to 60 days for the
                           intergovernmental review process. EPA
                           cannot process your application package
                           without evidence that you have submit-
                           ted the application to the state reviewers,
                           if necessary.  EPA cannot award a grant
until the state has completed its intergovernmental review, as indicated
in Item 16 of your application form.
 SUBMITTING YOUR GRANT APPLICATION  —__
 Completed grant application packages must be submitted to the EPA Re-
 gional Office overseeing cleanup activities at your site. You must submit
 the original application package and two copies. The primary applica-
 tion must have the original signature of your group's project manager
 (the person your group authorizes to certify your group's compliance
 with EPA's regulations).

 EPA will review and evaluate each application received. You may be
 asked to revise your application to clarify certain information or to ad-
 equately demonstrate that you have complied with the regulations gov-
 erning the TAG Program.

You should be aware that, in general, the information supplied by
groups is not considered confidential. When EPA receives a grant appli-
cation, the information on it becomes part of EPA's records and therefore
is subject to public release under the Freedom of Information Act (5
U.S.C. 552).
                              10

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  EPA EVALUATION OF THE GRANT APPLICATION
  To ensure that grants are awarded to the applicants most directly af-
  fected by the site, EPA has developed a process to evaluate the strengths
  and weaknesses of your application. EPA will review and score your ap-
  plication using the five evaluation criteria listed below:
    1- The presence of an actual or potential health threat posed to group
     members by the site. This criterion can be met by establishing a
     demonstrable threat to members' health or a reasonable belief that
     the site poses a substantial threat to their health.  (30 points)
    2. The applicant best represents groups and individuals affected by the
     site. (20 points)
    3. The identification of how the group plans to use the services of a
     technical advisor throughout the Superfund response action. (20
     points)

    4. The demonstrated intention and ability of the applicant to inform
     others in the community of the information provided by the techni-
     cal advisor. (20 points)
   5. The presence of an actual or potential economic threat or threat of an
     impaired use or enjoyment of the environment to group members
     that is caused by the site. This criterion can be met by establishing a
     demonstrable economic or environmental threat to group members
     or a reasonable belief that the site poses a substantial economic or
     environmental threat. (10 points)

 The "Project Narrative Statement" section of your application is where
 you win demonstrate that your group meets these criteria. You need
 only supply a paragraph to address each of the above criteria. If EPA re-
 ceives competing applications for one site, it will rank each against all
 other applications submitted for that TAG. EPA may contact you for
 clarification or additional information.


 EPA NOTIFICATION OF GRANT APPLICANTS  ————
 EPA will evaluate your application within 30 days of its receipt. Once it
 has reviewed your completed application, EPA will send you a written
 notice telling you whether any additional information or clarification is
 needed. If your application has been approved, EPA's Award Official
 will prepare, sign, and return to you a grant agreement, which your
 group's project manager also must sign.

 The grant agreement specifies TAG budget and project periods, the fed-
 eral share of project costs, the matching funds that your group will con-
tribute, a description of the work to be accomplished, and any special
conditions of the project  Within three calendar weeks of receiving the
                              11

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grant agreement, you must either sign and return the agreement to
EPA or request that EPA extend the time for acceptance—otherwise,
the grant agreement may become null and void.
 ACCEPTING A GRANT AGREEMENT ——__«___
 EPA will set aside federal funds for the amount stated in the grant
 agreement as soon as the Award Official signs the grant agreement. You
 may not incur any costs until you and the EPA Award Official have
 signed the grant agreement, with the exception of the cost of incorporation.

 By signing and accepting a grant agreement, you are promising to com-
 ply with all terms and conditions of the grant agreement, including any
 special conditions necessary to assure compliance with applicable EPA
state laws, regulations, and policies. You are responsible for efficiently
and effectively managing the project, completing the project according
to the schedule and within budget, and meeting all monitoring and re-
                            porting requirements.

                            The terms of the grant, as well as the
                            workplan and budget contained in
                            your approved application, are legally
                            binding. They may be changed only
                            through a formal grant amendment.
                            Other items may be changed in consul-
                            tation with EPA. Contact your Re-
                            gional TAG Coordinator if you have
                            any questions.
   When you receive::
    ;your grant, note ;
    - carefully
 •-Dollar amount
   awarded.  ---
 •  Project period shown'-i
 .,_on the first pageI"S?Hg
 •^Approved budget!^5l
 •-.Nbn-f"''  "•*
 , age shownji^.£-s?i§!
 -Special condrtfons;^
 • that may be included^;
                           12

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          TAG APPLICATION CHECKLIST

 Q  Submit a Letter of Intent (LOI).

 Q  Read this booklet carefully.

 Q  If your group knows of other groups planning to apply for a
     TAG at the site you are concerned about, try to form, a
     coalition to submit one joint TAG application.

 Q  If there is such a group, but you are unable to form a coalition,
     notify EPA that you will be submitting a separate application.

 Q  Contact the appropriate state office to determine the intergov-
     ernmental review requirements for your state. DO THIS
     EARLY.

 Q  Complete the grant application package:

     —  The grant application form, "Application for Federal
        Assistance" (EPA Standard Forms 424,424A, 424B, and
        the Project Narrative Statement).

     —  Certification Regarding Debarment, Suspension, and
        Other Responsibility Matters," (EPA Form 5700-49), if
        your group seeks a grant of $25,000 or more.

    —  If you're applying for a waiver of the matching funds
        requirement, include the relevant information.

 Q  Submit your application for intergovernmental review, if
    necessary.

 Q  Send the original version and two copies of your completed
    and signed grant application to your EPA Regional Office
    while the intergovernmental review process is being
    completed.

 Q  Upon notification that your group's application is approvable
    and prior to signing the grant agreement, file the appropriate
    documents for incorporation with the proper state agency, if
    you haven't done this already. Submit evidence that you have
    done so to EPA.

Q  Upon receipt of die grant agreement, sign and return it to EPA
    within three calendar weeks.
                           13

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NOTES
14

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                             GLOSSARY

  NOTE: Underlined terms are defined elsewhere in the glossary.

  Amendment:
  See "Formal Amendment."

  Applicant
  Any group of individuals that files an application for a Technical Assistance
  Grant (TAG).

  Application:
  A completed formal written request for a TAG that is submitted to EPA on EPA
  Standard Form 424, or to a state on its appropriate form.

  Award:
  The Technical Assistance Grant agreement signed by both EPA and the recipient.

  Award Official:
  The EPA official authorized to sign grant agreement.;,

  Budget:
  A financial plan for the spending of all federal and matching fands (including in-
  kmd contributions) for a Technical Assistance Grant- pnym-, proposed by the ar>-
     ant and approved by the Award Official-
 Budget Period:
 The length of time specified in a grant agreement during which the recipient
 may spend or obligate federal funds. The budget period may not exceed three
 years. A TAG project peric-4 may be comprised of several budget periods.

 Code of Federal Regulations (CFR):
 An annually revised modification of the rules published in the Federal Register by
 the executive departments and agencies of the federal government. The CFR is
 divided into 50 titles which represent broad areas subject to federal regulation.
 Actions by EPA are governed by Title 40 of the CFR.

 Comprehensive Environmental Response, Compensation, and Liability Act of
 1980 (CERCLA), as amended:                                   *
 A federal law passed in 1980 and modified by the Superfund Amendments and
 Reauthonzation Act of 1986 (SARA). Commonly know as Superfond. CERCLA
 is intended to protect human health and the environment

 Continuation Application:
 Application for the extension of a grant agreement- for an additional budget pe-
 rjod beyond the date to which EPA agreed to fund a specific project.  A continu-
ation would be used at the end of each budget period; thus, several may be nec-
essary for one project.
essary for one project.


                                 15

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  Contract
  A written agreement between the TAG recipient and another party (a contractor
  other than a public agency) for services or supplies necessary to complete the
  TAG project.
  Contractor:
  Any party (i.e., technical advisor) to whom a j
dent awards a <
  Debannent
  An action taken by the Director, Grants Administration Division, U.S. EPA un-
  der federal regulations (40 CFR part 32) to deny an individual, organization, or
  unit of government the opportunity to participate in EPA grant agreements or to
  receive contracts.

  EPA:
  The U.S. Environmental Protection Agency. Where a state administers the Tech-
  nical Assistance Grant Program, the term "EPA" may mean a state agency.

  EPA Regional Office:
  An EPA office located in one of the ten EPA Regions.

  Expenditure:
  The payment of a financial obligation, which involves issuing checks or spend-
  ing cash. An example of an expenditure that might be made under a TAG
  would be paying a technical advisor for the time he/she spent reviewing a site
  feasibility study.

 Formal Amendment
 A written modification of a grant agreement signed by both the award offi-
 cial and the authorized representative of the recipient.

 Grant Agreement
 A legal document that transfers money to a recipient to accomplish the purpose
 of the Technical Assistance Grant project. It specifies budget and project periods.
 the federal and matching shares of eligible project costs, a description of the
 work to be accomplished, and any special conditions.

 Grant Administrator:
 A person hired by the recipient group to handle some or all of the tasks related
 to the administration of the TAG.

 Incorporation:
 To form a legal corporation. Incorporation protects the individual members of
 your group from potentially serious personal liability problems that could result
 if the grant is awarded to a group or organization that is not incorporated.

 In-Kind Contribution:
 The value of a non-cash contribution used to meet all or part of a recipient's
 matching ftmds requirement in accordance with 40 CER 30.307(b). An in-kind
 contribution may consist of charges for equipment or the value of goods and ser-
vices necessary to and directly benefiting the EPA-funded project and approved
in your grant budget
                                  16

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                »
   Intergovernmental Review of Application:
   "The applicant!? state is provided the opportunity to review the grant application.
   This process is designed to inform appropriate state agencies about all applica-
   tions for federal assistance funds that have been received from their jurisdiction.
   Letter of Intent (LOD:
   Letter used to advise EPA of a group's interest in applying for a TAG and to trig-
   ger EPA s formal process for notifying other interested parties that an applica-
   tion soon will be filed.

   Matching Funds:
  The portion of allowable project costs that a recipient must contribute toward
  completing the TAG project using in-kind conirrhnrinng and/or cash contribu-
  tions in non-federal funds (or federal funds, if expressly authorized by law).
  National Priorities List (NFL):
  EPA's list of the most serious hazardous waste sites identified for possible long-
  term remedial response. EPA is required to update the NPL and publish it in die
  Federal Register at least once a year.

  Nonprofit Organization:
  Any corporation, trust, association, cooperative, or other organization which: (1)
  is operated primarily for scientific;  educational, service, charitable, or similar
  purposes in the public interest; (2) is not organized for profit; and (3) uses its net
  proceeds to maintain, improve,  and/or expand its operations.

  Operable Unit
  A response action taken as one part of an overall site response. A number of op-
  erable units can be used in the course of a site response.

 Potentially Responsible Party (PRP):
 Any individual^) or company(ies) (such as owners, operators, transporters, or
 generators) potentially responsible under sections 106 or 107 of CERCLA for the
 contamination problems at a Superfund site.
 Project Manager:
 The person legally authorized to obligate the organization to the terms and con-
 ditions of EPA's regulations and the erant agreement. This person or their des-
 ignee will serve as the principal contact with EPA.
 Project Period:
 The period of time specified in the erant agreemgr* for completion of all project
 work.  It may be composed of more than one budget period.
 Recipient
 Any group of individuals that has been awarded a TAG.

Record of Decision (ROD):
The document identifying and explaining the selected remediation for the con-
tamination problem at a Superfund site.
                                  17

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 Regional Technical Assistance Grant (TAG) Coordinator:
 The official designated in the grant agreement as EPA's TAG Program contact
 with the recipient. TAG Project Officers are responsible for monitoring the
 project.

 Removal:
 An immediate action taken over the short-term to address a release or threatened
 release of hazardous substances.

 Response Action:
 All activities undertaken to address the problems created by hazardous sub-
 stances at a site. It begins when EPA, other federal agencies, states, or PRPs set
 aside funds for these activities. The document that formally guarantees funding
 during the coming fiscal year is EPA's annual Superfund Comprehensive Accom-
 plishments Plan (SCAP).

 Split Sampling:
 Sending a sample (soil, water, etc.) to multiple laboratories for concurrent, inde-
 pendent analysis.

 Superfund:
 The common name used for the Comprehensive Environmental Response. Com-
 pensation, and Liability Act of 1980 (CERCLA). Superfund was established by
 CERCLA to help pay for the cleanup of hazardous waste sites and to take legal
 action to force those responsible for the sites to clean them up.

 Technical Advisor:
 A person hired by a Technical Assistance Grant recipient to help affected groups
 and individuals interpret site-related documents regarding the nature of the haz-
 ard at the Superfund site for which the grant has been received.

Technical Assistance Grant Project:
The activities or tasks identified in the grant agreement that describe the technical
assistance offered to the recipient.
                                  18

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Technical
Outreach
Services for
Communities
September 1998
-TOOl HI-

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-TiOlHZ-

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REGIONAL

CONTACTS

 Northeast HSRC
 BillLibrizzi
 New Jersey Institute of Technology
 Otto H. York CEES
 138 Warren St.
 Newark, NJ 07102
 Phone: (201) 596-5846

 Great Plains/Rocky
 Mountains HSRC
 Pat McDonald
 Kansas State University
 101 WardHall
 Manhattan, KS 66506
 Phone: (913) 532-7496

 Great Lakes/Mid-Atlantic HSRC
 KirkRiley
 A-124 Research Complex-Engineering
 Michigan State University
 East Lansing, MI 48824
 Phone: (517) 355-7493

 South/SouthwestHSRC
 JohnNemeth
 Environmental Science and Technology Program
 Georgia Tech Research Institute
 229 Baker Building
 Atlanta, GA 30332
 Phone: (404) 894-7428

 Western Region HSRC
 Ken Williamson
 Oregon State University
 210 Strand Agriculture Hall
 Corvallis,OR97331-2302
 Phone: (541) 737-6836
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                       TECHNICAL OUTREACH
              SERVICES FOR COMMUNITIES
                                  A service of the
                                 University-based
                             Hazardous Substance
                                Research Centers
                                        Program
                      Providing
                    independent
                   scientific and
             technical assistance
                 to communities
                    dealing with
                     hazardous
                      substance
                  contamination
                      questions.

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Who Are We?
The TOSC program is supported by the five Haz-
ardous Substance Research Centers. Our centers
are represented by experts in the fields of environ-
mental science and engineering from twenty-
nine of the nations leading research universities.
Collectively our centers service all of the
United States and Puerto Rico. Our research
develops new treatment methods for hazardous
substances that threaten groundwaterand environ-
mental quality.

Through the TOSC program, we provide technical
assistance to communities impacted by
hazardous waste sites.
What Can
We Do?
Answer questions about potential
health effects and possible cleanup
technologies for hazardous waste
sites.
Types of
Services
Assist your community to become
active participants in the decision-
making process involved in cleaning
up hazardous environments.
                                        Hold community workshops and
                                        provide educational material regard-
                                        ing human health, environmental
                                        risks, and regulatory concerns.
                                        Help your community to better
                                        understand what clean-up options
                                        are available and their potential
                                        effectiveness.
TOSC provides your community the services you
need to increase your involvement in the
decision making process.
    Review of Technical Materials
    Reviewing and interpreting technical documents
    and other material relating to hazardous
    substances is a primary duty of TOSC.
                                                                                    Education
                                                                                    TOSC often offers seminars, courses,
                                                                                    role-playing, and coaching workshops in order
                                                                                    to educate communities on environmental
                                                                                    science and policy issues.
                                            Community Organization
                                            Enhancement
                                            TOSC has been instrumental in strengthening
                                            community groups by training community
                                            leaders and facilitating meetings.
                                            Technical Assistance Tools
                                            TOSC has created educational and assistance
                                            materials which are useful to community groups
                                            fraught with complicated cleanup issues.

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