OFFICE OF POLICY
& MANAGEMENT
ACCOMPLISHMENTS AND GOALS
FY 89 / 90
REGION II
26 FEDERAL PLAZA
NEW YORK. N. Y. 10278
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION II
^ fEB221930
Office of Policy and Management's FY-89 Accomplishments
SUBJECT:
FROM: Herbert Barrack, Assistant Regional
for Policy and Management
TO:
Constantino Sidamon-Eristoff
Regional Administrator
Each year, I take stock of my office's accomplishments in the preceding year,
and our plans for the year ahead. I am pleased to submit the current report for
your review and reference.
One theme that runs through all of the branch reports is a focus on quality and
professionalism. In FY-90 this focus will sharpen even further as each branch
takes on one or more projects under the umbrella of Total Quality Management.
I am looking forward to the results of these efforts, and I will kee~ u
informed of our progress.
FY-89 was a difficult year financially. With the 4.1% unfunded payraise, the
region faced a deficit of over 2 million dollars at the start of the year. Under
my direction, the Office of Policy and Management (0PM) provided analyses and
recommendations on keeping the region functioning and within I ^get. We also
put systems in place to monitor the region's fiscal status to insuv that controls
were working, and that the deficit was in fact declining. I prepared a series of
advisory notices from the Regional Administrator to regional employees, keeping
them informed of the region's progress towards a balanced financial position.
Working with Headquarters, I was able to secure sufficient funding to
substantially reduce the backlog of computer equipment purchases and other
regional needs by year's end.
The FY-90 budget also requires that we impose austerity measures including a
partial hiring freeze and restrictions on travel, training and equipment
purchases. My office has put these controls in place and will continue to
monitor and report on their effectiveness. We are also working with
Headquarters to secure additional funds, and I am confident that by mid-year
we will be able to ease the restrictions currently in effect.
In the policy area, my office continued coordination of lead region activities,
taking over from Region VI as the lead region for RCRA, At OSWER's request,
we produced an FY-91 Regional RCRA Budget, which had not been done in the
past. I also continued to carry the responsibility of the BSD lab equipment
funding initiative at the request of Region X. We coordinated the region's
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WASHINGTON. D.C. 20460
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production of pollution prevention proposals in line with one of Ao!ministrator
Reilly's new themes, and the region's pollution prevention strategy. We
continued as lead region for risk, providing support to the Deputy Regional
Administrator in his role on the Risk Assessment Council. We met all of our
regional goals for training regional staff in risk assessment and management.
We became self-sufficient in offering the risk and decision-making course, and
trained ten facilitators who are in turn providing training to regional staff.
A major policy focus in FY-90 will be on developing a strategic planning process
for the region, and getting the plan itself underway. An initial phase of the
strategic planning process will be the coordination of a comparative risk analysis,
which will be done by a workgroup comprising staff from all of the divisions.
We will also improve the region's access to vital information on environmental
quality through development of a Geographic Information System (CIS).
Headquarters has scheduled deliveries of our GIS computer for the July -
August period.
OPM also has significant responsibilities in the conduct of environmental
programs. In FY-89, the region signed a historic cooperative agreement with the
St. Regis-Mohawk Tribe, and set a substantial baseline funding level for
environmental programs. We issued the Woodburning EIS, and took on for
ORD, the task of producing a draft EIS on the proposed E-TEC facility. We did
a baseline winter ocean survey in connection with plans to issue an EIS on
designation of an alternate mud dump site. We provided assistance to the
Superfund program, notably in the negotiation of support agreements and lAGs
with the Army and with the Department of Energy for technical support in the
clean-up of the Radium Chemical site. I am particularly proud of the fact that
a training course developed by my staff to help RPMs in Region II understand
and comply with environmental requirements administered by other federal
agencies (such as the Endangered Species Act) was so well received that it has
now been given (or is scheduled to be given) in Headquarters and nearly every
other region, to EPA staff, State staff and contractor personnel.
In FY-90, we will complete the EIS and public review requirements for the
E-TEC facility. The compliance of this facility and other federal facilities with
environmental requirements will continue to be a focus of our attention. We
are planning a major federal facilities conference for FY-90, in which we would
welcome your participation.
I consider Human Resources Management to be one of my most important
responsibilities. In the competitive New York market, recruitment and retention
of skilled employees is an ongoing problem. In FY-89, we strove to continue and
to expand the special rates for our clerical employees. We put in place a
process to raise the promotion potential for all OSCs and RPMs to GS-13, and
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effected 12 non-supervisory promotions, in line with the 90-day study. We also
set up a process through which all of the Division Directors were given ar.
opportunity to evaluate their organizations in terms of whether additional
promotional opportunities might be justified. As a result, many promotions were
effected in offices outside of Superfund during FY-89, and the process is
continuing in FY-90.
I made a presentation to Deputy Administrator Habicht and later to
Administrator Reilly, during their initial visits to the region, on Human
Resources Management and on the serious recruitment and retention problems
we face here in the metropolitan area. I am happy to report that we met or
exceeded all of our affirmative action goals for FY-89.
Through job fairs, recruitment trips, and productive relationships with local
schools and institutions, we will endeavor in FY-90 to keep the region supplied
with skilled and enthusiastic applicants for positions, who are also reflect!v 9 of
the workforce at large. We will continue our special programs for young people,
including the Join-A-School Program with Far Rockaway High School, the
Discovery Program with Rutgers University, and our Stay-in-School and Co-op
Programs. In FY-90 we will add a summer program for West Point Cadets. We
believe that these programs help to deepen the commitment of young people to
environmental protection.
A comfortable, professional office environment is important to employee morale
and to productivity. I am very pleased that in FY-89 we were able to complete
the 9th floor renovation in a quality manner and in a reasonable timeframe. We
have become a model for the other regions and Headquarters in this regard.
Despite our fiscal problems, I recommended that we take advantage of the
opportunity to renovate the 4th floor, using systems furniture. Through skillful
timing, we were able to undertake this work. We were also able, using year-end
money, to purchase three of the four units of systems furniture we had
contracted for, thus substantially reducing our lease costs for FY-90. We have
been so successful in this area that I was asked to make a presentation to the
national Human Resources Council on techniques for working with GSA to
secure quality workspace for our employees.
In FY-90, additional renovation projects will be undertaken, using space-efficient
systems furniture to accommodate a growing workforce in the limited space that
GSA has been able to provide. Through hard work and persistence, we have
secured EPA-Region H's place as the anchor federal tenant in the new federal
office building to be constructed across the street from the Javits Building.
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Progress towards construction of the new federal building is expected to pick up
with the award of a design contract in May 1990. We are working in partner-
ship with GSA to insure that this new building meets the Agency's needs and
expectations.
During FY-89, I continued to be active on a variety of Headquarters committees
and task forces. Most recently, I was appointed Executive Director of the
Administrator's Environmental Financial Advisory Board (EFAB). The board,
which includes Congressmen, State and Local Officials, and representatives from
Business, Industry and other sectors, will advise the Administrator on innovative
ways to provide financing for environmental infrastructure needs into the future.
New ways to finance environmental facilities are urgently needed, and EFAB's
work in this regard will have far-reaching, national implications.
I think you will find this report an informative and useful synopsis of the Office
of Policy and Management's important work in support of the region. I would
be pleased to discuss with you any of the projects we are working on or to
answer any questions you may have.
cc: William J. Muszynski
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REGION II
OFFICE OF POLICY AND MANAGEMENT
ACCOMPLISHMENTS AND GOALS
FIS( YEAR 1989 - 1990
TABT.E OF CONTENTS
Printed on Recycled Paper
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REGION II
OFFICE OF POLICY AND MANAGEMENT
ACCOMPLISHMENTS AND GOALS
FISCAL YEAR 1989 - 1990
TABLE OF CONTENTS
PAGES
OFFICE OF POLICY AND MANAGEMENT
Assistant Regional Administrator for
Policy and Managementt Herbert Barrack
Deputy Director: Joann Brennan McKee
ORGANIZATIONAL CHART i
HUMAN RESOURCES BRANCH 1-5
Chief: John Henderson
EQUAL EMPLOYMENT OPPORTUNITY 6-9
Equal Employment Opportunity Officer: Joseph dor i
PLANNING AND EVALUATION BRANCH 10-16
Chief: Barbara Pastalove
FINANCIAL MANAGEMENT BRANCH 17-22
Chief: Ronald Gherardi
FACILITIES AND ADMINISTRATIVE MANAGEMENT BRANCH 23-28
Chief: James Foley
INFORMATION SYSTEMS BRANCH 29-33
Chief: Robert Messina
POLICY AND PROGRAM INTEGRATION BRANCH 34-39
Chief: Alice JeniJc
GRANTS ADMINISTRATION BRANCH 40-44
Chief: Helen Beggun
PERMITS ADMINISTRATION BRANCH 45-50
Chief: Laura Livingston
ENVIRONMENTAL IMPACTS BRANCH 51-56
Chief: Robert Hargrove
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HUMAN RESOURCES
BRANCH
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During FY-89 the Human Resources Branch (HRB) actively conducted a comprehensive
program of personnel management activities in support of the region. While we can
point to a considerable list of accomplishments, the following HRB activities are
particularly noteworthy:
Preparation of a Human Resources Management presentation for the newly
appointed Deputy Administrator, Hank Habicht, during his visit to the region.
Preparation of a position paper on non-supervisory GS-13 positions in the region for
use at a senior managers' retreat, and development of a strategy and timeline for
reviewing opportunities for non-supervisory GS-13 positions across the region. Since
July, there have been twelve additional promotions to non-supervisory GS-13
positions, bringing the total to twenty-seven.
Development of a strategy for implementing recommendations of the Superfund 90-
Day Study regarding GS-13 career ladders for OSCs and RPMs.
Implementation of a reorganization of the Office of Regional Counsel (ORC) which
represents a success story in addressing the issues of grade structure and turnover
among attorneys.
Conducting a study of the impact of office automation technology on the
secretarial/clerical workforce through use of a consultant.
In addition to these highlights, the Branch undertook a variety of initiatives in such areas
as recruitment, training and Special Emphasis Programs. Some of the more significant
are described below.
Recruitment Initiatives
Despite a hiring freeze for part of FY-89 necessitated by a budgetary shortfall, we
made a total of one hundred sixty-three appointments during the year. During the
same period there were one hundred seventy-two separations.
We also continued active participation in professional and clerical career days and
on-campus interviews, several of which were specifically targeted to minority
recruitment.
Numerous contacts were made with local high schools, technical schools, and
community colleges in order to build up our applicant supply file for clerical
candidates. On-site visits were made to sixteen schools and organizations.
An innovative clerical initiative was the development of a volunteer program with the
New York City Department of General Services Adult Training Program whereby we
provided on-the-job experience to trainees for 3-4 weeks at no cost to the
Environmental Protection Agency (EPA). We placed three such volunteers during
the year.
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University of Puerto Rico Recruitment Trip
« During the week of February 27 - March 3, 1990 we conducted our annual
recruitment trip to the University of Puerto Rico. Although the freeze prevented
Region n from hiring, our region took the lead in developing a full interviewing
schedule for personnelists and managers from Regions in and IV, from Cincinnati,
and from several Headquarters (HQ) organizations including the Office of Research
and Development (ORD), Office of Pesticides, and Office of Air and Radiation.
Twenty-four selections were made in total making this one of our best years ever.
Region II hosted three of these selections until they were reassigned to their
permanent duty stations in Headquarters.
Direct.Hire Authorities
We requested and were given direct-hire authority for Accountants, GS-1I/12 and
Accounting Technicians and Voucher Examiners, GS-5/6/7 for a six month period.
We hired seven Accountants and five Accounting Technicians during this period from
applications generated through a series of advertisements placed in the New York
Times, the Daily News and the Amsterdam News.
We were successful in extending direct-hire authority for an additional year for the
following positions: Chemical and Environmental Engineers; Geologists; Chemists;
Environmental Scientists; and Hydrologists.
Special Salary Rates
At the beginning of FY-89, EPA, as lead agency, successfully worked on securing the
4.1 percent increase to the General Schedule for Special Salary Clerical Employees in
New York City. At the end of FY-89, we notified agencies of our plans to request an
increase and expansion to the NYC clerical special rates, and began to collect the
certification letters from participating agencies. The clerical special rates package has
been forwarded to the Office Personnel Management (OPM) for review and
consideration. At final count, twenty-eight agencies have certified funds for the
expansion and increase to the clerical special rates. Since several of the larger
agencies (Treasury, HHS, Labor) could only certify to the projected 3.6 percent
increase to the General Schedule, there are some questions as to what OPM will
recommend after final review. As lead agency, we continue to follow-up on the
outcome of this project.
After a persistent effort, clerical employees in Edison, New Jersey (ESD) were finally
included under the special rates table for northern New Jersey in October, 1988.
Subsequently, the Veteran Administration, as lead agency requested our participation
in their efforts to increase and expand these rates. A certification letter was prepared
for Headquarters, which approved our participation in the expanded special rates.
We have also certified to our ability to fund the proposed 3.6 percent increase to the
General Schedule for the Edison special rate employees.
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Training and Career Development Initiatives
We completed a comprehensive study of regional training and distributed copies of
the final report to other agency components.
HRB sponsored a course on Terformance and Conduct" presented by Ben
Alexander; and developed and presented an in-house course on The Role of the
Supervisor in Human Resources Management". HRB also hosted the Agency's
"Framework for Supervision" course held in New York City.
HRB did a "face lift" on the regional training calendar. We also developed a formal
system for collecting training information from the other divisions.
HRB coordinated the regional Senior Executive Service candidate development
program panel and worked closely with the Regional Administrator in developing
nomination narratives for submission to HQ.
We coordinated the FY-89 Greater Leadership Opportunities (GLO) and Women's
Executive Leadership (WEL) Programs and are currently acting as program
counselors to four GLO and two WEL participants.
Awards and Employee Recognition and Development
HRB developed a "Region II Guide to the Performance Appraisal and Standards-
Setting Process" which serves to reduce the number of problems and questions on
this subject. We also introduced a "Performance Appraisal and Cash Award
Worksheet" which contains helpful information for supervisors in making award
decisions.
The annual awards ceremony and reception were successfully planned and
coordinated by HRB in December 1988.
HRB developed a Regional Order regarding the newly established "On-the-Spot
Award" program.
Employee Relations and Benefits
We prepared a standard letter to newly appointed supervisors which is sent with a
package of information concerning their new role.
We revised and distributed Regional Orders on the Compressed Workweek Schedule
and Leave Policy.
We developed a Regional Order on Hazardous Duty Pay which streamlines review
and processing of hazardous duty pay requests.
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Special Emphasis Programs
HRB planned and coordinated programs for the observance of Martin Luther King's
Birthday, Black History Month, Women's History Month, Hispanic Heritage Week,
Handicapped Month and National Secretaries Week.
We had a very productive year with our adopted school - Far Rockaway High School
- and ended the school year with a field trip to Edison's laboratory.
The '89 Discovery Program coordinated by HRB placed eight New Jersey high school
students in work assignments in the ESD lab and with ORD staff in Edison.
We coordinated arrangements with Deaf Enterprises, Inc. to conduct sign language
classes for EPA employees who work closely with our hearing impaired. Classes
began this past September.
Other Human Resources Initiatives
As pan of the HRB Management Team, John Henderson, Carmen Negron, Marilyn
Quinones and Alba Hernandez participated in individually held meetings with
Division Directors and the ORC. These meetings served as a forum to update the
Directors and their Deputies on current personnel issues as well as to learn from
them how we can provide better services.
We planned and coordinated our third annual Human Resources Month program in
May 1989, including an energetic performance by the HRB staff at the talent show.
HRB coordinated a well received "Environmental Guest Lecture" presentation by
Robert Schoelkopf, Director of the Marine Mammal Stranding Center in New Jersey.
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FY.90 GOALS AND OBJECTIVES
For FY-90, the Human Resources Branch will continue to promote the philosophy of
Region II as an organization that recognizes that its people are its greatest source of
energy, creativity and strength. Through the challenges presented by the expanded and
diverse workforce of the new decade we will continue an active Human Resources
Program aimed at increasing job satisfaction, fostering a work ethic focused on quality,
competence and excellence, and developing a major recruitment effort that will attract
the best and the brightest. Major goals include (1) the continued implementation of the
workforce recommendations of the Superfund 90-Day Study and (2) the enhancement of
career opportunities for all regional employees through the review of proposals for non-
supervisory GS-13 positions in the professional ranks and the review of grades of
secretaries and administrative assistants to Branch Chiefs and Division Directors. While
HRB will continue to promote past successful programs, we have identified the following
team efforts aimed at streamlining and improving our services.
Develop and improve handouts for the new employee orientation program in
conjunction with the Policy and Program Integration Branch.
Develop an OPM Service Directory which will serve as a guide for employees to
use in knowing where to go and whom to call for assistance in the Office of
Policy and Management.
Develop an Employee Handbook for new Region II employees which gives a brief
overview of their responsibilities and benefits as an EPA employee.
Develop a handbook of standard operating procedures for use by the contractor
in entering personnel data into the Agency's personnel data base to enhance the
accuracy and utility of data entered.
Develop a "Client Satisfaction Survey" that will monitor the quality and timeliness
of all the services HRB provides to our clients and that will provide us with a
consistent means of feedback from our clients.
Work with FAME and PAB on a review of the region's Health and Safety and
Inspector Training Programs.
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EQUAL EMPLOYMENT
OPPORTUNITY
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In FY-89, Region II continued its comprehensive strategy to establish and meet our goals
and objectives in the areas of Affirmative Action, Equal Employment Opportunity
(EEO), External Civil Rights, and the Minority and Women's Business Enterprise
Programs (MBE/WBE). We labored to improve our workforce's representation of
women and minorities in relation to the local civilian labor force. In the Minority and
Women's Business Program, we sought to achieve our FY-89 MBE/WBE goals by
assisting our delegated states to successfully carry out the Environmental Protection
Agency's (EPA) "fair share" policy.
The region's strong commitment to equal opportunity in our internal EEO and
MBE/WBE programs is demonstrated by the accomplishments outlined below.
Internal Equal Employment Opportunity (Affirmative Action)
During the past year, EPA engaged in targeted recruitment intended to reach qualified
women and minorities for scientific and engineering positions. We again had a successful
recruitment trip to the University of Puerto Rico. We attended the College Career Day
at Brooklyn Polytech sponsored by the National Society of Black Engineers conference.
We also recruited minority students at North Carolina A&T, the New Jersey Institute of
Technology, and Syracuse University.
Region II achieved success in meeting its overall FY-89 affirmative action goal as stated
below:
Women and minorities accounted for approximately 50 percent of all permanent hires
in the professional and administrative categories.
We improved representation of women and minorities in grades GM-13 to 15.
We continued four Upward Mobility positions with three Black females and one
Hispanic female.
We targeted 52 percent of our professional and administrative projected vacancies for
the hiring of women and minorities.
The region continued to involve program managers, EEO, special emphasis program
managers and the Human Resource Branch (HRB) staff in developing affirmative
action goals and in carrying out recruitment activities.
We continued to assure accountability by maintaining bi-weekly affirmative action
tracking and progress records as a mechanism to monitor progress in improving the
representation of women and minorities in our workforce.
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External Civil Rights
We worked closely with regional staff to assure compliance with EPA's regulations
governing Title VI of i:he Civil Rights Act of 1964.
Minority/Women's Business Enterprise (MBE/WBE1 Program
It is EPA's policy to assure that EPA grant recipients award a fair share of
subagreements or subcontract dollars to minority and women's businesses. Highlights are
presented below:
We awarded $112 million in subagreement monies for MBE/WBE.
We continued to assist the states in furthering the objectives and goals of EPA's
MBE/WBE policy through technical assistance, on-site reviews, issuing policies and
guidance and also speaking at an MBE conference sponsored by New Jersey.
We monitored achievements of goals through quarterly reports submitted by our
states.
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FY-90 GOALS AND OBJECTIVES
The EEO Program's main focus and thrust during FY-90 will be to:
Internal Equal Employment Opportunities
Continue our aggressive recruitment of minorities and women in the professional and
administrative occupations,
Continue to provide management information concerning the status of the region's
affirmative action recruitment goals.
Continue to focus upon improving the representation of minorities and women in
supervisory and managerial positions.
Provide outreach efforts to minority and women to assure that they understand our
Agency's commitment to equal employment opportunity.
Continue to conduct quarterly reviews of our recruitment goals to assure that they are
being accomplished.
Create posters to be placed in the divisions, indicating EPA's policy on equal
employment opportunity and what steps an employee or job applicant may take if he
or she feels that they have been discriminated against on the basis of race, color,
national origin, sex, handicap or age. These posters will also state the name, room
number and telephone extension of the EEO officer and EEO counselors, and have
their pictures.
Make the preparations for offering a course on the role of supervisors and managers
in EEO to newly appointed supervisors and managers. The course will be offered by
the U.S. Office of Personnel Management at 26 Federal Plaza in early 1990.
Increase the number of EEO counselor meetings in order to share information and
discuss current developments with counselors. One initiative involves distributing a
"Discrimination Complaint Investigation Checklist" to all EEO counselors to help
expedite the informal complaint process.
Visit our Edison facility more frequently to demonstrate interest in events there, and
to offer any assistance needed by the counselor.
Continue to be on the alert for any relevant EEO training courses, and for any
national trends or developments which might affect our regional EEO effort.
Encourage qualified minorities and women to apply for the Senior Executive Service
candidate program.
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Attend conferences, forums, speeches, etc. offering relevant information on current
national EEO trends.
Minority/Women's Business Enterprise
Continue to assist the states in furthering the objectives and goals of EPA's
MBE/WBE program.
Work with the New York Sstate Department of Environmental Conservation to
sponsor an MBE/WBE conference in FY-90, after securing funding from the Office
of Small and Disadvantaged Business Utilization.
Assure that our states provide us with the required OMB-334 Form,
Work closely with our Superfund Division and the Grants Administration Branch to
obtain their input and assistance on bow best to work with the states to assure
compliance with our Superfund regulations.
External Rights
Develop cordial relationships with minority and women's advocacy groups, Fraternal
societies, colleges and universities.
Continue to work closely with our delegated states to assure that we meet our FY-90
"fair share" goals.
Stand ready to communicate with any MBE or WBE that perceives being
discriminated against or requires information or assistance.
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PLANNING AND
EVALUATION BRANCH
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During FY-89, the Planning and Evaluation Branch (P&E) continued to concentrate on
its primary goals of proper and efficient management of the region's resources and
effective coordination between the region and Headquarters on planning and budgeting
issues. Several major initiatives were taken to computerize a variety of Position
Management Systems (PMS) and other systems maintained by P&E. In addition, P&E
coordinated the region's participation in the Agency's Strategic Planning and
Management System (SPMS), its implementation of the Federal Managers' Financial
Integrity Act (FMFIA), and served as the focal point for lead region activities. The
branch also pursued a number of special projects and studies.
Budget and Workload Model Development
P&E coordinated the region's participation in the Agency's budget and workload model
development processes. Our FY-89 planning and budgeting activities for all programs
included:
Coordinating the region's participation in FY-91 budget development for all media,
including a priority ving exercise (done in cooperation with the Policy and
Program Integratiou .anch (PPIB), using risk-based criteria for ranking), working
with the Office of Regional Operations (ORO) as regional liaison for the Deputy
Regional Administrators' (DRA) overview hearing with the Administrator, and
providing the DRA with appropriate briefing material for the series of budget
development meetings organized by ORO.
Coordinating the jgional review of the FY-90 workload models, including
briefing the DRA for the annual conference call/voting, and preparing appeals of
several workload models (wetlands, oceans and Superfund enforcement).
Coordinating budget/workload model issues with the Environmental Services
Division (ESD) and the Water Management Division (WMD) on the
GLNPO/Niagara Program. P&E provided the DRA with briefing material for
use in discussions with Region V on Great Lakes resources.
Providing regional managers with summaries and analyses of the FYs - 89/90
appropriation bills, and the FYs - 90/91 budget documents, projecting, wherever
possible, the likely impacts on Region II's resources.
Lead Region Activities
FY-89 was the first year of Region II's tenure as lead region for the Resource
Conservation and Recovery Act (RCRA) and Underground Storage Tanks (UST), and
we also maintained full responsibility for the ESD equipment funding initiative. As the
coordinating point for lead region activities, P&E worked closely with the Office of Solid
Waste and Emergency Response (OSWER), and the other regions on RCRA/UST
issues. We also worked closely with the regional ESDs, the National Environmental
Services Officer in Headquarters, and the Budget Division on ESD equipment funding.
Our FY-89 lead region activities in the RCRA and ESD areas included:
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Participating in a RCRA lead region transition meeting with Region VI.
Developing a lead region planning calendar and briefing package on key RCRA
budget and workload model issues for the Acting DRA.
Coordinating the FY-90 RCRA workload model development process, working closely
with the other regions and OSWER, and keeping the DRA apprised of issues for his
participation in senior OSWER management workload model meetings with the
Assistant Administrator.
Playing an integral and active role in the Pr'-Pl budget development process for
OSWER, including working closely with the regions to develop an alternative regional
budget proposal (this was a major new activity for the RCRA lead region). P&E
briefed the ARA/DRA on a continuing basis for their participation at a series of
OSWER senior management budget meetings, culminating in the Administrator's
budget hearing for OSW.BR. P&E also worked closely with OSWER during passback
from the Administrator and provided briefing material for the ARA/DRA for the
OMB budget hearing. As lead region, we were successful in impacting the ultimate
budget decisions, which resulted in a 40 percent increase requested for RCRA.
Maintaining full lead region responsibilities for the ESD equipment initiative. During
the year, P&E developed a computerized process (using Lotus format) for
maintaining the three-year rolling equipment needs lists; surveyed the regions on their
89-91 lists; worked with the ARA and Senior Budget Officers to determine final FY-
89 funding levels; developed and implemented a distribution of FY-89 funds (working
closely with the regions, Budget Division and ORO); conducted a second-round
distribution of AC&C funds; identified FY-91 ESD budget needs and insured their
inclusion in the Agency's request; confirmed FY-90 budget funding levels with the
Budget Division, following Office of Management and Budget passback; and most
recently, effected a transition of lead region responsibilities with Region X and ORO.
Resource Management/Operating Plan Development
Within the region, P&E carefully monitored and managed resources to insure their full
and effective utilization. P&E's major activities in this regard were:
Managing the Permanent Full-Time and Other than Permanent Full-Time allocation
processes for FY-90 Salaries and Expenses (S&E), Leaking Underground Storage
Tanks and Superfund positions, including a second-round distribution of positions
received under the 90-Day Superfund management review. The region's FY-89 versus
FY-90 workyear allocations, by media, are shown on the following page.
Conducting in-depth baseline reviews on selected program elements for the FY-90
allocation (water quality enforcement and permit issuance).
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assist and direct divisions in identifying their anticipated FY-90 personnel rosters,
travel, training, contracts, equipment needs and their work and resource activity
projections. A separate module to use the personnel data generated by the divisions
to develop pay calculations for use by FMB was also created. The overall system was
designed to maximize use of pre-existing data bases, especially the Environmental
Protection Agency's Payroll System, so as to reduce the amount of information the
divisions needed to provide. P&E staff provided the divisions with full written
documentation and training on the new computerized process, and feedback from all
involved was that this was a major improvement over the manual process in use prior
to this year.
Maintaining existing position management systems related to processing of the
Request for Personnel Action (SF-52s) (including the SF-52 log, the computerized
staffing folder, and the local personnel file), and to vacancy status monitoring,
working closely with both FMB and HRB on an ongoing basis.
Initiating the development of an integrated position management system that will
move P&E away from the local personnel file and the staffing folder toward use of
the Operating Plan personnel files (which are more accurate than the local file) to
track vacancies and on-boards. The new system was partially implemented in FY-89,
with more work to be accomplished in FY-90 to make it fully operational. Highlights
include computerization of the log (which will enable report generation), interface
with HRB to more effectively prepare monthly recruitment status reports, and an
ability to more efficiently update the divisions on their vacancy status simply by
pulling a report from the new system.
Issuing the SF-52 Guide, which provided managers and administrative/secretarial staff
with detailed instructions on how and when to complete an SF-52 (using the new
forms).
Conducting the annual Superfund charging survey, and maintaining the personnel
roster for inclusion in the OPM Superfund allocation scheme.
Deficit Planning
In FY-89, the region faced a substantial deficit in its S&E account (both in the Personnel
Compensation and Benefit and support funding), as well as a deficit in its Superfund
support account. P&E served as the focal point in OPM for coordinating deficit planning
analysis and documentation, and its key activities included the following:
With FMB, preparing the initial response to Headquarters on the magnitude of
Region ITs projected S&E/Superfund deficit.
With FMB, helping to develop the initial OPM deficit reduction recommendations
(freeze on hiring, effective January 1, and immediate reductions in travel, training
and other expenditures). Also processed the huge number of recruit SF-52s
12
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submitted by the divisions during the one week hiring window from Christmas to New
Year's.
Preparing the briefing packages for, and participating in, a series of ARA
presentations to the Regional Administrators (RA) and Division Directors on the
deficit status; packages included funding projections developed by FMB, with input
from P&E on vacancy/hiring status projections, and other essential information on
position management issues.
Writing a series of memos from the RA to all employees apprising them of the
deficit situation, and the impacts on hiring, promotions, travel, training and the
ability to meet program accomplishments.
Working with the divisions to develop prioritized hiring needs lists for review by
the RA, and monitoring implementation of the RA's decisions on selective
relaxation of the hiring freeze restrictions.
Helping to develop the strategy for implementing a 5 percent hiring holdback in
FY-90 for S&E positions, in anticipation of funding shortages in the next fiscal
year.
Annual Operating Guidance and SPMS/Enforcenient Reporting
P&E continued its coordination of the region's participation in SPMS, and the
enforcement indicators tracking. Major activities in FY-89 included:
Coordinating the region's review of the Agency's annual Operating Guidance for FY-
90.
Managing the FY-89 SPMS and enforcement target setting processes.
Coordinating the quarterly reporting and verification of SPMS accomplishments by
the region.
Developing and implementing a computerized format for Quarterly enforcement
tracking by the divisions.
Coordinating the DRA's quarterly management review meetings, and participating at
those meetings with the divisions.
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Federal Managers' Financial Integrity Act
P&E continued to manage the region's implementation of FMF1A. The major activities
carried out in FY-89 were:
Coordinating divisional input for preparation of the region's FY-88 Annual Assurance
Letter, for follow-up and reporting under the Corrective Action Tracking System on
internal control reviews, and for preparation of Assessable Unit documentation,
Vulnerability Assessments and Management Control Plans.
In coordination with Headquarters, presenting two training sessions on FMFIA
requirements for Region II managers (formal training sessions had not been held for
several years prior).
Regulation Development
As the regional regulatory contact for Region II, P&E assures that proposed regulations
are circulated within the region for review, and that any resulting comments are
transmitted to Headquarters in a timely manner. Highlights of FY-89 activities included:
Coordinating two non-concurrence actions by the RA (for a proposed PCB rule and
the Technical Assistance Grant (TAG) rule). Both non-concurrences were
subsequently resolved, and P&E prepared follow-up memos to Headquarters to that
effect.
Special Studies and Initiatives
In addition to its ongoing activities in the areas of budgeting, planning and resource
management, P&E conducts and participates in a wide range of special initiatives.
Highlights of FY-89 include:
Coordinating the transition planning for OPM, including preparation of the OPM
Profiles, development of OPM issue papers and statistical information for submission
to the Office of External Programs, and preparation of OPM constraints papers as
background for the new RA.
Coordinating the initial regional involvement with Headquarters on pollution
prevention, including compiling the region's submission for the pollution prevention
set-aside.
Initiating a programmatic evaluation of the region's Niagara/Great Lakes activities,
including extensive interviews with involved staff, review of written material and
preparation of a draft report that makes a series of recommendations on
improvements to the existing program.
14
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As a follow-up to the position allocation process, and at the request of the Acting
RA, conducting a program review of ESD's involvement in generating water quality
enforcement actions (final report was presented to the ARA for concurrence).
Coordinating the region's development of required annual reports, including the
Information Collection Budget, the Productivity Improvement Plan and other items
requested by Headquarters.
Preparing the letter to Canteen Corporation on elimination of styrofoam products in
the Javits Federal Building.
15
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FY.90 GOALS AND OBJECTIVES
P&E will seek in FY-90 to make enhancements to the monitoring and tracking systems
already in place, building on the substantial improvements implemented in FY-89. The
branch's priorities for FY-90 will be:
To fully implement the Position Management System (PMS), which utilizes unique
position identification numbers, and the SF-52 process, to track the status of each
allocated position in the region. The PMS also enables generation of a variety of
unique reports, including the recruitment status report prepared jointly with the
Human Resources Branch, and the payroll projections prepared by Financial
Management Branch.
To develop and fully implement a computerized SF-52 log, which tracks all regional
personnel actions, and enables preparation of a variety of useful reports.
With FMB, to modify the computerized Operating Plan software to incorporate
changes identified as needed for FY-90. These will include streamlining the travel
and training modules and enhancing the work and resource activity module.
Other P&E priorities in FY-90 will include working with PPIB on regional strategic
planning, continuing our lead region activities for RCRA, and coordinating with FMB on
monitoring and managing the region's deficit plan.
16
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I
FINANCIAL
MANAGEMENT BRANCH
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BUDGET AND REPORTING
Status of Regional Funds
The President signed EPA's Appropriation Bill, P.L. 100-404, in August, On October 1,
1988, the region's FY 1989 Advices of Allowance and approved operating plan were
issued. This marked the first time in many years that our funds were in place on the first
day of the fiscal year. However, the region was faced with numerous funding problems
during FY-89.
From the outset of the fiscal year, it was evident that there were insufficient funds to
cover the region's payroll needs through fiscal year end. Effective January 1,1989, federal
employees were to receive a 4.1 percent pay raise. The Agency, however, was not
provided with additional funding to cover these costs. Regions were, therefore, directed
to absorb the pay raise from within existing resources. Immediate measures had to be
taken to reduce a projected deficit of $2,300,000 throughout all appropriations. A hiring
freeze was imposed effective January 1,1989, the summer program was cut, travel and
training budgets were reduced by twenty-five percent and the regional support account
was cut by $352,700.
These measures, however, were still not sufficient to cover the projected deficit.
Continuous reviews were performed of the regional support account to gain further
reductions. Positions were transferred between appropriations in order to gain greater
savings under the Salaries and Expenses (S&E) appropriation and additional funds were
secured from Headquarters' (HQs) administrative and program offices in order to cover
the deficit. In addition, a revised Superfund allocation plan was developed saving
$376,600 under the S&E appropriation. Based on these additional measures, the region
was able to cover the deficit and remain within its total appropriation limits.
Out of the total FY-89 current year and carryover appropriations of $275,173,885, the
region obligated $272,116,081 and committed $286,614 leaving an unobligated balance of
$2,771,190. Of this amount, $2,247,168 remained available for restricted programs,
thereby, leaving an unobligated balance of $524,022 or 02 percent of our total FY-89
approved operating plan.
Budget Execution
As part of a new Budget Execution and Control Process, all change requests were
processed on the Personal Computers (PC) into the Integrated Financial Management
System. All requests were approved on-line and once approved the system was updated
to accept the changes. During the fiscal year, 145 change requests were processed under
the new system.
17
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FY-90 Operating Plan
On August 15,1989, our F^-90 Operating Plan was completed and submitted to the
Administrator for review and approval. The plan contained Region H's Highlight
Statement and Change Request forms for reprogramming funds between program
elements to cover fixed operating expenses for PC&B, travel and training. The region
received targets of $25,907,200 for S&E, $34,234,400 for AC&C, $8,534,000 for LUST
and $16,492,800 for Superfund. However, there were projected resource shortfalls under
the regional support account of $399,000 for S&E and $1,807,600 for Superfund to meet
our programmatic needs.
ACCOUNTING OPERATIONS
Productivity
Productivity statistics for key activities of the Accounting Operations Section for FY-89
are as follows:
Transaction Volume - FY-89 transaction volume exceeded 60,000 line items reflecting
a 14 percent decrease over FY-88 activity.
Accuracy Rate - An outstanding accuracy rate of 99.99 percent was achieved.
Disbursements -11,842 payments were processed requiring 1,224 Treasury schedules.
Net disbursements totaled $544,375,711 of which $104,416,342 represents Letter-of-
Credit drawdowns.
Obligations - Obligation activity exceeded $378,000,000 for FY-89.
Policy and Procedures
Provided comments to HQs on draft Comptroller Policy Announcements for
implementation of the Prompt Payment Act Amendments of 1988 and State Revolving
Fund Letters of Credit.
Also provided comments on proposed changes to the U.S. Treasury Fiscal
Requirements Manual regarding the processing of U.S. Government checks and
claims.
Reviewed for HQs Financial Reports and Analysis Branch a draft of Superfund
Accounts Receivable Operating Procedures.
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Prompt Payment
During FY-89, the Financial Management Branch (FMB) continued to maintain
proper control over disbursement activity to ensure compliance with the requirements
of the Prompt Payment Act. With continued staff vacancies during FY-89, FMB
managed to sustain high productivity levels, processing all payments while incurring
few interest penalties or lost discounts.
Accounts Receivable
In addition to continuing FMB's efforts for aggressive monitoring and collection of
outstanding receivables, major emphasis was also placed on the evaluation of Agency
policy and procedures and the development of regional procedures and controls as
follows:
Provided comments and recommendations on HQs draft Superfund Accounts
Receivable Operating Procedures, which will ultimately be incorporated into
Resource Management Directive 2550, Financial managment of the Superfund
Program.
Provided comments on a HQs draft policy announcement on Consent Decree
Tracking Systems.
Deposit Activity
Completed a U.S. Treasury User Agency Lockbox Survey for Region n at the request
of HQs which addressed the level and quality of service provided by the Mellon
Bank.
Systems Activity
Undertook several tasks related to the March 1989 Agency-wide implementation
of the IFMS. These tasks included:
- Reviewed and commented on various module descriptions, including
budget formulation and execution, general ledger, accounts receivable and
payable, financial reporting, travel and PC linkage.
- Introductory data entry training conducted by HQs Financial Systems
Branch and American Management Systems (AMS) personnel, focusing
on the modules described above.
Implemented the IFMS on March 6,1989. This implementation included many
modules of the system with the heaviest usage in Purchasing, Accounts Payable,
Travel, Grants, and Accounts Receivable.
19
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FINANCIAL SERVICES
Suoerfund Cost Recovery
Cost documentation packages were completed for thirty-eight Superfund sites.
The Computer Science Corporation (CSC) completed the review of payment documents
for all of FY-88 and three quarters of FY-89. Superfund original and site-specific files
were maintained and quality assurance reviews were conducted in preparation for the
implementation of the Superfund Transactions Automated Retrieval System (STARS).
Provided training and transferred responsibility to the CSC staff for maintenance of
various cost recovery systems including: the Payroll Account Redistribution System
(PARS), the Data Entry Payment System (DEPS), the Combined Payroll Redistribution
& Reporting System (CPARS) and the Cost Documentation Monitoring System (CDMS).
Participated in a HQs study on the implementation of STARS and provided HQs with
models as well as comments on system needs.
Attended the Superfund Technical Workshop where information was exchanged relative
to automating the Superfund cost recovery process. Also attended the Superfund
Administrative Regulation Workshop and the Superfund Response Agreements Seminar
in Seattle, Washington.
Audit Participation
Participated and provided the necessary response and supporting documentation to the
Office of Inspector General's (OIG's) audit of Obligations and Disbursements of the
Hazardous Substance Superfund for the Fiscal Year ended September 30, 1988.
Payroll
Issued Time and Attendance Verification Reports to Division Directors on a pay period
basis requesting their review to assure that time and attendance entries for all employees
were properly entered into the payroll system.
Performed monthly allocations of Superfund FTE's and payroll using OPM's automated
Superfund Allocation system.
Travel
Developed numerous regional policies and procedures in response to changes in GSA or
EPA regulations dealing with such areas as local travel limits, annual leave in conjunction
with travel, cash purchase of common carrier tickets, and increased per diem and
Privately-owned vehicle rates for domestic travel.
20
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Provided comments to HQs on the revision of the Travel Authorization form to reflect
changes necessitated by the IFMS system.
Quality Assurance
As required under FMFIA, prepared and submitted the FY-89 "Annual Report and
Certification on Assessment of Financial Controls and Conformance with Comptroller
General Pr nciples and Standards" to the HQs Financial Management Division. The
report com lined a summary of our general control environment and the Regional
Comptroller's certification on Region IPs accounting system. A Quality Assurance
Workplan was also submitted to HQs.
Conducted Alternate Internal Control Reviews on FMB's Accounts Receivable, Payroll,
and Funds Control functions during FY-89.
21
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FY-90 GOALS AND OBJECTIVES
With our focus on Total Quality Management (TQM) in FY-90, FMB will place the
highest priority on achieving the following goals and objectives:
Develop a cost saving plan that will provide the region the ability to remain within
its FY-90 operating plan encompassing EPA's appropriation "Section 517" reductions
and the Gramm-Rudman-Hollings sequestration.
Successfully implement of the IFMS Report Writer, finally eliminating FMS and
SPUR.
Conduct internal control reviews in areas perceived as vulnerable to waste, fraud,
abuse or mismanagement.
Continue to update internal control documentation so as to reflect actual procedures
for existing and new areas of responsibility, as required under FMFIA.
Continue emphasis on our Superfund cost recovery responsibilities with an
increased involvement by CSC in implementing CDMS and STARS.
Conduct various internal FMB studies and analyses to increase productivity and
efficiency within the branch.
Cross train all employees to improve coverage of functional duties.
Work with GRA on improving the management of Financial Status Reports.
Work with FAME on a review of the regional teleticketing program.
Work with GRA and PPIB on revising and streamlining the Program Grants Report
Focus on expanding and/or developing new automated systems to enhance branch
operations.
22
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FACILITIES AND
ADMINISTRATIVE
MANAGEMENT BRANCH
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The Facilities and Administrative Management Branch (FAME) stresses a team approach
to problem solving and coordinates closely throughout the year with other branches such
as the Information System Branch (ISB) and the Environmental Impacts Branch (EIB).
FAME works particularly closely with the Financial Management Branch (FMB) to
insure an efficient utilization of allocated resources. In FY-89, year-end coordination on
procurement needs resulted in the lowest amount of unexpended Salaries and Expense
funds in the history of the region.
General Management
Several cost-saving initiatives were undertaken such as the upgrading of our Kodak
200 photocopiers to more cost-effective Kodak 235 copiers after a careful cost
analysis. Purchase of these copiers and the new Kodak 300 high volume machine will
result in a very significant annual savings (approximately $85,000 in FY-90).
FAMB's initiative in using the General Services Administration (GSA) Quality Work
Environment Program and long-term systems furniture leasing programs resulted in
significant cost-savings to the region.
Important long-term economies were also realized by the replacement of costly IA2
key equipment with electronic telephone sets on the newly renovated fourth and ninth
floors.
FAMB initiated a study of innovative telecommunications equipment to address the
region's critical shortage of clerical help. It resulted in Region II being the first
region in the country to implement voicemail. FAMB has provided technical
expertise to the rest of the Agency as it moves towards this cost-saving technology,
Secured at no cost a floor of new, high grade carpeting from Milliken in cooperation
with Office of Regional Counsel (ORC).
Utilized authorities in the FPMR's to trade in our obsolete Lexitron word processors
for advanced 386 IBM compatible computers.
Edison Initiatives
FAMB has taken on an important role in development of the Office of Research and
Development's (ORD) engineering and technology evaluation center proposed for
Edison (ESD). Joe Pernice has been given substantial engineering oversight
responsibility for the project by Headquarters (HQ).
FAME also has taken a leadership role in the preparation of a consortium agreement
and a township building license.
FAMB assumed major responsibility for the successful effort to secure a replacement
for the region's coastal monitoring helicopter which was grounded last fall.
23
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FAME successfully dealt with sensitive issues such as the lease of property to the
homeless adjacent to the Edison facility.
FAME has been extremely aggressive in securing B&F funding for Edison and has
worked with the Environmental Response Team (ERT) to produce substantial new
funding for Edison facility needs.
FAME has negotiated a $60K support agreement for GSA use of a portion of the
facility.
FAME renovated ERT laboratory to incorporate new casework, HVAC and electrical
service.
Renovated Bay A Building 209, at ESD using modular furniture and redesigned Bay
B to permit higher density space utilization.
Began work on the renovations of the basement in ESD, building ten.
Renovated the first and second floors of building seventeen and eighteen for the
Office of Solid Waste and Emergency Response (OSWER) ERT at ESD. The third
floor of this building is presently under renovation.
Major Space Moves and Renovations
Major program goals, such as the renovation of the fourth and ninth floors in New
York and the implementation of systems furniture, have received high praise from
regional staff and HQs' officials. Construction of a new Regional Administrator
conference room on the ninth floor was also completed.
Moves to and from temporary turnaround space associated with these renovations
went very smoothly. Program disruption in each case was minimal.
FAME quickly expanded the fourth floor design to accommodate a decision to
include ISB and the library in the fourth floor renovation plan. This was
implemented using an innovative information center concept.
FAME designed space and implemented the move of Superfund staff to the twenty-
ninth floor.
The branch worked closely with GSA in developing the design parameters for the
new federal building the Environmental Protection Agency (EPA) will eventually
occupy.
FAME prepared proposed renovation plans for the tenth, eleventh and twelfth floors,
and prepared the bid package for additional systems furniture needed for renovations
on the eighth, tenth and eleventh floors.
24
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The branch submitted a request for 170,325 square feet of additional office space in
the Javits Federal Building. Discussions with GSA have resulted in a commitment of
5,000 sq. ft. on the twelfth floor for Superfund growth needs.
Regional an0 Superfund Contracting
The contracting operation has functioned smoothly during the past year with needs of
all regional programs met promptly and efficiently.
The Regional Superfund contracting program was implemented with no problems and
high marks from HQs' and the program division. Currently, six contract specialists,
the full allocation through FY-89, have been selected and trained for this key
program area.
A successful management approach to reorganize the regional and Superfund
contracting functions was developed.
i Major contract actions such as the FY-90 Edison maintenance, janitorial and security
contracts, an Office of Inspector General (OIG) audit services contract and the
maintenance contract for the BSD GC/mass spec instruments were all awarded on
schedule.
Alternate Remedial Superfund Contracts (ARCs) were a high branch priority.
During FY-90 we issued work assignments and revisions totaling $35 million to the six
ARCs contractors. Utilization of available Superfund resources was exceptionally
high due to close coordination with ERRD and FMB.
Two emergency response cleanup services contracts are also administered by FAME
for the Superfund program. During FY-89 twenty-one delivery orders and contract
modifications amounting to $6.7 million were awarded.
During FY-89 FAME supported the Agency's Niagara River/Love Canal program by
issuing 159 contract modifications.
Contract actions were also initiated with several water companies in the region to
provide water service for homes with contaminated private water supplies. These
actions totaled $747,000.
The mission support contract at Edison with Bendix Corp. provided a wide range of
essential support services for our facility there. During FY-89, the value of this
contract amounted to $800,000. It was recompeted for FY-90 due to the expansion of
the facility to two hundred and five acres.
Orders were place for over $2.5 million dollars of leased systems furniture under a
contract awarded to Westinghouse Furniture Systems.
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During FY-89, twelve delivery orders amounting to $368,000 were issued under our
administrative support contract for the New York Regional Office with the
Federation of the Handicapped.
Small purchase actions continued to grow despite a lengthy moratorium on
unessential purchases imposed earlier in the year due to resource constraints. During
FY-89 we issued 2,064 orders.
Administrative Programs
FAME continued its efforts to improve the regional property management program.
Audit findings show Region II to be a leader in this area.
The region implemented on schedule the Agency's new computerized PPAS property
system.
The interagency agreement program was transferred to GRA smoothly and without
program disruption.
Health and Safety Program
The annual recertification under EPA Order 1440.2 took place.
The medical monitoring program continued to effectively address Regional needs.
Our program is recognized as one of the most effective medical monitoring programs
in the Agency.
The annual safety inspection took place at ESD's facility with HQ's support.
The abilities of our current Safety officer are well-regarded by program staff,
regional management and HQs' safety personnel, and she participates in a number of
agency task forces and panels.
Major program guidance., such as the Regional Respiratory Protection Manual,
was developed despite fragmentary HQ guidelines. Guidance was also provided
concerning safety, medical waste sampling and inspection procedures.
Radon testing was completed in the basement of ESD's, Building 10. Results indicate
no further action is necessary.
Safety committees continue to function both at Edison and New York.
CPR and First Aid courses were held to fulfill EPA Order 1440.2 training
requirements.
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Refresher training for Self-Contained Breathing Apparatus was provided to
employees in the Surveillance and Monitoring Branch. This refresher training is a
requirement of Region II's Respiratory Protection Program.
Training in the care and cleaning of air purifying respirators was presented for
employees in the Toxic and Hazardous Waste Section, at the ESD facility.
Defensive Driving classes were held both at Edison and New York. A total of one
hundred sixteen Region II employees attended.
EPA, Region II's Health Awareness week was held in coordination with the Human
Resources Branch (HRB). Health Risk Appraisals were conducted for one hundred
seventy-five Region II employees. Workshops on Nutrition, Stress Management,
Smoking Cessation, Skin Cancer, Stretching, Heart Health and Aerobics were held
during the week.
A program for issuing safety certification cards was developed for Region II field
personnel. These certification cards will be renewed annually to document that all
necessary safety requirements have been met.
The Region's Medical Monitoring program was updated to require close-out exams
for all exiting employees. Changes were also made to provide for preemployment
exams.
Respirator fit testing was conducted for field personnel. A porta - count respirator fit
testing machine was purchased. This new equipment enables the region to perform
quantitative respirator fit testing.
The Edison Wellness Center successfully completed its first year of operation.
Activities at the center were expanded and additional equipment was purchased to
respond to employee needs.
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FY-90 GOALS AND OBJECTIVES
FAMB's major goals for FY-90 include:
Conducting a Total Quality Management (TQM) review of the regional teleticketing
program in coordination with FMB.
Obtaining the balance of requested space in the Javits Federal Building, completing
renovations on the tenth and eleventh floors and arranging necessary moves with as
little programmatic disruption as possible.
Continuing the major renovation program at Edison and support for the ORD E-
TEC design effort.
Securing a low-cost replacement for the survey vessel, Clean Waters.
Expanding contract support to the Superfund program.
Administering the procurement program in a time of curtailed resources and
growing needs.
Conducting a TQM review of the Health and Safety and Inspector Training
Programs. This effort will include coordination with HRB and the Permits
Administration Branch (PAB) and will ultimately lead to a system whereby inspector
training, H&S training and credentials issuance are linked together in a single
tracking system.
Issuing a regional order concerning our medical evaluation program.
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INFORMATION SYSTEMS
BRANCH
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This past fiscal year, the region made great strides in improving its office automation
capabilities. Local area networks (LANs) were installed in two divisions and cabling was
completed for two additional divisions. At the end of FY-89, we ordered additional
hardware which will increase the number of personal computers by about 80 percent. A
new Information Center and training room have been completed and will greatly enhance
our ability to train and support regional staff in their use of this new technology.
We have also made additional progress in working with our states as part of the
State/EPA Data Management Program in terms of increased system usage as well as
enhanced telecommunications services. We will be building upon this progress in FY-90
with the implementation of a Geographic Information System (GIS) in Region n which
will increase the opportunities for data sharing and multi-media environmental analysis.
Office Automation
In FY-89, we developed a PC plan which specified the hardware, software and training
requirements of each division in Region n. This enabled us to move swiftly to utilize
end-of-year funding, thereby purchasing two hundred twenty-eight PCs, forty-three laser
printers and related hardware and software. In addition, we purchased equipment that
will enable us to complete the LANs for ERRD, ORC, OPM, and ORA/OEP. When all
the equipment is received, we will have increased PCs in the region by 80 percent, to five
hundred twenty-seven units. This represents approximately one PC for every 1.6 PFTEs
and an investment of approximately $1.3 million in FY-89 funds.
Along with the increase in equipment, we also selected WordPerfect Office as the
standard office automation tool. WordPerfect Office provides an appointment calendar,
meeting scheduler, calculator, note pad, electronic mail and file manager.
In order to more effectively use this technology, we continued to provide training in
WordPerfect Office, dBase m+, and Lotus 1-2-3 using the facilities at Pace University.
In addition, we have begun to develop in-house seminars for E-Mail, LANs, and
advanced topics in WordPerfect.
State/EPA Data Management Project
During FY-89, all Region II states were active participants in this program, the purpose
of which is to increase information sharing between EPA and the states. We assisted the
states in their expanded use of the Aerometric Information and Retrieval System - Air
Quality Subsystem (AIRS-AQS) and the Permit Compliance System (PCS). We also
assisted the New York State Department of Environmental Conservation in obtaining a
$60K discretionary grant to acquire software and equipment for developing new means of
using IBM personal computers to access the PCS database for water enforcement
activities.
In FY-89, we concentrated on expanding Puerto Rico Environmental Quaity Board's
(PREQB) information management capabilities. With the cooperation of the National
Data Processing Division (NDPD), we procured a high speed data communications line
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between San Juan, Puerto Rico and the EPA National Computer Center in North
Carolina. Due to the damage caused by Hurricane Hugo, installation of the line has
been postponed to April, 1990. To ensure the successful operation of this equipment, we
developed a proposal for an information management study in PREQB and the definition
of an infrastructure to provide them with an information resources management capabil-
ity. We also developed a training program to provide "hands-on" training in the use of
EPA data bases for environmental decision making and we assisted the PREQB in
preparing a discretionary grant for $90K to purchase equipment required to access EPA
databases.
Local Area Network
A local area network (LAN) provides an internal wiring connection among personal
computers, peripherals, and telecommunication gateways. The backbone ring of the
network, which will allow us to easily add additional rings (i.e. an additional floor) was
installed in FY-88 and during FY-89 we installed LANs in ORC and ERRD. Our
regional LAN will continue to grow over the next two years as additional areas are
connected to the network.
Wide Area Network
A wide area network (WAN) provides long distance telecommunications access to various
computers and peripherals located throughout EPA and the states. During FY-89, WAN
services were enhanced in the regional office to permit substantially faster
telecommunications speed among other remote sites and to offer extended services when
using the X.25 international communications standard. A local minicomputer was
removed from service after these enhancements were implemented and the Region was
able to realize a cost savings of approximately $16K_
Laboratory Data Management System (LDMS^
During FY-89, the GC/MS laboratory was automated, permitting data to be directly
loaded into the IBM 4381 mainframe. Data from the GC/MS is electronically
downloaded to a personal computer where it is reviewed and approved by laboratory
personnel. The data is then electronically uploaded to the LDMS which resides on the
Region n IBM 4381 mainframe. Previously all data was entered into the system
manually. Additional laboratories such as the GC will be automated during FY-90.
30
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FY-90 GOALS AND OBJECTIVES
Office Automation
Our goal in FY-90 will be to continue to implement our plans to add more workstations
and extend the LAN to additional areas in Region n. We plan to add at least one
hundred new workstations and have complete, fully functioning LANs in ORA/OEP,
OPM, ERRD and ORC. A great deal of attention will also be given to installing
WordPerfect Office on all the file servers in the network, which will be especially useful
in that it will provide a local electronic mail capability.
In addition, we will be providing a broader range of training, using our new training
room as well as Pace University. A critical area will be in the training of Region II staff
in the use of the LAN and WordPerfect Office. We will also be using interactive video
systems in both Edison and New York for supplemental WordPerfect training.
Local Area Network
Hie Edison laboratory will be included in the Region n local area network during FY-90.
A backbone ring will be installed, connecting five buildings on the campus. Fiber optic
cable will be used because of the long distance between buildings. A 56KB digital data
transmission line will be installed between New York and Edison and through the use of
extended LAN function equipment, the Edison facility will become pan of the Region II
LAN. This will enable staff in ESD and ERRD to access all telecommunications services
available on the network. We also are planning to install LAN cable in the new space
scheduled to be constructed for the Air and Waste Management Division in FY-90. The
diagram on the following page shows the plans for extending the Region II LAN.
Additional file servers will be installed in ORA/OEP, OPM and ERRD in order to
complete the network in these areas.
Wide Area Network
Puerto Rico will be connected to the EPA wide area network via the TYMNET public
network. The PREQB had been previously scheduled for a late FY-89 completion but
Hurricane Hugo had delayed the implementation to FY-90. Once this line is installed,
on-line access to the EPA mainframes will be possible from the PREQB offices using
high quality, fast and reliable telecommunication lines. Also during FY-90, the
telecommunications capacity available in the region will be doubled, allowing more data
to flow between remote computing environments. New Jersey and New York may also
have their telecommunications capacity increased and converted from analog to digital
circuits late in FY-90, if increased network traffic justifies the cost. FTS-2000 has also
significantly reduced the monthly service costs of digital lines.
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State/EPA Data Management
Our major FY-90 goals will be to provide the PREQB with a high-speed data
communications line, to oversee the successful installation of ADP equipment procured in
FY-89 for this project and to implement a training program for EPA information systems.
At the same time, we will be directing the study of the PREQB organizational structure
and will work closely with PREQB's senior managerment to oversee the implementation
of an infrastructure to support information resources management.
We will also be assisting the NYSDEC in implementing hardware, software and
procedures to process their ambient air quality data directly into the AIRS database. In
addition, we will be working with the State of New Jersey to implement their direct
updating of the RCRIS database and the development of joint geographical information
system applications.
Geographic Information System (CIS)
ISB will be working with the Policy and Program Integration Branch (PPIB) in
implementing a GIS in Region II. A CIS is a computer system designed to allow users
to collect, manage, and analyze large volumes of spatially referenced and associated
attribute data. The system, ARC/INFO, combines the use of sophisticated data base
management software with a high powered graphics package which allows the user to
analyze information and develop graphical displays. We will be working with PPIB and
the Water Management Division in developing a pilot project which will assess toxic
loadings in the Niagara River. We will also be investigating other potential projects and
will be coordinating very closely with New Jersey and New York in sharing data and
perhaps joint development of a GIS application.
National Program Systems
In FY-90, there are several new national program systems that will be implemented, the
most notable being the Aerometric Information and Retrieval System - Air Facility
Subsystem (AIRS-AFS) and the Resource Conservation and Recovery Information
System (RCRIS).
The new AIRS system will replace the National Emissions Data System (NEDS) and the
Compliance Data System (CDS). We will be working very closely with the Permits
Administration Branch and the Air Compliance Branch to ensure that the transition is
accomplished as smoothly as possible. In addition, both the states will be using AIRS to
a much greater extent than they have in the past and ISB will be providing them with
technical assistance.
RCRIS has been under development for several years and Region n is scheduled for
implementation in the spring of 1990. RCRIS has been designed to replace the
Hazardous Waste Data Management System (HWDMS) and ISB will play a major role
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,
in converting the old HWDMS database into the new RCRIS format and developing the
new reports as required by the RCRIS users.
Superfund Transactions Automated Retrieval System (STARS)
During FY-90, STARS will be implemented nationally and the region's implementation is
slated for the March/April timeframe. The hardware and software contract was awarded
to IBM for image processing systems, support and maintenance. The hardware
components consist of an IBM AS/400 minicomputer with up to sixteen megabytes of
main storage and a magnetic disk of eight hundred megabytes. Optical disk drives
manufactured by Laser Magnetic Systems, Inc. and an optical disk "jukebox"
manufactured by Filenet will be used to hold all of the documents. The workstations are
IBM PS/2 Model 80s with 2MB of memory. Connections between the workstations and
the minicomputer will be via the LAN.
The STARS project will involve the use of this technology to electronically store financial
documents on optical disks, thereby saving storage space which would otherwise be
necessary for the paper documents. Compiling the financial information needed for site
litigation and cost recovery will also be easier, more efficient and more accurate.
TOTAL QUALITY MANAGEMENT PROJECTS
Regionaj Paper Reduction
During FY-90, ISB will implement a computer printout reduction program by training
heavy mainframe computer users, particularly in the Permits Administration Branch and
Financial Management Branch on the use of local terminal printing and "browsing" of
data rather than ordering large printouts. Minor modifications will be made to job
control language permitting an end-user to store the "printout" on magnetic disk and
access the data via existing software during the reporting cycle. The vast majority of
terminals in the region are equipped with printers that are used to print information
contained on the screen. This will have a number of benefits such as reduced paper
usage, less usage of the mainframe printer and reduced computer operator time.
Increased Use of Office Automation Technology
ISB has piloted the use of WordPerfect Office as an office automation tool to be used on
a LAN. In FY-90, the branch is committed to fully using all the capabilities of the
systems by everyone in the branch in order to virtually eliminate paper messages,
including telephone messages. Drafts of text will also be reviewed and edited I
electronically.
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POLICY AND PROGRAM
INTEGRATION BRANCH
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During FY-89 the Policy and Program Integration Branch (PPIB) accomplished ongoing
responsibilities and initiated new activities in three broad areas: oversight of state
environmental programs and grants; analytic projects, including risk-related activities and
pollution prevention; and executive correspondence control.
Among the noteworthy activities undertaken in FY-89 were:
Expansion of the Regional Risk Training Program to include new courses and state
employees;
Creation of a pollution prevention strategy for the region; and
Development of a plan for implementing the Federal Technology Transfer Act
(FTTA) in Region II.
STATE PROGRAM OVERSIGHT
PPIB coordinated the State/EPA Planning Process during FY-89. Mid and end-of year
reviews for the air, water, RCRA and pesticides programs were conducted at ti,>- Division
level for all state agencies, and region level reviews were completed in New Jersey, New
York, Puerto Rico, and the Virgin Islands. A table depicting State environmental
programs and planning cycles follows. The Planning Process continued to be an effective
means for raising important issues to the attention of the Regional Administrator and the
Commissioners.
PPIB also monitored the region's implementation of the Policy on Performance-Based
Assistance, and ensured that specific elements required by the policy were incorporated
into the FY-89 Air and Water cooperative agreements for which PPIB staff serve as
project officers. PPIB also coordinated the review and updating of the State/EPA
Enforcement Agreements which document EPA's procedures for oversight of State
compliance and enforcement efforts.
Indian Program
PPIB helped the St. Regis-Mohawk Tribe to meet the funding requirements under
Section 106 of the Clean Water Act, and facilitated a review of the Tribe's application
and workplan by Headquarters, Office of Water and General Counsel, and by the region.
As a result, the St. Regis was the first tribe in the region to receive funds under Section
106.
Program Grants Management
PPIB continued to manage program grant funds and to oversee the region's discretionary
grants process. During FY-89, we successfully transferred the program grants report from
the PRIME computer to a PC-based system. PPIB worked closely with the
Grants Administration and Financial Management Branches to implement a fourth
quarter funding strategy to protect discretionary funds for FY-90.
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ANALYTICAL PROJECTS
Technology Transfer/Cooperative Environmental Management
PPIB continued as the regional "focal point" for technology transfer during FY-89. The
regions received authority to implement the FTTA, and PPIB developed a plan for
implementing FTTA in Region II. Other trch transfer activities for FY-89 included:
Outreach to universities, industries and others through participation in meetings and
conferences on technology transfer and training;
Dissemination of information on technology transfer and training through the
established network of regional and state focal points; and,
Assistance to Headquarters, Office of Cooperative Environmental Management in
further defining the roles of the regional focal points.
National Network for Environmental Management St
(NNEMS)
Due to budget constraints, all but two of the NNEMS topics for FY-89 were cancelled.
Four studies funded in FY-88 were completed. The final reports are available on request
through the National Technical Information Service.
Risk-related Activities
PPIB's risk-related activities grew during FY-89. Region II remained Lead Region for
Risk during FY-89. Lead Region responsibilities included:
Producing the bi-monthly Risk Assessment Review, in cooperation with the Office of
Research and Development;
Chairing the Agency's Risk Training Committee and overseeing the development of
additional risk courses and a risk training curriculum for the Agency; and,
Participating actively in the Steering Committee which developed the agenda for the
regional risk assessment conference.
During FY-89 PPIB expanded efforts to integrate the concept of risk-based decision
making in Region II and to ensure that regional risk assessments are consistent and of
high quality.
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EPA FUNDED STATE ENVIRONMENTAL PROGRAMS AND PLANNING
CYCLES IN REGION II
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Activities included:
Review and assistance in the development of the risk assessment for the proposed E-
Tech facility in Edison;
Participation in the interagency subcommittee which is developing the risk assessment
for the Staten Island Urban Air Toxics Assessment Project; and,
Implementation of the regional risk training plan for FY-89.
The regional risk training plan focused on the continued delivery of the Workshop on
Risk and Decision Making and the Integrated Risk Information System course, and on
the expansion of the curriculum to include courses on the Agency's Risk Assessment
Guidelines and Intermediate Risk Communication. PPIB also sponsored a course to
train facilitators, and was successful in including the states in the risk training program.
In all, the total number of people attending risk training in FY-89 was two hundred and
thirteen. The Workshop was offered twice during FY-89, and forty-one people
representing all divisions and all levels of management and professional staff participated.
Region II was the first region to offer all the Risk Assessment Guidelines courses; one
hundred and nineteen people attended.
PPIB continued its activities in support of the Risk Assessment Council both as Lead
Region and in a staff role to the Deputy Regional Administrator. Accomplishments
included the completion of the Site-Specific Risk Assessment Database pilot project.
Ecological Risk Assessment
PPIB has been coordinating Region II activities in the emerging area of ecological risk
assessment, and participating in the Risk Assessment Council's Subcommittee on
Ecotoxicity which is developing the Agency's Ecological Risk Assessment Guidelines.
Risk-based Priority Setting
During FY-89, PPIB and the Planning and Evaluation (P&E) Branch coordinated a risk-
based ranking of regional priorities for FY-91. The Risk Assessment Science Subgroup
served as a work group, and compiled information on health and ecological risks in the
region. PPIB and P&E staff completed a draft ranking and worked with the division
directors to finalize a consensus on the ranking.
Pollution Prevention
PPIB was designated to coordinate the region's pollution prevention initiative in May,
1989. We worked with the Deputy Division Directors to develop regional proposals for
the pollution prevention set-aside pool and a regional pollution prevention strategy for
FY-90 and beyond.
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Office Automation
During FY-89 PPIB implemented a program to replace PRIME Computer capability and
Lexitrons with PC-based systems. Existing programs for managing program grant funds,
correspondence control, and risk training were successfully transferred from the PRIME
to the PC system, marking the first time in the Agency this was accomplished.
Correspondence Control
PPIB continued to manage the flow of executive and AX correspondence throughout FY-
89, including the production of weekly computerized status reports and lists of potentially
overdue AX's. The weekly report was further streamlined and careful monitoring and
follow-up helped to improve the Region's overall performance during the year.
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FY-90 GOALS AND OBJECTIVES
State Program Oversight
As an ongoing effort, PPIB will coordinate the State/EPA Planning Process, and review
its overall effectiveness.
Analytic Projects
PPIB will continue several ongoing activities and projects including:
Serving as regional focal point for technology transfer and coordinating regional
implementation of The Federal Tech-nology Transfer Act;
Coordinating the National Network for Environmental Management Studies program;
Serving as Lead Region for Risk;
Coordinating the integration of risk-based analyses and decision making; and,
Implementing Agencywide and regional risk training initiatives.
PPIB will undertake new efforts in FY-90 aimed at improving our capabilities to an. >/e
environmental risks and trends and thereby to maximize pollution prevention and risk
reduction. New initiatives for FY-90 are:
Development of a regional CIS capability and a pilot project for the Niagara
Frontier;
Completion of a Comparative Risk Analysis for Region II;
Development of a strategic planning process and a strategic plan for the region; and,
Implementation of the region's pollution prevention strategy.
Correspondence Control
PPIB will continue to manage the regional executive correspondence control system, and
regularly review the region's responsiveness.
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Total Quality Management (TQM)
Among PPffi's TQM projects for FY-90 are:
Revising and streamlining the Program Grants Report, in cooperation with the Grants
Administration and Financial Management Branches;
Developing unproved handout material for the New Employee Orientation Program,
in cooperation with the Human Resources Branch;
Improving our capability to produce and update materials for the risk training
program; and,
Completing an inventory and reorganization of branch files.
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GRANTS
ADMINISTRATION
BRANCH
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The Grants Administration Branch (GRA) provides centralized administrative support to
all regional assistance programs. The Grants Operations Section is responsible for the
administrative review, award preparation, post-award management, and closeout of all
grants and cooperative agreements awarded in Region II. The Cost Analysis Section is
responsible for resolution of audits, audit management activities, and liaison with the
Office of the Inspector General.
Highlights of GRA's activities during FY-89 are briefly discussed in the following
sections.
Public-Private Partnerships
GRA coordinated meetings for senior Agency managers with investment banking
firm and bond rating service representatives, and New York City government officials,
in support of the public-private partnership initiative. The purpose of these dialogues
was to explore how the Environmental Protection Agency (EPA) could expand the
use of public-private partnerships in bridging the gap between environmental
infrastructure needs and available resources.
In FY 1989, the Agency established an unprecedented Environmental Financial
Advisory Board (EFAB), to provide authoritative advice and counsel to the
Administrator of EPA concerning environmental financing and taxation issues. The
Board consists of a Congressman, Senator, elected and non-elected officials of states
and local governments, and senior officials of investment banking firms, business, law,
academia, and environmental organizations.
GRA has a lead role in managing the day-to-day support for the Board's activities,
under the policy direction of the Executive Director of the Board, Herb Barrack, and
the Chairman, Roy Torkelson, Deputy Commissioner of the New York State
Department of Environmental Conservation.
State Revolving Fund (SRF1
GRA participates in a regional team effort to implement the State Revolving Fund
Program in Region II. In FY 1989, GRA:
Prepared New Jersey's second capitalization grant.
Participated in development and negotiation of the SRF in the Commonwealth of
Puerto Rico, including development of approvable Operating Agreement,
Memorandum of Understanding, grant application, and prepared the first
capitalization grant for Puerto Rico.
Participated in development and negotiation of numerous issues associated with the
complex SRF in New York State.
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Grants and Cooperative Agreements
GRA successfully implemented the Regional Automated Grants Document System
(RAGDS), which utilizes computers, desktop publishing software, and laser printers
for purposes of grant preparation and grant data management. Region II was the
second region in the country to fully implement RAGDS.
In addition to implementing RAGDS, GRA has had significant involvement in
modifying the RAGDS configuration in order to assure that it would be explicable to
regional grants.
Region H's grant processing policy, prepared by GRA, was issued by the Acting
Regional Administrator to senior management, Branch and Section Chiefs.
With teamwork across all regional programs and the Office of Policy and
Management, substantial improvement in end-of-year grant processing was achieved.
Of the one hundred fifty-three grant actions awarded in September, representing 30
percent of grant output for the fiscal year, one hundred and one or 67 percent were
submitted to the Regional Administrator (RA) on or before September 27, the target
date for grant submissions established in the above-referenced regional grants policy.
This represents a substantial improvement over previous fiscal years, when almost all
September grant actions were submitted to the RA for signature on the last day of
September. The Branch implemented a snap-shot report on the status of program
and project grant applications in-house awaiting grant action, as part of an effort to
expedite processing of grants throughout the year. All Region II grant programs ai 2
now covered by this type of management reporting.
GRA provided extensive support to the Marine and Wetlands Protection Branch in
implementing the recently delegated marine estuary assistance projects. The grants
for these projects were particularly challenging because they involved new statutory
requirements, unprecedented cost sharing arrangements, new special conditions, and
new applicants.
Puerto Rico Aqueduct and Sewer Authority (PRASAl
GRA's efforts were instrumental in gaining Headquarters (HQ) and the Office of
Management and Budget (OMB) approval to return $24.6 million in unexpended loan
funds to the Commonwealth of Puerto Rico for construction of wastewater treatment
facilities.
GRA conducted in-depth reviews of PRASA's financial statements and reports which
revealed a pattern of weaknesses across a broad array of indicators. Analyses
revealed a pattern of growing difficulties which could impede PRASA's ability to
complete the financing of its Capital Improvement Program and properly operate and
maintain treatment facilities.
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Twenty-six administrative completions of PRASA construction grants were processed,
a larger number by far than were processed in any previous year. These completions
resulted in recoveries of $15 million for use on other projects, cash payments of close
to $22 million, and audit requests filed with the OIG.
Superfund Grants Management
GRA participated in numerous Superfund Management reviews and took the lead in
resolution of audits of Superfund projects and programs, including: Love Canal Credit
Claim (audit), Burnt Fly Bog (audit), Superfund 90-Day Review, Roles and
Responsibilities in Superfund Grants and LAGs, Survey of U.S. Corps of Engineers
Cost Documentation Practices, and Development of Superfund Management
Operating Agreement between Region n and the New Jersey Department of
Environmental Protection (NJDEP).
Received Bronze Medal for participation in workgroup to develop first Superfund
grant regulation.
With the assistance of consultants, conducted Management Assistance Reviews of the
Puerto Rico Environmental Quality Board and the St. Regis Mohawk Tribe, in order
to assess their grants management capabilities in light of Superfund requirements.
Technical Assistance Grants (TAG)
The TAG program moved into the implementation phase this fiscal year. We focused
our efforts on providing outreach and technical assistance to prospective applicants, in
many cases on-site in the community. Five new TAGs were awarded, including several
"firsts" for the Region: the first award to an Indian Tribal group; the first TAG in the
Caribbean; and, the first multiple award to a single community group. Groups that had
previously been awarded TAGs moved into the procurement phase; we focused
considerable attention on reviews of procurement plans and contracts, and a request for
sole source procurement.
Audit Management
* Sixty-three audits were resolved in FY 1989, including:
25 Construction grant 2 Internal audits of
audits regional operating
programs
34 Grantee single 2 Superfund audits
audits
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In addition, two audits of Region n internal operations were issued which did not require
any resolution.
Region ITs audit resolutions continue to have a high degree of acceptance by both
the Office of Inspector General (OIG) and grantees. The OIG accepted all Region
n audit resolutions as submitted, and only five out of fifty-nine external audit
resolutions, or 8.5 percent, were disputed by grantees.
Through its participation in an Agency Task Force, GRA has impacted Agency-wide
policies and procedures concerning audit management. Region II was a role model
for "best management practices" described in the Agency's publications "Model Audit
Management System" and "Audit Management Handbook".
In FY 1989, GRA provided training for audit coordinators in regions and HQ,
participated in the development of a national corrective action tracking system, and
advised HQ on preparation of the national policy on audit management.
Intel-agency Agreements (IAS)
The IAG function was transferred to GRA in May, 1989.
In the fourth quarter, GRA participated in the Agency's first review of the cost
documentation practices of the Missouri River Division of the U.S. Corps of Engineers
(COE), which is responsible for design of Federal-lead site remedial design activity under
Superfund. As part of that review, GRA evaluated the COE's current practices in
accounting, financial management, reporting, timekeeping, record retention, budgeting,
and closeout in the context of agency guidance and audit findings of the Defense
Contract Audit Agency.
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FY-90 GOALS AND OBJECTIVES
PC Applications
Increase grant tracking productivity by automating status reports, e.g., monthly
construction grants report, ad hoc reports using Grant Information and Control
System data, Special Grant Condition tracking, and Financial Status Report
tracking. Involves GRA and FMB specialists.
Optimize the uses of the capabilities of RAGDS by utilizing the "Pagemaker" option,
which allows streamlining of processing and customizing of grant documents, and
exploring other system modifications to meet regional grant needs. Involves grants
specialists and HQ.
Increase utility of the Program Grants Report through streamlining and improving the
report and the process utilized to generate it; survey users as to reporting needs.
Involves GRA, the Policy and Program Integration Branch (PPIB) and the Financial
Management Branch (FMB).
Improving Award and Post-award Administration
Increase grant processing productivity by analyzing alternative workflow methods that
utilize RAGDS, and developing procedures that optimize workflow using this new
technology. Involves GRA and Information Systems Branch specialists.
Evaluate IAG administration in the region, including closeout, develop and
implement procedures to improve controls and streamline processing. Involves
procurement analyst, the Emergency and Remedial Response Division and other
divisions, other regions, other Federal agencies, and HQ.
Improve Financial Status Report (FSR) management, including development and
implementation of procedures to address unexpended balances, clean up backlog, and
prevent future backlogs. Develop and implement procedures to assure timely
cioseout of grants and disposition of unexpended balances; eliminate backlog of
unexpended balances no longer needed for grant purposes; and eliminate backlog of
FSR's to be processed. Involves grants specialists and FMB.
Improve TAG administration by producing simplified guidelines for grantees in the
areas of grant application, procurement, recordkeeping and payment. Involves grant
specialists, procurement analyst, and consultant (to be provided by HQ).
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I
PERMITS
ADMINISTRATION
BRANCH
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The Permits Administration Branch (PAB) performs administrative management and
compliance tracking activities primarily in support of the Clean Air, Clean Water, and
Resource Conservation and Recovery Acts (RCRA). The branch is divided into two
sections: the Air and Environmental Applications Section and the Water and Hazardous
Waste Compliance Section.
Inspector Training and Development
Hosted pilot training for the Inspector Training and Development Program.
Implemented requirements of EPA Order 3500.1 in Region II.
Regional Hearing Clerk
Provided administrative support for regional enforcement activities. Filed
approximately one hundred ninety-seven cases in support of RCRA, Toxic Substances
Control Act (TSCA), Federal Insecticide, Fungicide and Rodenticide Act (FIFRA),
Compliance Assurance Agreement (CAA), EPCRA, and Clean W: Vet (CWA).
Closed approximately one hundred ninety-three cases and continued tu process
substantial information on open cases.
Prevention of Significant Deterioration of Air Quality (PSD)/New Source Review fNSR)
Coordinated the review of more than twenty-four state issued F permits.
Numerous problems were uncovered in the Best Available Conut; Technology
(BACT) and ambient impact portions of some of these permits. Li four instances
petitions to review the permits were filed by the Region or by third parties. In other
instances, EPA's involvement in the initial stages of the PSD permit process led to the
resolution of the outstanding problems without having to appeal.
Coordinated and administratively processed eight final PSD actions (see Table I).
Also processed four final PSD non-applicability determinations (see Table II) and
worked to resolve the petitions for reconsideration with regard to the Brooklyn Navy
Yard Resource Recovery Project (BNYRRP).
Developed and implemented the new monthly "PSD Status Charts" for tracking all
PSD activity within the Region. Also coordinated the regional review of the draft
"New Source Review Workshop Manual" and assisted the Air and Waste Management
Division (AWMD) in performing the biennial New Source Review (NSR) audits for
New Jersey and New York. Identified critical deficiencies in the administrative
portion of New York's PSD program which must be addressed by the New York State
Department of Environmental Conservation.
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Information Requests Pursuant to S114 of the CAA and the Small Business
Administration Program (SBA)
Processed 88 Section 114 letters initiated by either ACS or ORC. Responded to
requests pursuant to the SBA program regarding availability of loans, dry cleaning
industry regulations, recycling, innovative research and asbestos.
Aerometric Information Retrieval System/Air Facilities Subsystem (AIRS/AFS)
Conversion from the Compliance Data System (CDS') and National Emissions Data
System (NEDS1
Coordinated the reconciliation of the CDS and NEDS databases in preparation for
the conversions to AIRS/AFS by identifying more than 20,000 sources in the current
databases that needed to share facility level information with one or more other
sources in the databases. Confirmed the accuracy of these source matches by
obtaining state verification.
NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM fNPDES>
Data Management
Continued data quality assurance review of Water Enforcement National Database
elements for the Caribbean to ensure accuracy and completeness.
Participated in the Permits Compliance System (PCS) work group on
compliance/enforcement data definitions leading to the request for specific
Compliance Schedule structure enhancements.
Policy and Procedures
Modified the procedures for follow-up on Administrative and effluent violations.
Revised letters and timely follow-up were successfully implemented.
Maintained the central NPDES records with contractor support. Completed user
testing of the file management/tracking system using special bar coded labels.
This system is scheduled for regional implementation beginning October 16, 1989.
Puerto Rico
Provided administrative support for the issuance of permits for Puerto Rico.
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RESOURCE CONSERVATION AND RECOVERY ACT rRCRAl
Notification Processing
Received an average of four hundred and thirty applications each month for RCRA
identification numbers. This level is slightly higher than the number of applications
processed in FY-88 and does not show any signs of dropping off.
Provisional (Emergency^ Number Issuance
Issued an average of one hundred and four RCRA emergency numbers per month,
a slight increase over FY-88. Performed administrative follow-up, including that
required for numbers issued during non-business hours by the Response and
Prevention Branch. Maintained a PC application program to track number
issuance and follow-up.
Sent monthly reports to the states listing the Provisional ID Numbers issued to
handlers in their jurisdictions for purposes of manifest tracking.
Data Management
Maintained the Hazardous Waste Data Management System (HWDMS) to track state
and EPA permit development status, inspections, enforcement actions and penalties
assessed and collected. Approximately four hundred and seventy-five transactions
were received each month, nearly double that for FY-88.
Continued monthly meetings with the CSC to ensure adequate oversight of
information handling by the contractor.
Processed approximately three hundred and fifty notifier delistings, signifying changes
from generators to non-handlers of hazardous waste. Also processed approximately
fifty ^classifications of treatment, storage and disposal facilities to generators only.
Confidential Business Information (CE\)
Maintained the integrity of RCRA CBI by functioning as Document Control Officer
and Document Control Assistant. Maintained an active data base of employees in
Region n authorized for access to RCRA CBI. Issued a reminder to the users of CBI
concerning procedures for termination of access to these documents.
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Conversion to RCRIS
Continued data clean-up in preparation for the conversion from HWDMS to RCRIS
in the second quarter of FY-90. Participated in monthly meetings with the AWMD to
discuss progress and problems associated wirh the clean-up.
Public Notices
Issued eighty-four public notices for various environmental programs. This was a
twenty-six percent increase over FY-88. Also assisted the Superfund program in the
issuance of public notices relating to five Technical Assistance Grants (TAGs).
Finalized procedures for handling public notices and notified all client branches.
Also, finalized the procedures for handling TAG public notices with the Office of
External Programs and the Emergency and Remedial Response Division.
Freedom Of Information Act (FOIA1 Requests
Processed over six hundred FOIA requests during FY-89. File searches, copying of
documents and the retrieval of computer reports for both the RCRA and NPDES
programs required a substantial amount of staff time and effort.
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1
FY-90 GOALS AND OBJECTIVES
Inspector Training and Development
With the Health and Safety Officer and the Training Officer, PAB will overhaul the
procedures for reporting and tracking training activities in the Health and Safety and
Inspector Training programs.
Clean Air Act
PAB will continue its active role in overseeing the PSD programs of delegated
states at a level similar to FY-89, and will continue coordination and administrative
processing of high quality final PSD actions (see Table III).
The branch will coordinate the regional response to the "New Source Review
Manual", and will participate in the biennial NSR audits for Puerto Rico and the
Virgin Islands.
PAB will expedite and track the issuance of Section 114 letters, process requests
pursuant to the SBA program, process Rapid Tax Amortization requests and maintain
AIRS at activity levels similar to FY-89.
National Pollutant Discharge Elimination System
The branch will successfully implement the File Management System for NPDES files
in our File Center.
Resource Conservation and Recovery Act
PAB will complete quality assurance reviews on the Hazardous Waste Data
Management System to assure successful conversion to RCRIS.
With the Information Systems Branch and the AWMD, PAB will work to establish
direct state entry of hazardous waste data.
The branch will establish a protocol for State assignment of provisional (emergency)
numbers. PAB staff will participate in a team approach to accomplishing this task.
Public Notices
The branch will automate tracking of all phases of public notice issuance to ensure
continued timely publication of all notices and appropriate controls on all funds
expended.
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Table I - Final PSD Actions - FY>89
New York State Electric and Gas
Hoffman La Roche
Hercules, Inc.
Abbott Labs (2 actions)
Hess Oil Virgin Islands Corporation
Virgin Islands Aluminum
San Juan RRF
Table II - PSD Non-Applicability Determinations FY*89
Life Savers
Puerto Rican Cement
Pfizer Pharmaceutical
Masonry Products
Table III - Projected PSD Actions - FV90
VIWAPA - draft and final permit
CEC - final permit
BNYRRP - final permit revision
Caribbean Petroleum - final permit
Interpower of New York - draft permit
Lederle Labs - appeal resolution
Passaic County RRF - appeal resolution
IBM - final permit amendment
Procter & Gamble - final permit revision
Commonwealth Oil Refining Co., Inc. - non-applicability
determination
Hanes Menswear - non-applicability determination
Roche Pharmaceuticals - final permit revision
Yabucoa Sun Oil - non-applicability determination
Frenchmans Reef Resort - draft and final permit revision
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I
ENVIRONMENTAL
IMPACTS BRANCH
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The Environmental Impacts Branch (EIB) is responsible for assuring that EPA programs
(as appropriate) comply with the National Environmental Policy Act (NEPA) and the
requirements of other environmental laws. Additionally, EIB coordinates the review of
other federal agencies' NEPA documents pursuant to Section 309 of the Qean Air Act.
Further, EIB serves as the regional coordinator for the federal facilities compliance and
Indian programs. The following is a summary of EIB's major accomplishment in FY-89.
NEPA COMPLIANCE PROGRAM
Environmental Impact Statement (EIS) preparation
Woodburning Site EIS - The draft EIS on the designation of a New York Bight
Woodburning Site was issued in August; public hearings were scheduled for mid-
October.
E-TEC Facility EIS - At the request of the Office of Research and Development
(ORD), EIB assumed the responsibility for preparing the EIS for the E-TEC facility.
Using our mission contractor, a camera-ready draft EIS was prepared within the
established schedule (i.e., September 1989) and budget. In a related matter, at the
request of the facilities management staff in Headquarters (HQ), EIB assumed the
lead for preparing the cultural resources management plan for the Edison (ESD)
facility.
Alternate Mud Dump Site EIS - We prepared and issued the final zone of siting
feasibility report for this project. Additionally, we directed the winter ocean survey
that was performed in cooperation with the Corps of Engineers (COE) (and with its
reimbursement of $275,000 for the project.
Hudson River PCB EIS - EIB completed a camera-ready final supplemental EIS,
which has been rendered moot by the Siting Board's and the New York State
Department of Environmental Conservation's (NYSDEC) decisions not to approve the
proposed containment site. Following the Siting Board's and NYSDECs actions, we
worked closely with Water Management Division (WMD), Office of Regional Counsel
(ORC), and the Emergency and Remedial Response Division (ERRD) to develop the
region's position with respect to the State's revised project
Other EIS Activities - During FY-89, we also worked on the following:
- Hackensack Meadowlands Special Area Management Plan EIS;
Great Swamp Study/Upper Passaic EIS;
- Long Island Flow Augmentation Needs Study;
- Mayaguez Tuna Waste Disposal Site EIS; and
- NY/NJ Inlets Site Designation EIS.
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201 Activities
- State Environmental Review Programs (SERF) - During FY-89, we worked
closely with the Puerto Rico Environmental Quality Board (PREQB) and the
NYSDEC to approve their respective SERPs. Our actions resulted in the
receipt of a conceptually approvable SERP from Puerto Rico; a State Revolving
Fund (SRF) capitalization grant was awarded to the Commonwealth. We expect
to approve New York's SERP early in FY-90.
- Delegation Oversight - During FY-89, we performed five oversight reviews (i.e.,
either mid-year or year-end) of delegated environmental review activities in New
Jersey, Puerto Rico, and New York. We also provided technical guidance
and/or assistance whenever it was requested.
- Project Reviews - We prepared and issued several 201-related NEPA documents
(i.e., FNSI/EAs, categorical exclusions, or public announcements) and
recommended appropriate actions on several controversial environmentally
sensitive area waiver requests.
Comprehensive Environmental Response, Compensation and Liability Act of 1980
fCERCLA/SARA) Environmental Review Program
CERCLA/SARA Environmental Review Procedures
During FY-89, we presented our training course to Region n staff (two sessions), and
staff from Regions VII and IX as well as to other federal agencies (two sessions held by
the Office of Federal Activities/Office of Solid Waste and Emergency Response
(OFA/OSWER). These sessions were very well received.
Computer Tracking System - EIB developed a PC-based tracking system for our
CERCLA/SARA project reviews. The system tracks projects reviewed, issues
identified, and issues resolved.
Marathon Battery Site - Through our direct involvement, ERRD has taken steps to
initiate the required cultural resources investigations for this site. We also briefed
several parties, including the DRA, and officials of OARM, OFA, and OSWER, on
our cultural resource activities for the site; all the parties expressed strong support for
our efforts.
Project Reviews - In addition to the Marathon Battery Site, EIB reviewed over one
hundred sixty other CERCLA/SARA project documents.
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309 Environmental Review Program
Passaic River Flood Control Project - In November 1988, we completed the
negotiation of a Memorandum of Agreement (MOA) with the COE-New York
District that sets up a mechanism through which the project's unavoidable wetlands
impacts (i.e., over nine hundred acres) can be properly mitigated. The MOA is being
viewed as a national model for use in other 309 project reviews with similar issues.
Rio de la Plata Flood Control Project - In response to our concerns about the final
EIS for this project, the COE modified the project to effectively eliminate the
project's wetland impacts. Our involvement resulted in the protection of close to
sixteen hundred acres of productive wetlands.
New Jersey Turnpike Expansion - Throughout FY-89, we continued to serve as a
cooperating agency, and to express our concerns about the project (i.e., wetlands and
air quality impacts, and the lack of an analysis of mass transit alternatives). Towards
the end of the fiscal year, the Turnpike Authority terminated the planning of the
project, citing costs and environmental issues as its reasons.
Manhattan General Mail Facility - In response to our comments and extensive follow-
up on the final EIS, the USPS has agreed to increase the number of air exchanges,
under its proposed platform, which will mitigate the CO violation that would have
resulted from the project.
Other Revie, Jr. addition to the above-mentioned review activities, we commented
on thirteen other EISs and approximately one hundred twenty-five 309 review
documents (e.g., FNSI/EAs, hydroelectric project license applications, and scoping
documents).
Federal Facilities Compliance Program
A-106 Review - Our initial and follow-up reviews during FY-89 identified fifty-five
new and eighteen inadequate projects in other federal agencies' pollution abatement
plans. For the most part, the new and inadequate projects were for CERCLA/SARA
projects and projects relating to upcoming compliance deadlines (e.g., UST monitoring
requirements, Resource Conservation and Recovery Act (RCRA) Part B permits, and
NYSDEC air permitting requirements).
The Department of Energy (DOE) five-year Plan Review - We coordinated the
region's review of the DOE's draft and final five-year plans. Our review highlighted
concerns about the plan's failure to reference the A-106 process, favoring hazardous
waste cleanups over long-term compliance, and lack of adequate facility-specific
information.
Ft Drum Criminal Case - In October 1988, David James Carr was convicted on two
misdemeanor accounts for illegally disposing of hazardous wastes at the facility. This
was the first successful criminal prosecution involving a federal facility. Following the
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conviction, the Army rehired Mr. Carr at essentially his former position, which caused
a great deal of concern in the Office of Criminal Investigations (OCI) and the U.S.
Attorney's Office. At the request of OCI, we arranged for a meeting with the Army
to discuss and, hopefully, resolve the outstanding concerns.
Raritan Arsenal Contaminant Studies - We coordinated the region's review of the
COE's draft confirmation study of the former Raritan Arsenal. Tie report highlights
the need for additional studies and actions to fully address the contaminant issues at
the property. We met with the Department of Defense (DOD) tc discuss review, and
to request the DOD's continued participation in the needed work. Based on this
meeting, DOD agreed to fund additional studies for the former Arsenal.
Federal Faculties Tracking System We worked closely with the Office of Federal
Activities (OFA) and Region m in developing the Federal Facilities Tracking System
(FFTS) for use by all regional coordinators. FFTS was distributed for regional use in
June. Since that time, we have been working with the regional program to debug it
and to clean out inappropriate/unnecessary data.
Facility-Specific Activities - In addition to the abovementioned activities, we .: e/s also
involved in several negotiations (e.g., FFCAs for water issues at Ft. Dix/McGuire
AFB and Roosevelt Roads, and asbestos removal at Federal Plaza) and other
compliance activities (e.g., CERCLA/SARA studies for the BOMARC site and
requests for asbestos removal information from approximately fifty facilities).
Indian Program
Regional Strategy - In FY-89, we drafted a Regional Indian Strategy, which we expect
to circulate for regional review early in FY-90.
» St. Regis Mohawk Cooperative Agreement In March 1989, we completed negotiation
of, and signed a Cooperative Agreement with the St. Regis Mohawk Tribe. The
agreement recognizes our government-to-govemment relationship, and sets up a
framework through which the Tribe's environmental concerns can be addressed. The
agreement is being viewed as a national model.
GM Foundry Natural Resource Trustee Coordination - At the request of the St. Regis
Mohawk Tribe, we organized and attended several meetings with the natural resource
trustees that have an interest in the GM Foundry Superfund site (i.e., the Tribe,
NYSDEC, NOAA, and DOI).
Program Implementation - In FY-89, we had a significant increase in the Region's
Indian Program activities, including a 72 percent increase in workyears expended, and
approximately 250 percent more financial assistance (including a TAG and Section
105 and Section 106 grants to the St. Regis Mohawk Tribe) over FY-88.
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Miscellaneous Activities
Radium Chemical Co. - At the request of the DRA, we negotiated a support
agreement and six Interagency Agreements (IAG) and/or amendments with the Army,
as well as an IAG with the DOE, for their respective technical assistance on the
CERCLA/SARA removal action at this site. EIB staff were among the recipients of
a Silver Medal for work on this project.
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FY-90 GOALS AND OBJECTIVES
During FY-90, EIB will continue to fully implement its responsibilities under the NEPA
compliance, the CERCLA/SARA environmental review, and the 309 environmental
review programs. Additionally, we expect to continue to expand our coordination
activities in the federal facilities compliance and Indian programs. Furthermore, EIB will
pursue the following initiatives, which are intended to improve both day-to-day
management and/or our ability to implement program responsibilities.
Standardize Tracking Programs - Currently, EIB uses three tracking systems to
manage our workloads in the NEPA/309, CERCLA/SARA environmental review, and
federal facilities compliance programs. These systems should bestandardized to the
maximum extent practicable. Additionally, in the case of the FFTS the existing data
must be cleaned out and augmented to improve its usefulness. Accordingly, EIB will
revise the users manual for the NEPA/309 program, develop a users manual for the
CERCLA/SARA, and clean out/update the FFTS.
In a related matter, currently approximately eight hours per week of professional staff
time is spent on logging and tracking activities. (This amount is expected to greatly
increase when FFTS is fully functional.) Therefore, in FY-90, our clerical staff will be
instructed on our logging duties and tracking systems, and assume responsibility for
the branch's logging/tracking activities.
Expand the CERCLA/SARA Environmental Review Activities to Other Programs -
since 1985, EIB has been working closely with ERRD to identify and address
environmental issues in CERCLA/SARA remedial projects. These efforts have been
very successful. There are several other programs (e.g., RCRA and UIC permits)
that have similar requirements that are not yet utilizing EIB's expertise. Accordingly,
during FY-90, EIB (in concert with appropriate media programs) will work to
establish its environmental review role in other media programs to ensure appropriate
compliance with other environmental laws.
Improve Regulatory/Compliance Information Dissemination to Federal Facilities -
Past performance has shown that federal facilities are more likely to comply with
environmental statutes when they are familiar with their specific requirements. This
has been recognized by EPA HQs'; OFA holds monthly roundtables to disseminate
regulatory /compliance information. (EIB receives copies of all roundtable handouts).
Unfortunately, the information distributed by OFA does not reach the facility level in
a timely manner. Accordingly, in FY-90, EIB will establish a program, using periodic
mailings and/or regional roundtable meetings, to disseminate regulatory/compliance
information to federal facilities in Region n and, thereby, help to improve facility
compliance rates.
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