ACCOMPLISHMENTS & GOALS
FY -1980
*< PRO**0
PLANNING AND
MANAGEMENT DIVISION
REGION 2
U.S. ENVIRONMENTAL PROTECTION AGENCY
26 FEDERAL PLAZA
NEW YORK, N.Y. 10278
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
DATE December 29, 1980 REGION II
SUBJECT FY-80 Accomplishments and FY-81 Goals
FROM Herbert Barracky
Assistant Regiaifai Administrator for Planning and Management
TO Charles S. Warren
Regional Administrator
Chuck, this is the first opportunity I have had to prepare for
you my annual review of the Planning & Management Division's (P&M)
accomplishments. I believe this report provides you with a
perspective on the initiatives the Division will be undertaking
in FY-81 as well as a recap of the highlights of our FY-80
activity.
Several key areas have characterized P&M's most recent accom-
plishments and to a large degree define the efforts we will
be involved in during the current fiscal year.
Protection of the Public from Hazardous Materials
The Resource Conservation and Recovery Act (RCRA) generated
significant activity in the Regional Office and P&M has been
involved as a key participant on a number of fronts:
0 Grants Administration Branch (GRA) has become the
Region's point of responsibility and expertise on
financial assurance requirements to be associated
with the closure and post closure activity as
hazardous waste disposal sites.
0 GRA was also instrumental in the development of
cooperative arrangements under RCRA Subtitle C
with New York, New Jersey and Puerto Rico.
0 The Permits Administration and Information Systems
Branches worked extremely closely with the contractor's
staff in processing over 9,000 notifications from
handlers of hazardous material, identifying 4,000
potential illegal non-notifiers and issuing warning
letters and 20 Notices of Violation and responding to
more than 2,000 telephone inquiries from industry on
applicability of RCRA regulations.
EPA Form 1320-6 (Rev. 3-76)
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With the expected and ultimately passed "Superfund" legislation
P&M Division had begun working in several areas which will be
important-to our Region's success in implementing a Superfund
program.
0 Planning & Evaluation and Personnel and Organization
began working with the Region's Superfund Coordinator
to identify resource and organizational needs, both
short and longer term.
0 The Facilities and Administrative Management (FAM)
Branch in conjunction with the Surveillance and
Analysis Division prepared an extensive Repair and
Improvement Budget Request for FY-82 which included
a variety of essential and costly laboratory
improvements:
- toxic chemical handling and preparation lab-
oratory
- GC/MS Laboratory Enlargement
- biotoxicity laboratory
- tissue culture laboratory
- Clean Room for Metals analysis
- Clean Room for Sample Preparation
These improvements will be needed to insure the safety of EPA
staff and the public as well as the integrity of EPA sample
collection and analysis.
0 FAM has also focused on expanding in house contracting
capabilities with the expectation of an increased role
in conjunction with Superfund remedial actions. We
have already been approached by Contracts Management
Division in Headquarters regarding the development
of a pilot delegation to the Region of contracting
authority associated with Superfund.
Continued Implementation of Personnel Management Reforms
0 In September and early October 1980 the Region
conducted its first performance appraisal against
the performance standards which were developed on
a pilot basis in 1979 and refined in FY-80.
Personnel and Organization (PO) took the lead
role in assuring that these appraisals were done
in accordance with Headquarters and Office of
Personnel Management (0PM) guidelines.
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0 Preparation for our first Merit Pay distribution
was a significant workload for PO, Financial Manage-
ment and Information Systems. With limited and
untested guidance from Headquarters and 0PM we
managed to achieve an equitable incentive pay
distribution for designated GS 13 through 15 staff.
0 PO also received delegation of new recruitment and
personnel authorities, such as, examining authority
for GS-9 through 15 positions formerly filled under
Mid and Senior Level announcements; direct hire
authority for permanent part time positions of
environmental protection specialist, life scientist
and environmental scientist; temporary appointments
not to exceed one year for GS-1 through GS-7, et al.
0 PO coordinated the Region's participation, in a
long term study of the effectiveness of the Civil
Service Reform Act conducted by the Office of Person-
nel Management's consultants from Case Western Reserve
University.
Improved Resources Management
Several efforts were undertaken in FY-80 which will continue
throughout or come to fruition in FY-81 which were designed
to achieve resource efficiencies either through cost effective
use of contractors or improved fund controls.
0 Facilities & Administrative Management Branch
staff reductions and functional realignments
were effected through the auspices of the
Javits Amendment to the Wagner-O'Day Act for
on-site performance of a variety of administrative
services including mail processing, motor pool
maintainence, duplicating, et al.
0 Grants Administration and Financial Management
initiated a program grant review to develop
internal monitoring and reporting procedures to
assure the timely receipt and processing of
financial status reports (FSRs) from grantees,
final grant audits and settlement of cash advances;
past due FSRs were solicited and deobligation actions
taken. This assisted in reducing the number of out-
standing audits for resolution and enabled us to take
advantage of available balances for future obligations.
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0 With the acquisition and installation of the Region's
new PDP-11/70 minicomputer the Financial Management and
Information Systems Branches are collaborating on design
and programming for a new direct data entry accounting
and financial control systems. These systems will
allow FIN to continue to achieve its outstanding record
of accuracy and control in Regional accounting in spite
of substantially increasing workload without additional
staff. These systems improvements provide particularly
critical capability in terms of monitoring and controlling
decreasing budget allocations in order to assure top
management timely and accurate data on which to base
decisions on funding priorities.
Streamlining Regulatory Actions
Several P&M branches were heavily involved in the Region's
efforts at permit consolidation. Program and Toxic Integration,
Information Systems and Permits Administration worked closely
with Regional program and state counterparts on initiatives
to carry out the objectives of EPA's permit consolidation
regulations. A final report will be issued during FY-81.
The Permits Administration Branch has worked as the Region's
focal point for coordination and review of industry inquiries
inquiries and application of EPA's Bubble Policy designed to
enhance the economic feasibility of achieving required air
emission controls. Information sessions for states and
industry were held, and seven bubble application have been
coordinated and approved.
Assessing our Regulatory Effectiveness
0 During FY-80 the Regional Management Analytic
Center initiated several major projects including
an assessment of the Role of Ambient Monitoring
in Regional Decision Making. This project defines
where and why ambient monitoring data are not
systematically used in making program decisions,
examines the need for stronger ambient monitoring
and data management in Region II and recommends
mechanisms for factoring ambient data into decision
making. Analyses for this project were completed in
FY-80 and a draft report will be issued shortly.
An action point which has already emerged from the
project is preparation of an environmental status
report for each state which will be a foundation
for the development of the State/EPA Agreements in
FY-82.
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In addition, the Planning and Evaluation Branch
coordinated the Region's data to a National Environ-
mental Profile designed to focus Agency and public
attention on the evaluation of environmental improve-
ment as a primary indicator of program success. A
Region specific profile is now under development.
As you have probably noted, our accomplishments covered all areas
of responsibility of the Planning and Management Division and
required close cooperation among P&M branches as well as with our
program divisions. I am particularly pleased by this. It continues
to reaffirm for me that the responsibilities of this Division are
undertaken with managerial and environmental goals in tandem.
I offer this report as the product of our FY-80 efforts and an
indicator of our direction in FY-81 and will be glad to discuss
any aspect of it with you.
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TABLE OF CONTENTS
PAGES
PLANING AND MANAGEMENT DIVISION
Organization Chart 1
Director: Herbert Barrack
Deputy Director: Kathleen Callahan
Program and Toxic Integration Branch
Regional Management Analytic Center 2 - 15
Chief: Kevin Bricke
Personnel and Organization Branch 16 - 26
Chief: Eugene Viti
Information Systems Branch 27 - 38
Chief: John Sweeney
Planning and Evaluation Branch 39 - 47
Chief: Stephen Luftig
Permits Administration Branch 48 - 55
Chief: Richard Baker
Grants Administration Branch 56 - 63
Chief: Helen Beggun
Facilities and Administrative Management Branch 64 - 75
Chief: Maureen Sinicki
Financial Management Branch 76 - 88
Chief: Ronald Gherardi
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PLANNING AND MANAGEMENT DIVISION
DIRECTOR
DEPUTY DIRECTOR
PROGRAM
AND TOXIC
INTEGRATION
BRANCH
GRANTS
ADMINISTRATION
BRANCH
PLANNING AND
EVALUATION
BRANCH
PERMITS
ADMINISTRATION
BRANCH
PERSONNEL AND
ORGANIZATION
BRANCH
INFORMATION
SYSTEMS
BRANCH
FINANCIAL
MANAGEMENT
BRANCH
FACILITIES AND
ADMINISTRATIVE
MANAGEMENT
BRANCH
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PROGRAM AND TOXIC INTEGRATION BRANCH
REGIONAL MANAGEMENT ANALYTIC CENTER
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The Program and Toxic Integration Branch (PTIB) was formed in January
1979 with the objective of developing the Region's analytical
skills, strengthening program grants management, and insuring
program integration across all divisions. The "Region II
Management Analytic Center" (RMAC) is a major part of PTIB,
serving as the central source of advice and counsel on emerging
policy issues.
During FY-80 PTIB focused its efforts on:
0 The development office analytic projects designed to
improve the Region's management of environmental
programs;
° The development of State/EPA Agreements in each state
designed to serve as useful program integration tools;
0 The improved coordination of EPA program grants;
0 The integration of the region's toxics programs;
0 The management of TSCA cooperative agreements;
° The provision of assistance to industry inimplementing
the Toxic Substances Control Act;
0 The expansion of the regional role in the implementation
of TSCA;
0 The provision of timely and accurate health effects
information;
0 The continuation of the "People and Toxics" program in
New York and New Jersey; and
0 The continued efficient management of correspondence
through the Regional Administrator's office.
The FY-80 accomplishments and FY-81 goals in each of these areas
are summarized below.
ANALYTIC PROJECTS
Regional Administrators have traditionally spent most of their
time dealing with the "political bombs" which they have found
each day in their in-baskets. In an effort to allow them to
become more active than reactive, the Agency has taken a number
of management initiatives, including the creation of analytic
centers in the regions. The job of each of these analytic
centers is to carry out a planned agenda of projects to meet the
analytic needs of the Regional Administrator as he attempts to
foster increasing levels of environmental protection without
placing an excessive burden on the economy. In FY-80 the RMAC
pursued a number of significant projects:
0 Role of Ambient Monitoring in Regional Decision Making -
This project identifies the reasons why ambient monitoring
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data are not now systematically used in making program
decisions, examines the need for stronger ambient moni-
toring and data management in Region II, and recommends
mechanisms for factoring ambient data into decision
making '. All analyses were completed in FY-80; a draft
report will be issued in the second quarter of FY-81.
Permits Consolidation - This project recommends permit ad-
ministration andinformation management initiatives at both
the federal and state levels designed to carry out the ob-
jectives of EPA's permit consolidation regulations. Sub-
committee reports were completed in FY-80; a final report
will be issued in FY-81.
Water Quality Management Needs Assessment - This project
provides a synthesis of the Water Quality Management Needs
Assessment responses of the state and interstate agencies
in Region II and a statistical summary of the water quality
management program needs over the next five years. All
analyses were completed in FY-80; a final report providing
insights into state priorities will be prepared early in
the third quarter of FY-81. The report is intended to be
of use to the Regional Administrator and the Water Division
Director as they carry out their program overview responsi-
bilities.
Section 105 Grants Calendar - Summarizes the Region II air
program grant process, delineating the sequence of events,
responsible parties and time-frames involved in the award
o~f105 grants and the tracking of 105 grantees' accomplish-
ments. All analyses have been completed. The calendar
will be used as a mechanism for synchronizing the air grants
process with the State/EPA Agreements process, and will
appear as a component of an FY-81 RMAC project on upgrading
the SEA process in Region II. Instrumental in developing
this project was a Presidential Management Intern on a
rotational assignment to Region II for several months from
EPA Headquarters.
Reorganization of the Economic Dislocation Early Warning
System and the Economic Assistance Program (EAP) in
Region II - This project establishes a formal mechanism
forachieving the program goals of 1) permitting continuous
monitoring of the economic impact of environmental regulation
on industry to allow for improved policy and procedures
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guidance, and 2) providing timely input of information
into the EAP of EPA, as well as other federal and
state aid programs. The project establishes a formal
network of information contacts having regular inter-
action with potentially threatened business enterprises.
STATE/EPA AGREEMENTS
State/EPA Agreements (SEAs) are intended to be management tools
in which the Regional Administrator and a state environmental
commissioner agree on how best to deploy limited available re-
sources to solve a state's environmental problems. The SEA
process is relatively new and evolving; although SEA's in Region
II have generated many program integration benefits, they are
additional potential benefits to explore.
Overall responsibility for coordinating the SEA process in
Region II rests with the Program and Toxic Integration Branch;
lead responsibility for negotiating the FY-81 Agreements was
divided by state, with PTIB taking the lead in New York.
0 New York - On October 31, 1979 the Regional Administrator
and the Commissioner of the Department of Environmental
Conservation signed the FY-80 SEA for New York. Shortly
thereafter, work began on the development of the FY-81
Agreement. In FY-80 the major advance was the incorpo-
ration of the State's Continuous Executive Program Plan
as the one-year work plan in the Agreement; the major
advance for FY-81 was the development of a separate air
SEA to complement the water SEA.As the fiscal year drew
to a close, both the air and water Agreements were in the
final stages of negotiation, the signing of both Agreements
is expected by January of 1981.
0 New Jersey - The FY-81 SEA for New Jersey marks the first
update of the original water SEA developed for FY-80;
signing is expected by January of 1981.
0 The Caribbean - The FY-81 SEA's for both Puerto Rico and
the Virgin Islands have already been signed. All involved
agree that improved management of the process has resulted
from EPA's assignment of lead negotiating responsibility
to personnellocatedin the Caribbean Field Office.
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PROGRAM GRANTS
As project officer^ on four states and five local Section 105
air pollution control grants, and four state and one interstate
Section 106 water pollution control grants, PTIB recommended
the award of fourteen FY-80 program grants as well as a number
of supplemental grants. Once the awards were made, PTIB coor-
dinated the tracking of program accomplishments, conducting
formal mid-year reviews of all state 106 grants.
As the fiscal year proceeded, PTIB worked with state, interstate
and local agencies to assist them in developing approvable FY-81
work plans and work plan applications; one major focus was on
insuring the development o'f approvable 106 work plans as an
integral part of the State/EPA Agreements. As a result of this
effort, we are in a relatively good position to award the FY-81
program grants.
As the fiscal year drew to a close, a major grants management
issue arose in New York State: the state requested that 37 per-
cent in indirect costs be included in its program grants for the
firsttime.PTIB coordinated a regional review of the program-
matic impacts of including indirect costs in the grants, briefed
the Regional Administrator, and prepared a letter to DEC Commis-
sioner Flacke. The letter stated the Regional Administrator's
position that state funding of environmental programs should not
decline and that state funds freed up by the application of
federal funds to indirect costs should be reprogrammed within DEC
for direct support of environmental programs. The ability of
PTIB to produce a timely, high quality analysis on an issue
affecting all environmental programs clearly demonstrated the
efficacy of having a "program integration" capability in the
Planning and Management Division.
TSCA SECTION 28 COOPERATIVE AGREEMENTS
There are three rounds of TSCA Cooperative Agreements:
0 Round 1 consisted of grants totaling $1.7 million
which were awarded in FY-79.
0 Round 2 consisted of grants totaling $1.4 million
which were awarded in FY-80.
0 Round 3 consists of $1.25 million available for
grants which will be awarded in FY-81.
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Region II has received 58% of the total national allotments
from the first two rounds. In preparation for the third round
of funding, PTIB's assistance was requested by N.Y. and P.R.
in drafting their proposals. In both situations our advice was
to break single, overly ambitious projects into several smaller
projects having improved chances of funding.
Active Projects
New Jersey
0 .The Toxic Substances Investigation and Inspection Unit
(1979-82)
For $281,563 in federal funds, N.J. is identifying and
locating toxics problems and investigating the health
effects associated with these problems. The project
is progressing relatively close to schedule.
0 Broad Spectrum Analysis of Volatile Organics in Air (1979-82)
For $171,384 in federal funds, N.J. proposed to expand
a small volatile organics in air monitoring program.
After the TSCA grant was awarded New Jersey, DEC
proposed to modify the means for implementing this
proposal to allow for the purchase of a mobile monitoring
unit equipped with a GC/MS. An advantage to this approach
is the continuing capability provided to the State. EPA
has approved this modification.
0 Movement, Distribution & Uptake of In-Place Mercury (1980-82)
For $69,317 in federal funds, N.J. proposes to study the
environmental movement and distribution of mercury as well
as clean-up methods. The work plan has been approved.
0 Emissions Monitoring for Selected Toxic Substances (1981-83)
For $205,679 in federal funds, N.J. will establish a program
to monitor emissions and effluents to determine the effec-
tiveness of its programs. The work plan has been approved.
0 Assessment of Ecological Effects of Contaminants in the
Waters of New Jersey (1980-83)
For $226,867 in fedeal funds, N.J. will conduct intensive
follow-up analyses in areas identified as contaminated in
a well survey. The work plan has been approved.
0 Toxic Substances Information Resource Center (1980-82)
For $109,108 in federal funds,N.J.will set up a data
base of their own library materials. The work plan has
been approved.
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Field Applications of In-Vitro Mutagenesis (1981-83)
For $183,082 in federal funds, N.J. proposes to conduct
an experiment to test the effectiveness of the Ames
bioassay as a field instrument. The work plan has
been approved.
New York (1979-82)
0 For $348,000 in federal funds, N.Y. has been evaluating
simple techniques for evaluating mutagenic effects and
determining the presence of total organic halogens.
They are also developing procedures for locating past
and current sources of toxic substances contamination of
the environment in two counties; one highly industrialized
and one rural.
Puerto Rico (1979-83)
0 For $258,394 in federal funds, P.R. is developing and
implementing a toxics integration strategy which will
include; inventory development, monitoring, regulatory
program development, enforcement and public participation.
PTIB staff conduct periodic reviews of all the cooperative agree-
ments.
INDUSTRY ASSISTANCE
During this past year the Program and Toxic Integration Branch
has received over 500 calls from private industry, concerned
citizens and other government agencies requesting information on
TSCA and toxic substances problems.One of the most frequent
concerns of private citizens has been the possible carcinogenic
effects associated with the use of certain photocoyping machines
(IBM, Xerox and AB Dick). The submission of this testing informa-
tion was required under section 8e of TSCA.
PTIB staff have also had numerous personal meetings with repre-
sentatives of industry, particularly importing firms, concerned
with regulations under TSCA. These same individuals have often
returnedfor assistancein reporting for the TSCA inventory and
Premanufacturing Notifications. In April 1980, PTIB sponsored a
seminar designed to give representatives of industry an opportunity
to question key headquarters' representatives from the Office of
Pesticides and Toxic Substances on issues important to the future
of their businesses and to provide them with an update on proposed
and existing regulations.
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OTHER TSCA-RELATED ACTIVITIES
PTIB's two most clearly defined TSCA related functions are
industry assistance and the management of TSCA Cooperative
Agreements. However, beyond these two functions the potential
exists to creatively develop an expanded regional role in the
implementation of TSCA. For example, PTIB has encouraged
increased usage of the TSCA inventory of chemicals in commerce:
0 The Toxic Substances Section met with representatives
from U.S. Customs several times over the past year.
They were particularly interestedTn the purpose and
authorities of TSCA, how the inventory was gathered,
and what information they could use in their agency.
We will probably be even more involved with Customs
as a result of the December 1, 1980 proposed regula-
tions for implementing TSCA's authority in dealing
with imports. Customs will be responsible for
enforcing the TSCA regulations pertaining to the
importing of chemicals and will require guidance on
the TSCA regulations pertaining to the importing of
chemicals and will require guidance on the TSCA
Inventory and the regulations.
0 OSHA is using the inventory to schedule inspections
of facilities which may be in violation of their
carcinogens regulations.
0 The interfaces which the inventory should have with
other~EPA programs have been explainedto the various
divisions within our region for possible use in their
programs (e.g. , it has been used by the Solid Waste
Branch to locate potential non-filers under RCRA).
0 Information on facilities controlling chemicals listed
in the inventory has been incorporated into the FINDS
data system.
HEALTH EFFECTS
PTIB's primary health effects function during FY-80 was to provide
timely and accurate responses to requests for health effects in-
formation from the Water, Air, Enforcement and Surveillance and
Analysis Divisions and from the Office of External Programs.
For example:
0 The Enforcement Division required health effects
information on various organic chemicals and heavy
metals to substantiate their claim of imminent and
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substantial endangerment in a law suit filed against
the owner of the LiPari Landfill.
0 In a similar situation at Bridgeport Rental and Oil
Service, contaminants leaching from a waste oil lagoon
were found in the neighborhood's water system. Health
effects information was requested for use in pending
litigation.
Furthermore, there has been a growing awareness and concern by
private citizens of the dangers of toxic substances in the air,
in drinking water, in home insulation and in almost every aspect
of our highly industrialized society- As a result, there has been
a growing number of inquiries concerning the health effects of
contaminants in food, water, and air, in addition to finished
commercial and consumer products. The Toxic Substances Section
(TSS) of PTIB has been handling these requests for information
from private citizens as well as from local governments and
private firms which must respond to inquiries or conform to new
regulations.
PTIB has acquired access to the Lockheed Dialog System which has
substantially increased our health effects data base and has
allowed us to provide a more thorough and rapid response to health
effects inquiries.
PEOPLE AND TOXICS PROGRAM
The second phase of the "People and Toxics" program in Region II
began in March 1980 after a careful evaluation of the progress
made during FY-79.
New Jersey
FY-80 grants were awarded as follows:
0 Association of New Jersey Environmental Commissions -
($37,000) -- Continued coordination and support of
task forces in Bergen, Hudson, Middlesex and Morris
Counties, plus regional task forces along the coast
(Monmouth, Ocean and Atlantic Counties), and in the
rural part of the State (Hunterdon, Warren and Sussex
Counties). PTIB guided these task forces in expanding
on their earlier work to include actual demonstration
of outreach and involvement strategies.
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0 Rutgers Journalism Resources Institute - ($7,900) —
Prepared and conducted workshops in New York and
New Jersey on media/information skills, featuring
participants froin the People and Toxics program, print
and broadcast media, and State and Federal government.
New York
The following organizations were awarded grants to follow through
on the work started in the first year:
0 Center for the Hudson River Valley, Inc. (now Scenic
Hudson) - ($38,000) — Provided financial support for
the continuation of the People and Toxics program in
New York through subcontracts to 15 environmental and
public interest organizations in New York for a variety
of projects. These groups represent over 500,000 New York
citizens. In addition, CHRV conducted a study of clearing-
house alternatives for toxics information, prepared four
articles on toxics issues in the Hudson Valley for local
newspapers and managed the Mid-Hudson Toxics Task Force.
0 Health Systems Agency of New York City - ($2,000) —
Completed a final draft of a toxics guide for health care
practitioners; had the pamphlet designed and typeset as
camera-ready copy. The guide has now been printed and
distributed to 96,000 health care professionals in the
New York metropolitan area. A second printing is now
under consideration.
Overall, the "People and Toxics" program in Region II has been a
success. With relatively small amounts of seed money, the region
has developed a constituency for toxics control programs; the
challenge will be to ensure the continuation of this constituency
in the absence of continued TSCA funding.
TOXICS INTEGRATION
0 PTIB's primary toxics integration accomplishment during
FY-80 was the refinement of toxics chapters in the New York,
New Jersey, and Puerto Rico SEAs.
/
EXECUTIVE CORRESPONDENCE
0 During FY-79, PTIB was charged with the responsibility
for managing the flow of correspondence through the
Regional Administrator's office. This reassignment
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resulted in a significant improvement in the Region II
record of responses to EPA Administrator correspondence
("AX's"); this'record of improvement has been continued
in FY-80.
FY-81 GOALS AND OBJECTIVES
Analytic Projects
0 During FY-81, the Region II Management Analytic Center
will issue final reports on the five analytic projects
developedin FY-80:
The Role of Ambient Monitoring in Regional Decision-
Making ,
- Permits Consolidation,
Water Quality Management Needs Assessment,
Section 105 Grants Calendar (through SEA Upgrading
Project)
Reorganization of the EDEWS/EAP Systems in Region II.
0 Two additional major analytic projects have been initiated
and will be completed in FY-81:
- Upgrading the Region II State/EPA Agreement Process
and
- Developing a Regional Integrated Toxcics Strategy.
0 During the second quarter of FY-81 the RMAC will work with
the Division Directors, the Deputy Regional Administrator,
and the Regional Administrator to develop a planned agenda
of additional analytic projects which will be undertaken
during.the remainder of FY-81. Two specific proposals will
be presented for top management review;
Expediting Electric Utility Coal Conversions; and
- The Trading of Rights to Discharge Water PoTlutants.
Suggestions will be solicited from top management for ad-
ditional projects which meet their analytic needs.
0 In consultation with SEA media managers, the Program and
Toxic Integration Branch has identified a number of improve-
ments which can make the Region II SEA process more responsive
to State and EPA needs:
Key SEA objectives:
- The need for clear environmental problem focus;
The need for early involvement of the Regional"
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Administrator and the State Commissioners as
decision makers;
The need for a truly bi-lateral Agreement in which
EPA makes commitments to the same extent that the
State does;
The need for a comprehensive Agreement covering all
environmental programs;
The need for a less cumbersome, more workable document.
In a major effort to overcome these deficiencies and to allow
SEAs to reach their full potential as management tools, the Regional
Management Analytic Center is undertaking an analytic effort aimed
at recommending improvements in the SEA process and format. This
effort will involve a high level of consultation with the states,
with SEA media and program managers and with the public, and will
result in:
0 the preparation of state-by-state environmental assessments
which serve as the bases for the Reg ional Administrator and
the State Commissioner to agree on environmental priorities
at the beginning of the SEA process; and
0 the development of state specific recommended improvements
in SEA format and in the process through whichtheSEA1s
are developed.
Subsequent to the development of SEA format and process recommen-
dations, PTIB will coordinate the development of FY-82 SEAs
striving to ensure that the RMAC study recommendations are imple-
mented .
Program Grants
0 Award nine CAA Section 105 and five CWA Section 106
program grants.
0 Continue to seek a satisfactory resolution of the DEC
indirect cost issue.
0 develop expertise in state planning and management
processes to serve as the basis for recommendations on
integrating state and EPA planning and management
processes.
0 Insure that FY-82 SEAs include the work plans for all
105 and 106 grants.
0 Conduct SEA mid-year reviews covering all environmental
programs.
Toxics Integration
The primary toxics integration goals during FY-81 will be the
development of national and regional integrated toxics strategies.
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On the regional level PTIB will work closely with EPA's program
managers to ensure that toxics issues are adequately addressed
in each of the FY-82 SEAs.
0 Each SEA will begin with an environmental assessment;
these assessments will serve as the basis for summa-
rizing the nature and extent of the toxics problem in
Region II.
0 The five year strategies and one year work plans in the
SEAs will summarize how EPA and the state currently
use available programs and authorities to deal with
the toxics problem in the region; gaps and overlaps in
the overall toxics program, which are identified as the
strategies and work plans are constructed, will serve
as targets of opportunity for improved toxics program
integration.
As the various components of the Region's FY-82 SEAs are developed,
PTIB staff will draft the analogous components of a "Regional Inte-
grated Toxics Strategy."
On the national level, Headquarters intends to establish a number
of working groups to provide input into the development of a national
integrated toxics strategy; PTIB has indicated its desire to parti-
cipate on at least one of these working groups. It is anticipated
that unlike the regional strategy, the national strategy will be
developed chemical-by-chemical for approximately 20 high priority
chemicals. Through active participation in the development of a
national integrated toxics strategy PTIB expects to;
0 Ensure that Region II influences the development of
national policy; and
0 Ensure that the Regional Integrated Toxics Strategy
is compatible with national policy-
TSCA Section 28 Cooperative Agreements
0 PTIB will continue to monitor grantee performance and
will take corrective actions as necessary to ensure
that products are generated which contribute to the
Regional toxics control effort.
0 PTIB staff will assist any state receiving an award in
the third round in formulating an approvable work plan.
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Th e Puerto Rico integrated toxics strategy will provide
key inputs to the regional strategy such as an environmental
assesment of the toxics problem and program strategies for
each medium.
Industry Assistance
0 Continue to provide timely and accurate responses to
inquiries from industry on TSCA implementation.
0 Actively seek to improve the lines of communication
between government and industry by sponsoring useful
seminars.
Health Effects
During FY-81 PTIB plans:
0 to assess the total regional (federal, state, local,
private) health effects capabilities in the Region,
recommending implementable steps to improve existing
capabilities in support of EPA programs.
0 to continue the efforts to develop a system to obtain
the expert health effects testimony required to support
EPA enforcement actions in a timely manner.
0 to provide accurate and timely responses to requests for
health effects information.
0 to acquire access capability to the NLM Medlar data system.
In addition to familiarizing ourselves with our own newly acquired
computer services, PTIB will assist state and local government
representatives to understand the capabilities of these systems.
For example, orientation seminars on Chemical Information Resources
have already been held. These sessions, conducted in the Regional
Office on November 5 and 6, were led by representatives of KOBA
Associates, Inc., and were sponsored by EPA-HQ. As part of a contract
managed by OPTS, KOBA scheduled sessions in 25 cities (including
Albany where as a result of enthusiastic support, an additional
session was held). Through the combined efforts of KOBA, OPTS and
Region II-TSS (which coordinated and managed the logistics for
New York) our sessions were informative, interesting and well-attended
People and Toxics
0 During FY-81, PTIB will isue a final report on the
"People and Toxics" program; this report will describe
the components of the program worthy of continuation
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and will describe a viable strategy for ensuring the
continuation of those components.
Other TSCA Related Activity
0 By the end of the second quarter of FY-81, PTIB will
complete an analysis comparing/contrasting EPA head-
quarters and EPA Region II roles in the implementation
of TSCA. This analysis will identify targets of oppor-
tunity for increased regional use of TSCA programs and
authorities to solve the region's toxics problems.
Executive Correspondence
0 Develop and distribute formal regional guidance
on the handling of executive correspondence.
0 Develop a system for using executive correspondence
as a basis for the development of the agenda of analytic
projects for the Region II RMAC.
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PERSONNEL AND ORGANIZATION BRANCH
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During FY-80, the Personnel and Organization Branch (PO)
continued to stress the improvement and expansion of its
services in the areas of position management, management
advisory services, internal equal employment opportunity,
training and employee relations. A major emphasis in the
Branch's activities last year was the establishment of the
new Performance Management System and the transition to
Merit Pay. Specific activities and accomplishments of the
Branch for FY-80 are discussed below.
CROSS-CUTTING BRANCH INITIATIVES
The following activities involved several Branch functions
and required an exceptional degree of interbranch coordi-
nation and cooperation within Planning and Management to
effectively implement.
Civil Service Reform Act (CSRA)
° Implementation of the Civil Service Reform Act (CSRA;
continues to be a major priority to the Branch.
During FY-80, PO concentrated on three main aspects
of CSRA implementation:
1. Performance Standards
2. Merit Pay
3. Expanded Personnel Authorities
Besides these CSRA implementation programs, we were
also involved in a special follow-up study of the
impact of CSRA on selected Government agencies. All
of these CSRA-related activities are described below.
Performance Standards
0 All Regional staff were under performance standards
for FY-80. As a result of our early developmental
work on performance standards as the pilot region
for EPA's Performance Management System, we had a
headstart on this key CSRA requirement. We, there-
fore, requested and were granted permission for an
early conversion to a rating system based on the new
performance standards. This was done in the fall of
1980, when Region II conductd its first full-scale
performance appraisals utilizing the new performance
agreements. The results of this FY-80 rating were
used as the basis for allocating incentive awards.
This streamlTned the process of making incentive
awardsfor supervisors and helped emphasize for
Regional Staff the importance and relevance of the
new performance management system.
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Merit Pay
0 One of the Branch's major activities during FY-80
was preparing for the Region's full-scale conversion
to merit pay in October 1980. As one of three pilot
regions who had been selected by the Agency to
implement merit pay one year earlier than mand'ated
in the Civil Service Reform Act, we had a very
ambitious task. The process was novel and the
difficulties associated with this were compounded by
delays in the finalizing of further and Office of
Personnel Management guidance for the pilot conversion.
This necessitated extremely careful planning and
analysis of options for the implementation effort.
Personnel and Organization participated in a task
group with the Financial Management Branch and the
Information Systems Branch to develop a comprehensive
implementation plan for merit pay. This activity re-
quired in-depth attention to the project by PO staff
over an extensive period. Memoranda explaining the
various steps in the implementation process had to be
composed, forms developed, and charts and graphs de-
scribing key indices prepared. As a follow-up to the
implementation process, the Branch also documented all
its activities in a narrative report to benefit Agency
components switching over to merit pay in FY-82.
The general Regional response to our implementation was
quite favorable. A number of employees and managers
complimentedthe Branch on the smoothness of the transi-
tion to merit pay, the clarity of the instruction pack-
age developed, and the informative computer reports
which were utilized to display the results.
Expanded Personnel Authorities
0 As one of the key initiatives of the CSRA, many of
recruitment and personnel authorities previously ex-
ercised directly by the former Civil Service Commission
were decentralized to Government agencies through del-
egations of authority. These new personnel authorities
represent both the possibility of faster, more responsive
serviceto the Region and a significant workloadincre-
ment for Personnel and Organization. We have agressively
sought out these new authorities as they have become
available. So far, P&O has secured delegations which
include:
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0 examining authority for GS-9 through 15 positions
formerly filled under Mid and Senior Level
Announcements from the Office of Personnel
Management.
0 As part of an experimental approach, EPA and the
Office of Personnel Management entered into an
agreement at the national level for a pilot program
of delegations for direct hiring authority which
could be redelegated at the regional level, in line
with this pilot program we received direct hire
authority for permanent part-time pos:ition s G S - 5
through 13 for Environmental Protection Specialist,
Life Scientist, and Environmental Scientist positions
with stipulation could not convert.
0 temporary appointments lasting up to a year for
grades GS-T through 7.
0 extensions of details beyond 120 days and one month
special need appointment extensions.
We expect to receive a number of additional authorities
during FY-81, including examining authority for engineering
and scientific positions formerly processed by the Office
of Personnel Management.
0PM Study of Impact of CSRA
0 During FY-80 Region II was selected to participate in an
assessment of the effectiveness of the CSRA. This study
was initiated by the Office of Personnel Management and
is projected to last five years. The study is being
conducted on a contract basis by three university research
groups to determine if the CSRA achieves the goals set
for it and whether these goals are desirable for Federal
employees affected. The Personnel and Organization Branch
has worked closely with consultants from Case Western
University who are performing this study in EPA. The Branch
has served as a Regional contact point for this on-going
study, setting up interviews, arranging for briefings and
answering questions about EPA for the research team. This
liaison effort was particularly intensive with the start-
up of the study in FY-80, but will continue on an inter-
mittent basis throughout the term of the study.
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IPA Program
During FY-80 the -Branch prepared 26 IPA agreements. The
majority of these IPA assignments were part of the Group
IPA initiative consisting of large scale support to New
York and New Jersey in the establishment of their construc-
tion grant programs. P&O served as the coordinator of the
program and continues to provide personnel services
to IPA participants currently on assignment. This
innovative program was the first of its type and involved
the Branch in working out complex questions dealing with
conflict of interest, return rights, participation by
other regions, etc. One of the more significant problems
associated with the implementation effort required a
clarification of previous legal guidance regarding conflict-
of-interest on the part of Federal employees representing
a state while on an IPA assignment. This investigation
surfaced significant underlying questions which went to the
core of state/federal cooperative endeavors. The issue had
to be submitted by our Headquarters office to the Department
of Justice (DOJ) for resolution. Congressional interest
was sparked and discussions were held on the subject at
very high levels of the government (Senator Muskie,
Congressman Rodino, Attorney General Civiletti, etc.).
The final decision memo on the question from the DOJ
vindicated the Region II position and made new legal
precedent. The DOJ subsequently requested EPA permission
to publish the decision because of its importance
and broad applicability to other situations involving
intimate state/federal cooperation.
0PM Audit
0 The Office of Personnel Management (0PM) conducted a
series of audits during FY-80 in most EPA installations
across the country. Our audit was performed by staff
of the local 0PM regional office assisted by a technical
expert from EPA Region I. The audit encompassed the
interrelationship between EPA's program accomplishment
and the personnel component which makes these accomplish-
ments possible. The audit team held interviews with all
division directors and most supervisors to determine
possible problem areas and ways to remedy them. During
the several weeks that interviews were being held in the
Region, P&O provided logistic support to the effort by
scheduling interviews and supplying background information
A review of official personnel folders was also conducted
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by the audit team to verify compliance with personnel
management rules and regulations. This audit resulted
in a favorable evaluation by 0PM of the personnel
program being conductedin the Region and found no
significant problem in the quality of personnel services
being delivered by the Branch.
Transit Strike
0 The PO Branch took a lead role in coordinating Regional
efforts to get EPA employees into the office during the
major transit strike which gripped New York City for
eleven days in April, 1980. The strike management effort
succeeded in setting up 47 car pools in seven days covering
approximately 98% of Regional employees who would otherwise
have been without transportation. Despite significant
logistic problems involved in securing and deploying these
vehicles, lining up volunteer drivers and allocating
Regional staff to geographically clustered car pools, the
transit strike coordination effort worked smoothly and effi-
ciently. It was a major factor in insuring that Regional
operations were maintained at near normal levels for the
duration of the strike. The Federal Executive Board later
reported that our attendance figures were among the
highest of any agency in New York during the strike.
Reorganizations
0 PO reviewed a number of reorganization proposals during
FY-80 affecting S&A, Enforcement, Water and Planning &
Management Divisions. PO was also responsible for
implementing these reorganizations once approved. The
reorganizations, involving the closing of the Rochester
Field Office and the consolidation of technical permit
functions in Enforcement, in particular, required
extensive Branch planning and implementation work.
Compressed Work Schedules Study
0 Region II was selected by the Office of Personnel
Management for a special study of the energy and
transportation impact of our compressed work schedules
program. This study involved several visits to the
Region of 0PM staff from Washington, special briefings
to employees on the study, the administration of
questionnaires to employees at regular intervals, and
continuing liaison with 0PM staff. The results of this
Region II study will be incorporated in a report to Congress,
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RECRUITMENT AND STAFFING
PC's principal emphasis during FY-80 was the expeditious
filling of Regional vacancies. This was significantly com-
plicated by the hiring freeze initiated on February 29, 1980.
Some key areas of Branch activity in the staffing area are
discussed below.
Record Number of Personnel Actions
0 Last year the Branch effected 235 appointments and
413 position changes (Promotions, reassignments etc.).
These totals included 80 merit promotion actions and
91 Office of Personnel Management certificate requests,
an all time high for the Region.
Model Staffing Plan
0 As mentioned previously PO has moved aggressively to
secure examining authority for numerous categories of
positions once processed by 0PM. In securing these
new authorities, we have also had to assume the
rigorous documentation and job analysis requirements
specified by 0PM for filling these positions. The
requirements of 0PM1s Model Staffing Plan involve
extensive narrative evaluation for each position
advertised, and this has imposed a significant addi-
tional workload factor on Branch staffing activities.
ENGINEER - IN - TRAINING PROGRAM
0 The Branch developed a special intern program to supply
well-rounded engineering talent for the numerous technical
activities in the Regions. This Engineer-in-Training
program involved the entry level hiring of a pool of
engineers and the development of a rotational training
planin all principal media areas. During FY-80 this
program resulted in the hiring of 6 engineers, two of whom
are women. Over the long term it should help the Region
provide quality staff to fill current as well as future
staffing needs.
POSITION CLASSIFICATION
Implementation of the Factor Evaluation System (FES)
Conversion to FES continued to present a heavy workload
to PO as increasing numbers of classification standards
are issued in the FES format. Position descriptions
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for Regional clerical positions and for many
scientific and engineering positions were rewritten
according to FES specifications during FY-80.
FES Supervisory Training
0 A schedule has been developed for training all Regional
supervisors in the new Factor Evaluation System. Last
year training was provided to all supervisors in the
Surveillance and Analysis Division on the requirements
for describing and classifying jobs under FES.
Review of Individual Actions
0 Position descriptions were reviewed for accuracy and for
sound classification and position structure as part of
the Branch review of all requests for reassignment, re-
cruitment, promotion, etc. Nearly 300 new or revised
position descriptions were classified.Evaluation state-
ments were written to support the classification of high
grade positions and any position involving unique respon-
sibilities .
TRAINING AND EMPLOYEE RELATIONS
Implementation of the Civil Service Reform Act and Performance Standards
0 As discussed above, CSRA implementation and particularly
the transition to the new performance management system
were extremely high Branch priorities during FY-80.
These projects took up a significant percentage of the
employee relations specialists time last fiscal year.
Incentive Awards Program
0 Region II has established a record of leadership in the
Agency with the introduction of special Distinguished
Achievement Awards for particularly outstanding employees.
This innovative approach to incentive awards was continued
during FY-80 in the formulation of new awards criteria and
the direct application of performance standards to the
incentive award process. Although in line with the CSRA
and Officeof Personnel Management proposals incentive
awards are eventually supposed to be intimately tied
in to the performance management system, Region II advanced
the timetable for this coordination and developed special
criteria to streamline the justifications for awards
and base them clearly on objective performance measures
contained in the new standards.
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Training Program
0 Last fiscal year over 700 individual training requests
were processed. This demonstrates our strong commitment
to the career development of Regional staff.
INTERNAL EQUAL EMPLOYMENT OPPORTUNITY (EEO) PROGRAM
In FY-80 a significant reorganization affecting the EEO program
occurred transferring most EEO responsibilities from the Office of
Personnel Management to the Equal Employment Opportunity Commission.
This tranfer and the promulgation of new EEO rules designed to
better identify underrepresented occupation areas required a signi-
ficant revamping of the Regional internal EEO program.
Federal Equal Opportunity Recruitment Program (FEORP)
0 One of the principal innovations occuring during FY-80
was the introduction of the standards contained in the
Federal Equal Opportunity Recruitment Program (FEORP).
This program establishes a formal methodology for
identifying underrepresented occupation groups and
sets up a targeted continuing recruitment program for
positions which are underrepresented. Actions under
our revised plan include college recruitment, special
job announcement distributions, continuing contacts
with women and minority organizations, and establishment
of a special EEO recruitment file of applicants for
employment consideration.
Minority and Women Recruitment
0 The FEORP process identified engineers and scientists
as underrepresented occupations along with environmental
protection specialist positions. These positions were
targeted for special recruitment initiatives. The success
of our efforts is reflected in the significant number of
women and minority employees hired into engineering
positions and promotions to mid and senior level positions.
Employment of the Handicapped
0 Utilizing delegated hiring authority, the Region last year
appointed one legally blind environmental protection spe-
cialist. We have been successful in placing handicapped
individuals in a number of Regional positions where they
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have functioned well over the years. We intend to con-
tinue our efforts to place qualified handicapped individuals
in positions which are not incompatible with their physical
limitations.
Federal Womens Program
0 In the past we have had an active Federal Womens Program
conducted on a collateral basis by Regionalstaff.For
FY-80 we established a permanent part-time position for
a Federal Womens Program Manager. Under our delegated
examining authority we are currently recruiting for this
position and are contacting women and minority organizations
for applicants.
Development of EPA Hispanic Outreach Program
0 The Director of the Office of Civil Rights in Headquarters,
requested Region II to detail PC's internal EEO specialist,
Carmen Negron-Cruz, to Washington to help develop the Agency's
Hispanic Outreach Program. Ms. Negron spent a number of
weeks in Headquarters working on this program and was suc-
cessful in formulating an appropriate outreach program for
the Agency.
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FY-81 GOALS & OBJECTIVES
General
Place Merit Pay and Performance Management System on a Regular
Operating BasTs"
0 As discussed before, both of these CSRA initiatives were
implemented by PO on a pilot basis and without final
Agency or 0PM guidance having been developed. Those pro-
blem areas which arose during the pilot implementation must
be addressed and necessary improvements made for FY-81.
Internal Branch Workflow Study
0 The Branch intends to analyze closely previous methods of
operation and functional responsibilities to accomodate
the increased workload resulting from the new CSRA delegated
authorities.
Recruitment and Staffing
Examining Procedures Development
° Streamlined Regional examining procedures have to be devel-
oped for the many hiring delegations we now have and for
the new authorities which are being added at a rapid rate.
Computerized Application Tracking System
0 In order for the Branch to function efficiently with the
escalating number of outside applications which will be
generated by the newly delegated examining authorities, PO
will work closely with Information Systems Branch to develop
an automated record-keeping system.
Position Classification
FES Supervisory Training
0 We plan to conduct training sessions similar to the one
already completed for Surveillance and Analysis Division
which will instruct all supervisors in the requirements
of the Factor Evaluation System.
FES Implementation
0 All Regional Chemist positions will be converted to the
FES format, as will others received from 0PM in FY-81.
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Classification Surveys
0 Position surveys are scheduled for all Regional organiza-
tions. A ten to fifteen percent sample of positions will
be audited to verify classification accuracy.
Employee Relations and Training
Supervisory Training
0 The Branch will develop a series of supervisory mini-courses
designed to satisfy 0PM training requirements for supervisors,
Development of Suvervisory Guides
0 The Branch plans to develop Regional operating guides for
supervisors on cooperative education, job analysis, leave
administration and other personnel topics.
Internal Equal Employment Opportunity
Improve Recruitment of Minorities and Women
0 Consonant with our new responsibilities under FEORP, PO
will develop an expanded, carefully planned recruitment
program for underrepresented occupations.
Workshops to Improve Employment Opportunities of Women and
Minorities
0 We plan to conduct workshops for our employees dealing with
various personnel topics and employment practices which would
assist the career advancement of our workforce.
Establishment of a Hispanic Advisory Committee
0 Patterned after the Federal Women's Program advisory
committee, this group will help develop initiatives to
enhance the employment and training opportunities of
Hispanics in EPA.
Coordination of Planning for National IMAGE Convention
0 PO's internal EEO specialist will play a key role in
planning for the national convention of the Hispanic
development organization IMAGE, which will be held in
New York Citfy in 1982. This organization is an
important component of the Region's and EPA's Hispanic
outreach program.
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INFORMATION SYSTEMS BRANCH
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During FY-80 the Information Systems Branch (ISB) continued its
efforts in managing information as an EPA/State resource and
in providing ADP support to every major program area in the
Region. The Branch was active on the state. Regional and
national levels in developing new techniques for managing
information to support program integration and permit consol-
idation. In addition, the Branch continued to operate over 40
Regional and national information systems supporting the various
program areas while developing new systems and expanding exist-
ing systems to meet emerging programmatic needs. The accom-
plishments of the Branch in information management focus on
improving the cross-media usage and quality of automated
information maintained by EPA and the states and in ADP
management on the technology utilized to process, store, analyze
and retrieve this information. The Branch's accomplishments
for FY-80 in both these categories are discussed in detail
below.
INFORMATION MANAGEMENT
Information is a valuable resource to both EPA and the state
environmental agencies. ISB has endeavored to break down the
programmatic boundaries which have frequently influenced data
collection and use to assure that different numbering and
coding conventions and uncoordinated systems designs will not
prevent information sharing between the various programs. In
addition, EPA and the states collect enormous amounts of data
which can overwhelm program managers; they need to find better
ways of consolidating and displaying these data if they are to
achieve maximum return on information resource investments.
During FY-80, the Branch directed or participated in seven
major information management initiatives. These initiatives
were:
Region II, NJDEP and NYSDEC Permit Consolidation Task Force
0 This EPA/State Task Force focused on permit
administration and information management issues
relative to consolidation of Federal and state
environmental permit programs. The Branch played
a lead role in the Information Management
Committee of the Task Force.
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This committee produced a comprehensive report
which included a number of recommendations
to be incorporated in the EPA/State Agreements.
The Branch is now actively working with its
state counterparts to implement these recommen-
dations.
EPA Consolidated Permit System
0 The Branch worked closely with the EPA Head-
quarters Offices of Drinking Water, Solid
Waste, Water Enforcement and Management and
Agency Services in preparing a feasibility
study and system design for the gystem for
Consolidated Permitting and Enforcement (SCOPE).
This system will enable the regions and the
states to j.ntegrate NPDES, RCRA and UIC permit
data in a common information system.
Information Service Center
0 The Branch implemented a contract initiative,
an Information Service Center,to improveupon
the Region's use of automated systems as manage-
ment tools. This Center is an ongoing, contrac-
tor-operated group of data specialists working
in the Regional Office. The contract task
order to operate the Center is now administered
by the Permits Administration Branch. The Center
supports the NPDES, stationary air source and
RCRA programs, maintains the Regional NPDES and
map files and supports the Facilities Index System.
This concept has Agencywide application and has
generated significant interest and funding from
the EPA Headquarters system managers.
Facilities Index System (FINDS) Support of RCRA
0 All the environmental program areas either oper-
ate or are developing information systems con-
taining facility information. The term "facility"
is used here in a broad sense to include: indus-
trial plants, municipal wastewater or water
treatment plants, wells, surface water intakes,
disposal sites, landfills, surface impoundments,
etc. Unfortunately, these various information
systems are not integrated. One basic obstacle
to integrating the systems is that each system
uses a different number to identify a facility.
To overcome such obstacles and to encourage in-
creased coordination and integration between both
EPA and State programs, the Branch developed the
FINDS system. This system contains basic facility
information such as name, address, ownership.
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operational status, SIC code, the various
identification numbers assigned to the faci-
lity by the environmental program areas and
information as to which regulatory programs
impact the facility.
0 During FY-80 the primary use of the FINDS
system was in support of RCRA. The Branch
utilized FINDS to consolidate many EPA and
state inventories containing potential
hazardous waste generators, transporters, and
storage, treatment and disposal facilities.
This consolidated inventory was then utilized
to mail RCRA notification packages and to
conduct follow-up actions on non-notifiers.
The FINDS system is now being utilized to plan
multimedia RCRA inspections by Regional and
state NPDES and air inspectors; thereby, in-
creasing the effectiveness of the limited
RCRA inspection resources.
0 The FINDS project has drawn Agencywide atten-
tion and has impacted the development of many
new National Systems. To share its FINDS
experiences, the Branch made many presentations
during FY-80 on FINDS and the Environmental
Mapping System (MAPS).
Environmental Mapping System (MAPS)
0 As an outgrowth of the FINDS project, the Branch
in coordination with the Water Division developed
the Environmental Mapping System (MAPS) to pro-
duce computer generated map overlays. The system
utilizes information from several data systems to
identify drinking water sources, air and water
pollution dischargers, surface impoundments,
ambient monitoring stations, wetlands and other
environmentally sensitive areas. These map
overlays provide program managers with an
excellent tool in program integration efforts
and will display readily information critical to
effective emergency response, e.g., water supplies
in vicinity of spill. The overlays can be
produced for base maps of different scales and
projection technique's"! For example, an overlay
can be produced for a 7 1/2 minute USGS topographic
map covering a six by eight mile area or for a map
covering an entire state-
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0 During FY-80 the Branch produced complete sets
of 172 overlays for the New Jersey USGS topo-
graphic base maps and the 17 New Jersey Atlas
sheets. These overlays were primarily utilized
to assess the impacts of hazardous waste dis-
posal sites and NPDES discharges on water
supplies. As a result of experience gained
from producing these initial overlays, the
Branch improved the MAPS system and acquired
a more reliable and higher throughput plotter.
The Branch also collected additional data for New
York and Puerto Rico to produce overlays for
these areas in FY-81.
Intergovernmental Agreements
0 The Branch developed Intergovernmental Agreements
with the New Jersey Department of Environmental
Protection (NJDEP) and the New York State Depart-
ment of Environmental Conservation (NYSDEC) for
use of EPA ADP Systems. These agreements reflect
an increasing use of EPA information systems by
the state agencies. Both the Region and states
gain through use of common information systems.
In the future an Agreement will be developed
with the Puerto Rico Environmental Quality Board.
Ambient Monitoring Data
0 The Branch participated in the development of
the 1979 National Enviro'nmental Profiles.
Ambient air and water quality data was retrieved
and analyzed through use of Agency ADP systems
to support this effort.
0 The Branch assisted the Regional Management
Analytical Center (RMAC) in developing an inven-
tory of past and current Regional ambient
monitoring programs and in conducting an in-depth
study of the existing and potential usage of
ambient data by program managers.
0 The Branch developed a computer graphics capability
for the Surveillance and Analysis Division to
analyze and display shoreline and New York Bight
monitoring data.
0 The Branch succeeded in securing from NYSDEC and
in processing into STORET ambient water quality
monitoring data for 1977 through 1979.
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ADP MANAGEMENT
During FY-80 the Branch has met the demand for increased
computer support through a variety of initiatives. A brief
summary of the major projects during FY-80 is as follows:
Minicomputer Implementation
0 A PDF 11/70 minicomputer was installed in the
June-July time period. This was preceded by
1 1/2 years of frustrating planning and
coordination with GSA and four months of site
preparations by a GSA contractor. The site
preparations included the installation of an
independent air conditioning system, addi-
tional electric power and insulated glass
windows. By August the Branch was utilizing
the minicomputer to process jobs to the
Agency's remote computer installations.
The Branch is now improving upon the
standard system software and is about to
implement the Time & Attendance Data Entry
System.
Computer Center Facilities Management Contract
0 The Branch completed another successful year
of utilizing contract services to operate
the Regional Computer Center. All keypunch-
ing was performed on-site by the contractor
which resulted in cost savings and improved
turnaround times. The computer operations
performed well while experiencing an in-
creased workload over the previous year.
FTE and Position Management System
0 The Branch developed a new system to improve
the Region's position management program.
The system enables the Planning and Evalua-
tion Branch to closely track and project
Full Time Equivalent (FTE) utilization rates
for the purpose of maximizing use of the
Region's FTE ceiling and managing the al-
location of positions.
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Merit Pay System
0 The Branch developed a computer system to sup-
port the Region's implementation of the Merit
Pay Program. The system was utilized as both
a projection model to simulate various point dis'
tribution scenarios and as a tool to calculate
merit pay, to analyze the data and to reporT
and document the results.
Financial Data Entry System
0 The Branch commenced the design and programming
of a minicomputer based, interactive Financial
Data Entry System (FDES). This system will
significantly streamline the processing of
financial data. The system will also maintain
vendor register information and produce Treasury
Schedules in computer readable format.
MVS and COMNET Conversions
0 During the first half of FY-80, the Branch was
impacted by a major upgrade of the EPA IBM com-
puter center (i.e., COMNET) to the MVS operating
system. Currently, the Branch"is preparing for
a major move of the EPA IBM systems from the
EPA contractor, COMNET, to the EPA installa-
tion at Research Triangle Park, N.C. (NCC-IBM).
Laboratory Data Management System
0 The Branch operates the Region II Laboratory
Data Management System (LDMS) to support the
Region's Surveillance & Analysis Division
laboratory in Edison, New Jersey. This sys-
tem was the first major interactive data entry
system developed by the Region. The system
now operates on the central EPA IBM computer
facility but will eventually move to the
Region's minicomputer. The system is designed
to process data from the point of receipt of
samples in the laboratory for analysis to input
of data to the STORET and Region II Water
Enforcement System. The Branch performed con-
siderable reprogramming of the system during
FY-80, so that it would operate on the MVS
operating system. Currently, the Branch is
conducting a parallel test of this system on
the new NCC-IBM computer.
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Hazardous Waste Facilities Inventory System (FIS)
0 The Branch assisted EPA Headquarters in the
development~and implementation of a major
information system to support the RCRA Hazard-
ous Waste Program. This assistance included
participating in a National Hazardous Waste
Task Force, assisting the Office of Solid
Waste in developing a contract task order to
process RCRA Notification data and piloting
the ADP training program.
0 The Branch implemented Regional use of this
system in July of 1980 and continues to
support increasing Regional, state and
Freedom of Information Act usage of the
system. In addition, the Branch provided
overall RCRA data management coordination
for the Permits Administration, Solid Waste,
Water Permits and General Enforcement Branches
and the contract RCRA Notification staff.
This coordination involved planning and exe-
cuting the consolidation of state RCRA related
inventories and the subsequent additional RCRA
notification mailings and 3007 letter follow-up
actions.
EXISTING SYSTEMS ACTIVITIES
0 Financial Management Systems
The Branch continued to operate a comprehensive
Regional financial management system (R2FMS),
implemented a number of new reports and
enhancements, accommodated 13th month processing
and overhauled one of the older subsystems,
Cash Reconciliation.
0 Personnel Management System
The Branch continued to support the national
personnel and payroll system (DIPS), and to
implement the new EPA Personnel Management
Information System (PMIS).
0 Construction Grants Systems
The Branch continued to support the national
Grants Information Control System (GICS) and
the Contracts Management System (CMS).The
Branch developed a consolidated Region/State
GICS input procedure and implemented the
Construction Grants ZBB workload model.
The Branch also assisted NYSDEC with the im-
plementation of the information management
subagreement of the EPA/NYSDEC Delegation
Agreement.
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0 Water Enforcement System
The Branch continued to operate the Region II
Water Enforcement Regional System (WERS) which
supports the NPDES program. During FY-80 the
Branch completely overhauled the system to
improve system feasibility and maintenance
and developed a new Quarterly Non-Compliance
Re por t.
The Branch also participated in the Audit of
the NYSDEC SPDES program, in the Water Division's
assessment of the Region's NPDES program, in
the Enforcement Division's revision of the EMS
manual and in resolving problems with NYSDEC
automated SPDES self-monitoring report data.
0 Water Supply Systems
The Branch supported the processing of state
annual reporting data into the Federal Reporting
Data System (FRDS). The Branch also assisted
NJDEP in implementing the compliance subsystem
of the Model State Implementation System (MSIS).
0 Air Systems
The Branch continued to support the Compliance
Data System (CDS) which is utilized by the
Stationary Air Enforcement Program, the SAROAD
system which maintains ambient monitoring data
reported to EPA by the states and the National
Emissions Data System (NEDS). The Branch also
provided assistance in operating mathematical
air quality models and computer statistical
analysis packages.
FY-81 GOALS AND OBJECTIVES
General Branch Goals
° convert IBM based systems from EPA COMNET
computer center tx> new IBM computer at EPA
Research Triangle Park computer center.
0 operate, troubleshoot and maintain over 30
existing systems and provide related ADP plan-
ning, budgeting, cost accounting and system
evaluation support.
Administrative Systems Goals
° administer Region II computer center facili-
ties management contract and initiate neces-
sary equipment, software and contract services
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procurement requests. Institute quality control
review procedures through monthly meetings with
primary Regional systems users and development of
a monthly evaluation report.
0 complete system level documentation for the
Region II Financial Management System, revise
documentation for the Region II Water Enforce-
ment System and complete basic documentation
for the Region II Merit Pay System.
0 produce computer reports, microfiche and graphi-
cal displays to fulfill information requests
from Regional personnel and requests received
under the Freedom of Information Act.
Operation of Minicomputer
0 complete implementation of enhanced system soft-
ware to streamline computer operations and to
adapt to Region II operating procedures.
0 complete installation and shakedown of hardware
plus connect Calcomp and Zeta plotters to the
minicomputer.
0 implement the time & attendance and DIPS (PMIS)
data entry software.
0 transfer and install Data 100 for the
Surveillance & Analysis Division in Edison, NJ.
Implement Financial Data Entry System (FDES)
0 design, program, test and implement a mini-
computer based financial data entry system
including Vendor Register and automated
Treasury Schedule functions.
0 document system to EPA Software Exchange
Documentation Standards.
RCRA & Uncontrolled Sites Programs Support
0 direct the processing of RCRA permit applica-
tion and annual report data into the national
system (FIS) and develop and produce reports
containing these data together with RCRA noti-
fication information
0 coordinate state usage of FIS
0 implement direct Regional usage of the Site
Tracking System (STS) and assist with STS
data cleanup.
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Produce and Manage Map Overlays
0 establish Regional Information Managers Council
(RIMC) to guide production of map overlays,
management of map rooms and quality control of
data displayed on map overlays.
0 on a phased schedule to be established in co-
ordination with RIMC, produce sets with
multiple copies of map_overlays for large area
base maps (e.g., 1:250,000, 500,000 and 750,000
scales), and l"-.mile and 7 1/2 minute USGS
topographic base maps for New York, New Jersey
and Puerto Rico. These overlays will display
pollution sources, water supplies, ambient
monitoring stations and environmentally sensi-
tive areas for which latitude/longitude or Universal
Transverse Mercator coordinate data are available
in EPA and state ADP systems.
0 implement map room with map overlays for
Surveillance & Analysis Division in Edison, N J ;
transfer maintenance of map room in Regional
Office (N.Y.C.) to Permits Administration Branch;
advertise availability of map rooms to Regional
personnel; and distribute map overlays to NJDEP,
NYSDEC, NYDH and PREQB.
0 complete modifications to version 2 of the
Environmental Mapping System and update Users
Guide and Program Documentation.
Complete Implementation of the Facilities Index System
(FINDS) Phase I
0 complete contract task order with Dun &
Bradstreet for matching various EPA and state
inventories and process matches via CSC con-
staff into FINDS.
finalize and implement policy and procedures
for Regional, NJDEP, NYSDEC and PREQB management
•oT'common facility identification numbers. Also
provide necessary computer reports microfiche
etc. to Regional and state offices for assi^nmc-nt
and management of these number^.
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0 implement and document additional uses for
FINDS using Phase I data base and existing
retrieval package.
0 conduct on-going quality control analysis of
FINDS data base and direct contractor and in-
house data cleanup efforts.
0 complete implementation and program documenta-
tion of the essential FINDS conversion, edit,
update, subroutine and utility programs now
under development and update FINDS system
documentation.
0 complete FINDS/MAPS Source File Data Element
Dictionary.
0 implement routine transfer of data from key
source files to FINDS and coordinate source
file data clean-up efforts.
Personnel Systems Support
0 complete transfer of the production of
all routine personnel reports from DIPS to
PMIS.
State Assistance-Construction Grants Program
0 assist with Grants Information Control System
(GIGS)training for NJDEP in accordance with
EPA/NJDEP Construction Grants Delegation'
Agreement.
0 provide assistance to NY5DEC in converting
Narrative File into expanded GICS record and
modify approximately 100 Regional report
programs and documentation.
Support Air Modelling
0 modify mathematical modelling programs and
assist Air Branch in utilizing model to
analyze impact of oil to coal conversion of
power plants in New York area.
Computer Graphics
0 develop graphical displays to support
Surveillance & Analysis Division water quality
monitoring program.
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RCRA Program Support
0 develop system to track compliance inspections
and enforcement actions.
Water Supply Program Support
0 assist Puerto Rico with implementing scaled
down version of the Model State Implementation
System.
NPDES Program Support
° assist NJDEP and PREQB to utilize the Water
Enforcement Regional System (WERS) in support
of program delegation.
0 assist and overview NJDEP's and NYSDEC's data
collection and system development efforts in
support of their EPA funded Pretreatment and
Residuals Management Programs.
0 develop WERS minicomputer based data entry
system with priority given to DMR data.
Minicomputer Implementation
0 implement available data entry software
packages for such systems as CDS and STORET.
0 plan transfer of LDMS to minicomputer.
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PLANNING AND EVALUATION BRANCH
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During FY-80 Planning and Evaluation Branch (PE) continued
its role as a focal point in the Agency planning and budgeting
process, improved the management of Regional resources and
undertook several new initiatives. Specifically, the Branch:
0 developed the Region's FY-81 Operating Plan in conjunc-
tion with the Financial Management Branch,
0 provided staff support to regional managers involved in
the FY-82 ZBB process,
0 reviewed and revised internal resource management capabi-
lities ,
° expanded Regional program accountability systems,
0 participated in the development of the national environmental
profiles,
0 structured the Region's regulation development role, and
0 reviewed Regional reorganization proposals and associated
program requirements.
PLANNING AND BUDGETING
Guidance Development
0 The development of the operating year guidance is a
critical Agency process in whichtheRegionTs involved
on an annual basis. However, during FY-80 the Agency
moved away from a detailed, comprehensive operating year
guidance to a more streamlined, policy oriented statement
from the Administrator and Assistant Administrators. As
a result, the regional role in development of the guidance
has changed, the focus now on issues and policy priorities,
and the time allotted by EPA for guidance development has
decreased significantly.
0 It should be noted, however, that the EPA activities
formerly described through the Agency Operating Guidance
are now largely a component of the workload models and
workload analyses, an area in which PE has become signi-
ficantly more active .
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o
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PE has been involved in the review of all the Region's
workload analyses. We have assisted Region II divisions
and Headquarters' program offices in developing and
reviewing these analyses, providing data on resource
needs and priority activities. In addition, PE has
played a critical role in several key workload analyses
which were particularly far reaching in terms of their
impact on regional resources, e.g., the operating Resource
Impact Analysis (ORIA) for the Hazardous Waste Programs
under Subtitle C of RCRA.
During FY-80 PE also coordinated Regional input to the
EPA FY-82 Budget Guidance. We met with the RA and
division representatives and fleshed our Regional ideas
regarding the budget year for inclusion in Administrator
Costle's guidance.
Regional Participation in the Budget Process
This year in addition to coordinating Region II comments on
the FY-80/81 Operating Guidance drafts, the Administrator's
Policy statement and the various iterations of regional
workload distribution models, PE supported the areas for
which Region II provided representatives to the media task
groups in the FY-82 budget development process(ZBB).Three
Region II representatives participated on these groups:
Dick Dewling on the water quality media task group,
Herb Barrack on the management media task group, and
Harry Smith/Jeff Zelikson on the water supply media
task group.
Planning and Evaluation provided extensive staff
support to the DRA, attending all media group meetings
and ranking sessions, preparing briefing materials,
and reviewing analytic agenda papers. In addition, PE
drafted sections of the final water quality media task
group report to the Agency Ranking Committee (ARC).
PE also developed briefing materials for the other
task group members and provided analyses of the decision
unit packages,workload models, analytic agenda papers,
etc.
0 PE coordinated an internal Regional priority setting
meeting for the Regional Administrator and Deputy with
division directors at which they ranked priorities for
FY-82; subsequently, PE also prepared briefing papers on
key FY-82 Budget issues and Regional positions for use
of the Deputy Regional Administrator at the national
ZBB regional ranking session.
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Decision Unit Group Meetings
0 During FY-80 Planning and Evaluation expanded the role of
the ZBB decision unit groups. The decision unit groups
are composed of Regional program managers and initially
were identified to enable direct involvement and response
by concerned managers to the process of resource distri-
bution between Regional organizations. In the early
part of this fiscal year, Planning and Evaluation used
the forum of the decision unit group as an ongoing program
integration tool.This was done by having the managers
of each group review branch workplans common to the decision
unit to insure consistency among all the various groups
participatingin thatlines of communication between the
branches. Specifically, problems common to a decision unit
group were identified and subjected to further review
by the members of the group. Also, PPA commitments for the
upcoming fiscal year were reviewed for their accuracy
(since operating plans are finalized four months prior to
the beginning of the fiscal year) and cross cutting impacts.
0 PE continued to use the decision unit group meeting
format to provide a basis for distribution of per-
manent full-time resources prior to the development of
the Regional Operating Plan. The groups served a valuable
role in reviewing workload models and providing detailed
information to PE to assistin the recommendations to
the Regional Administrator on position distribution.
Once again the concept of all the managers involved in
a single program convening to discuss program needs and
resource constraints was valuable. In addition to pro-
viding one of the bases for PE' s resource recommendations,
organizational problems and issues also surfaced at the
meetings; problems which were addressed during the FY-81
planning process and through the remainder of FY-80.
0 In addition to information gathered in the decision unit
group meetings', the Agency Operating Guidance, workload
models and the Regional Administrator's priorities are
considered in developing the recommendations which the
Assistant Regional Administrator for Planning and Manage-
ment will forward to the RA. Division directors were
satisfied with the openness of the process and clear bases
for the Planning and Management recommendations and were
afforded ample opportunity to present opposing view points.
However, it is worth noting that the Regional Administrator
and Deputy concurred with the P&M recommendation in all but
a limited number of cases.
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Operating Plan Development
Once the position distribution was finalized by the RA, PE,
with Financial Management Branch, coordinated development of
the Regional FY-81 Operating Plan.The operating plan
consisted of budgetary data, planned program accomplTshments,
and a highlight statement for activities planned for all
media. ~~~
0 This year PE evaluated the operating plan input as developed
by several branches against the workload analyses and
compared resources allocated for a specific function
with those actually utilized by the Region for that
function. Where significant discrepancies between the
models and Regional resources were identified, an assess-
ment was made as to the reasons for this and differences
were either justified or revisions required.
RESOURCES MANAGEMENT
Resources Management Project
0 During FY-80 Planning and Evaluation undertook, in conjunc-
tion with the Personnel and Organization and Financial
Management Branches, a Resources Management Project aimed
at assessing internal position and resource management
procedures, streamlining recruitment activities and
developing systems to track FTE use allocation. A~~number
of products of this effort are already in use on a routine
basis, including an automated data system to track Region II
FTE use by decision unit and by division. This report
allowed us to manage resources to the extent that we were
able to utilize 97.5% of our full-time equivalent ceiling
in FY-80. The system provides accurate timely projections
of work year use.
0 Another product of the Resources Management Project is the
Status of Vacancy report to the divisions. This report
is a subset of the biweekly staffing report to the Planning
and Management Division Director and will consist of a
report to each division on the status of each of their
position vacancies; whether an SF-52 has been submitted
recruiting for the position, and what the status of re-
cruitment activity is. Its purpose is to assure that
the program divisions have the control mechanisms in place
to adequately perform their key roles in the recruitment
process.
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In the planning stage at this time is the development
of a divisional Resource Management Book for each division
which PE will coordinate and will include; 1) a list of
on-board staff, 2) the status of vacancies report(to
be periodically updated)"^ 3) position allocation sheets
showing permanent full-time and other than permanent
full-time position allocations, 4) travel and training
budgets for the division for the fiscal year, and 5) the
planned program accomplishment commitment levels for the
fiscal year.These should serve each division with a
good working tool for resources management.
HIRING FREEZE
Planning and Evaluation is also extensively involved in
the administration of the Presidential hiring freeze.
P&E will continue to closely monitor the staffing le~vel
of the divisions, allocate temporary workyears where
appropriate to provide a minimal level of support to
essential programs and, if the need arises, recommend
position transfers or reprogramming among the divisions
in order to maintain minimal staff levels.
During FY-1980 we have, with Personnel and Organization
Branch, maintained strict Regional adherence to the rules
of the freeze and have kept Headquarters apprised of
Regional staffing activities through a monthly freez"e
report which outlines separations and accessions.
ACCOUNTABILITY SYSTEMS
During FY-80 the Agency revitalized its system for planning
and quantitative reporting. Headquarters required the
Region to report on all FY-80 planned program accomplishments
(PPAs), some annually and some semi-annually. At the same
time, PE revamped the internal Region II quarterly accomplish-
ment reporting system. PE provided third quarter and end-
of-year reports to the Regional Administrator on the degree
of accomplishment of Regional programs relative to commit-
ments, highlighting those programmatic areas where planned
goals were not achieved. Reasons for lack of accomplishment
were researched and identified ranging from lack of regional
resources,revisedRegional priorities, to the need for
regulation issuance or Headquarters policy, et al.
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In addition, during this fiscal year, the Senior Management
Report to the Administrator and Deputy Administrator
increased in significance. Region II program managers
have taken this report seriously and have used it to identify
major Regional and national issues. Headquarters has given
substantial attention and follow-up to those issues raised
by Region II in the Senior Management Report.
REORGANIZATION
0 Several regional organizational issues arose during FY-80
requiring programmatic review by PE.Specifically, Planning
andEvaluation analyzed program requirements in light of
Agency regulations, available positions cross-cutting
program impacts and coordination, and Agency and Regional
priorities relating to the development of the Marine and
Wetlands Protection Branch, the creation of the Hazardous
Waste Site Investigation Unit, closing of the Rochester
Program Support Branch, the opening of the Erie Niagara
Field Office and a realignment of enforcement responsibi-
lities within the Region.
Planning and Evaluation worked closely with the Personnel and
Organization Branch in developing programmatic and organizational
option papers for the Regional Administrator and Deputy
RegionalAdministrator on matters of reorganization and were
involved in the staffing questions surrounding formation of
the new branches and units.
REGULATION DEVELOPMENT
0 The number of regulations received by the Region for
review, be it Red Border, pre-Red Border, or Steering
Committee draft continues to grow significantly. We
estimate that during FY-80 the Region handled close to
500 such regulations or regulation related pieces of
information.This, of necessity,limited the actual
participation by both PE and the program staffs in the
review of the regulations and limited our opportunity
for effective comment. However, late in FY-80 Headquarters,
in an attempt to revise the regulation development process,
developed a system which allowed the Region to highlight
those regulations of particular local interest. This
process appears to be headed toward success and will cut
down on the number of regulations requiring intensive
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-4-5-
regional review, allowing stronger regional comments
and increased participation by PE program analysts in the
review process.
As part of our efforts to improve the regulation development
process, we have also identified key staff persons within
the Region associated with each important developing regula-
tion. Thus far, our increased attention to regulation
development has paid dividends in the form of expanded
Regional comments on several major regulations, such as
those developed under Subtitle C of the Resource Conserva-
tion and Recovery Act.
SPECIAL STUDIES/INITIATIVES
As mentioned previously, PE has been involved in FY-80 in a
number of special studies. A discussion of these follows.
0 National Environmental Profiles; PE coordinated and
developed the Region II input to the National Environmental
Quality Profiles. These~profiles encompass all of the
Region II states and graphically display environmental
quality trends and status in all media,concentrating
especially on air quality and water quality. While all
ofthe operating divisions participatedin the development
of the data required for these profiles, PE was responsible
for reviewing the data, disseminating guidance, serving
as liaison with Headquarters' and the states and insuring
that the data were properly presented for the national
profiles. During this time PE also started to lay the
ground work for a Region II environmental profile.
0 Uncontrolled Site Program Resource Analysis; PE staff
were also involved in the development of a workload
analysis or workload model for the uncontrolled hazardous
waste site program i.e., the precursor of the "Superfund"
program.Much effort was expended in developing a model
that would accurately represent the activities and resources
for this program. The analysis developed by PE was not
only reviewed by Region II staff, but was also sent to
Headquarters and was used by the pre-Superfund group in
Headquarters as input to a workload model submitted to
OMB with EPA's request for resources to implement Superfund.
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•46-
0 At the direction of the Regional Administrator and as a
result of the Headquarters' Office of Enforcement review
of our pesticides enforcement program, the PE Branch
undertook a review of the pesticides program in Region II.
This was done to provide the Regional Administrator
with a historical perspective review of the pesticides
program in Region II and identification of the effect
of recent resource decreases on the program. Further
efforts in this area will include an attempt to
modify the workload analyses to limit the effect of non
delegation of the pesticides program in some states on
the regional resource allocation, hopefully resulting
in increased resources for Region II.
0 During FY-80 PE, working closely with the Personnel and
Organization Branch, implemented an engineer-in-training
program. In this program, engineers recently graduated
from college will be rotated througout the Regional Office
in a variety of programs over the couse of 18 months to
two years. Currently, ten positions are allocated for this
effort which spans a wide range of Regional programs
including Construction Grants, Solid Waste, Water Supply,
Superfund, Stationary Source Enforcement, and NPDES activi-
ties.
0 A major organizational and resource question which arose during
FY-80 involved the allocation of resources to the new
effort concerning hazardous waste permitting activities under
RCRA. The allocation of RCRA positions within the Regional
organization, and the organizational and functional
questions driving the allocation decision involved a major
effort by PE staff. While the decision process was similar
to that utilized prior to the development of the operating
plan for position distribution, it was much expanded and
much more sophisticated due to the need to project new
activities in an emerging program.
FY-81 GOALS AND OBJECTIVES
0 Expand Regional accountability systems and the subsequent
linking of State/EPA Agreement and national PPA commitment
tracking.
0 Develop a Region II Environmental Profile and work closely
with the Regional Management Analytic Center in its efforts
to develop statewide environmental status r¥ports.
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Prepare and implement an agenda of program evaluations
including an assessment of state drinking water primary
enforcement efforts, Great Lakes program and pesticide
enforcement resource requirements, and workload model
development efforts. Also develop Regional planning
papers such as an analysis of a future Superfund imple-
mentation program in RegionII.
Maintain required controls under the federal employment
freeze and as necessary reassess position allocations
and propose intra-Regional personnel shifts.
Develop FY-82 position allocation recommendations, parti-
cipatein the preparation of the Region II FY-82 Operating
Plan and an FY-83 budget priorities ranking table.
Maintain overview of Region II participation in the
regulation development process andimprove timeliness
of Regional comments on proposed Agency rulemakings.
Complete implementation of position reductions identified
in the annual planning and budgeting processes.
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PERMITS ADMINISTRATION BRANCH
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Th e Permits Administration Branch (PAB) marked FY-80 with
continued expansion into new programs. PAB now has
responsibilities in varying degrees under four legislative
areas, the Clean Water Act, Clean Air Act, Resource Conservation
and Recovery Act and Toxic Substances Control Act, covered by
six ZBB Decision Units. Its focus has remained administrative
management/compliance tracking surrounding reissuance of
National Pollution Discharge Elimination System (NPDES)
permits, prevention of significant deterioration permits and
New Source Review, but now, in addition, also includes a
similar role in the Hazardous Waste Management Program and
Consolidated Permit Program. Its function continues to be
that of administrative and basic technical/legal support for
major Regional programs and its staff takes active and important
roles in program planning as well as conceiving, designing
and implementing systems and procedures for program management.
The Branch is divided into three sections - the Processing
Section, Air and Environmental Applications Section and
Water Compliance Section. Some of the FY-80 achievements by
the Branch are described below.
AIR PROGRAMS
Prevention of Significant Deterioration (PSD)
0 The Air and Environmental Applications Section (AEAS)
has been deeply involved in virtually every phase of the
PSD program. AEAS chaired approximately 80 meetings
with the industrial community to advise these potential
sources of PSD requirements. The complexity of these
requirements was compounded by the issuance of revised
regulations in the latter part of FY-80 in response to
judicial action in the Alabama Power vs. Costle (No. 78
1006, D.C. Cir.). The Administrator of EPA issued
an administrative order on January 30, 1980, which
basically stated that new sources or modifications
would be PSD affected only ifthey werefoundto be
subject under both the existTng PSD regulation
(June 19, 1978) and the PSD regulations proposed on
September 5, 1979. Pursuant to this order, Region II
re-reviewed approximately 90 cases.Final regulations
were promulgated on August 7, 1980. Approximately 60
sources were re-reviewedunder these new regulations.
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-49-
Bubble Policy
0 During FY-80 EPA devised a policy which allows the
consideration of a group of emission points as though
they were one and includes consideration of economic
factors. This is known as the Bubble Policy. AEAS
became the focal point for promoting this new policy
within Region II and has participated in a number of
meetings/workshops with states and industry. To date
seven industry bubble proposals have been coordinated
and approved through AEAS leadship; these applications
include; 1 can manufacturer, 3 paper/film coating, 2
utilities and 1 chemical plant.The chemical plant
estimates $12 million savings. There are no estimates
for the other sixsources.
Tracking of Compliance Status for Stationary Sources
0 The Compliance Data System (CDS) is the repository
of information pertaining to the status of air emission
source compliance nationally. AEAS is the focal point
for Region II CDS. Early in FY-80 a Division of Stationary
Source Enforcement (DSSE) audit listed several areas in
which improvements in the Regional CDS were requested.
AEAS coordinated a Regional program to accomplish these
goals. Among improvements are:
the training and utilization of contractor personnel
for routing data input and retrieval,
the revision and improvement of coding forms and
retrieval schedules,
- the formulation of standard retrieval packages to
assist enforcement and management programs and the
development of a contractto enter PSD information
into CDS.
Priority Energy Projects (PEP) Tracking
0 The AEAS is the Regional Energy Contact and is responsible
for assuring expedited action and providing Headquarters
with status updates on key energy-related facilities
awaiting permitting actions. AEAS began the development
of a tracking system to accomplish this. Thus far five
facilities have been selected for tracking including
two coal-fired power plants, one resource recovery
plant, one petroleum refinery and one co-generation power
plant.
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New Source Focal Point
0 The AEAS serves as the single point of contact for
industries which request EPA permits for new construc-
tion. The AEAS has led the coordination of these
permitting activities for about twelve facilities
requiring multi-program reviews (e.g., power plants,
sludge incinerators,refineries). Both the public
and industry benefits from AEAS1 coordination of
multimedia permit public noticing and public participation
activities.
WATER PROGRAMS AND CONSOLIDATED PERMITS
New Responsibilities Under the Clean Water Act
0 As anticipated, the enactment of the Clean Water Act
of 1977 (CWA) continued to require certain procedural
changes from those of the Amendments of 1972. To
meet these new requirements, the Water Compliance
Section (WCS~)of PAB succeeded in:
revising the Regional Quarterly Non-Compliance Report
(QNCR)toinclude effluent violators and meetingthe
modified format required by Headquarters;
establishing the procedures whereby notice of the
need for a formal~Administrative Record is provided
by PAB sufficiently in advance offormal hearings
to assure adherence to regulatory requirements;
initiating the use of the new Consolidated Permit
application forms for NPDES (and other)facilities;
- planning a new file system designed to include not
only NPDES but all facility-related information
in one location;
assisting in the implementation of the newly required
Quality Assuance requirements in NPDES permits;
assisting in the development of the Regional Municipal
Management System (MMS) required by Headquarters and
adding Pretreatment modifications to certain NPDES
permits;
- acting as the Regional Coordinator for the Consolidated
Permit Program and initiating the use of facility
Dun and Bradstreet numbers to identify facilities.
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NPDES Program Management
° Utilizing our Local Effluent Data System (LEDS) as a
model, Headquarters has implemented a similar system for
major dischargers in the other nine Regions^They
anticipate the system will be fully operational in early
1981.
0 New York State has been delegated the NPDES for five years.
PAB, in concert with several other branches, participates
in the oversight of this delegation through periodic
audits and reports. These have recently surfaced
problems regarding the State's capability to provide
automated monitolFTng of compliance data for effluents.
PAB is working closely with New York and Regional program
managers to assure adequate monitoring and has developed
a program designed to assist New York in overcoming their
difficulties. This program will be offered to NYSDEC
early in 1981.
0 PAB reviewed 7605 discharge monitoring reports and
detected 3508 having one or more effluent violations.
In addition,almost 400 schedule violations were defected
by PAB. Responses to these violations vary as to originator
and type; PAB itself generates almost 2600 responses
including letters, Administrative Orders, Notices of
Violation and referrals to the Water Enforcement Executive
Committee (WEEC) and/or NYSDEC for further legal action.
Hazardous Waste Management Program
0 FY-80 witnessed the promulgation of a number of new
regulations implementing aspects of the Resource Conser-
vation and Recovery Act (RCRA). PAB coordinated Regional
efforts requiring cooperation from the General Enforcement
Branch, Solid Waste Branch, Information Systems Branch
and the Information Service Center (contractor support).
These efforts resulted in:
processing more than 9000 notifications from handlers
of hazardous materials;
identifying and issuing over 4000 warning letters and
20^ initial Notices of Violation to potential illegal
non-notifiers;
- responding to more than 2000 telephone calls from industry
requesting information on applicability of regulations
to their operations;
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planning and initiating steps necessary to process
Part A and B permit applications for treaters, storers
and disposers of hazardous waste;
participating in planning and overviewing Cooperative
Arrangements under RCRA Subtitle C and with states
aiming toward program delegation under Interim Authori-
zation regulations.
OTHER ACTIVITIES
Facilities Index System (FINDS)
0 PAB continues to contribute to the development of the
Facilities Index System (FINDS) which is designed to
link each facility in the Region with each of the
regulatory environmental programs under EPA and the
states to which it is subject.Enhanced by the inventory
and responses to the Hazardous Waste notification process,
FINDS is now the most complete single file of Regional
facilities subject to one or more of each environmental
program including air, water, toxics, hazardous waste
and others. Organized based upon the Dun and Bradstreet
identification numbers, the FIND System will become
the foundation of the Consolidated Permit Program File
as it gets underway and has been the basis for development
of maps which Regional program managers use to identify
various effluent discharges, emission sources, water
supplies, acquifers, landfills to enable more coordinated
emergency responses and program priority setting.
Citizen Complaints and FOIA
0 The number of complaints from citizens and environmental
groups particularly for water pollution, noted for FY-79
continued in FY-80. This was compounded by over 100
Freedom of Information Act (FOIA) requests directed to
PAB alone. Responses to all FOIA requests were made
within regulatory timeframes. PAB responded to all
complaints within its immediate purview and referred those
of a highly specialized nature to the appropriate Regional
unit for response (i.e., a spill). Approximately 35
out of over 200 remain in an investigatory status.
Administrative and Procedural Matters
0 PAB continued to maintain official records pertaining
to oil spill Findings of Violation and Ocean Dumping
Permits"
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0 Toward the end of FY-80, PAB began transferring many of
its documents onto microfiche"The first phase will
include so called "dead" files, i.e., those which will
not continue to grow, such as, non-filer Affidavits of
Exemption and expired permits. Original documents
will be retained but stored off site in a government
warehouse.
0 Industry Assistance with respect to advice and guidance on
eligibility for Rapid Tax Amortization (RTA) and Small
Business Administration (SBA) sponsored loans for the
purpose of achieving environmental controls and continues
to be a small but important Branch activity. We anticipate
this activity may increase in FY-80 following the issuance
of second round permits for water and RCRA permits for
hazardous waste treatment.
0 Enforcement Management System - Revision and expansion
of the originalRegional Water Enforcement Management
System guide to meet the needs of Headquarters began
in lateFY-80. Using the original guide as a frame,
major addition from all Branches involved in the NPDES
program (Water Permits, Water Enforcement, Information
Systems and Surveillance and Monitoring) will produce
a new guide early in FY-81. This new version will
specify time frames and employees responsibilities from
clerk/typist throughDivisionDirectors for each activity
necessitated by the complex NPDES enforcement program.
0 TSCA Confidentially Clearances - PAB is the Regional focal
pointfor all employee clearance necessary for access to
TSCA confidential material and is the contact with HQ
on all material confidential information.
FY-81 GOALS AND OBJECTIVES
Air Programs
0 Dates for delegation of the PSD program remain uncertain,
although some discussion has taken place. PAB still plans
to work closely with state counterparts when delegation
becomes imminent to assure a smooth transition consistent
with regulatory requirements. To this end, PAB will
organize and conduct seminars for state personnel to
assure their complete familiarity with the newly revised
regulations.
0 PAB anticipates increasing interest and further favorable
reaction to the EPA Bubble Policy (BP) and expects industry
will submit a significant number of proposals in FY-81.
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To meet this heightened interest PAB plans to continue
its support of^the BP by meeting with industry" officials,
participating in general meetings and seminars and actively
proposing the policy to potential users.
0 PAB is committed to rectifying those CDS shortcomings
identified in FY-80 by the second quarter of FY-81.
It is further committed to extending improvements
beyond the minimum necessary so that the CDS will become
an integral and major part of the multi-media/purpose
Regional FINDS.
0 PAB will complete the development of its system for the
tracking of the status of Priority Energy Projects
(PEP)according to requirements set forth by Headquarters.
0 PAB will complete the development of its role as New
Source Review Focal Point. Particular emphasis will be
placed upon coordination of review of multi-media
applications for projected new facilities.
WATER PROGRAMS
0 The long delayed delegation of the NPDES program to
New Jersey is expected to occur by the end of FY-81
or early FY-82~I PAB will aid the planning and transition
process by contributing advice and guidanceto state
counterparts, preparing all necessary documents for
transfer and planning its own state-overview function.
Of particular importance will be the instruction and
guidance of state personnel in use of our ADP systems
for program management support. Subsequent to delegation,
PAB will participate in overviewing New Jersey program.
0 PAB will cooperate with NYSDEC to help modify NPDES
procedures so that the state will be able to meet their
NPDES deleg_ateci_ commitments for timely and effective
enforcement action particulary the handling of Discharge
Monitoring Reports.
0 PAB plans to modify and improve its ADP for NPDES to
include Headquarters' recently revised majors list
and to add Interstate Sanitation Commission (ISC)
and state sampling inspection data to the Local Effluent
Data System (LEDS). The LEDS will then contain all
historical effluent data measured for each facility under
EPA authority or overview in the Region as well as
indicate all violations specifically.
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Hazardous Waste Program
0 PAB plans to participate and advise in the development
of ADP systems to support the activities of the Hazardous
Waste Management Program in the Region. Since the
development of the Headquarters System is lagging and
the reporting requirements are currently placed upon
us, we must implement their system on our own or devise
one on an interim basis at least.
0 PAB will continue to take an active role in the development
and subsequent implementation of a Regional enforcement
strategy for Hazardous Waste.
Drawing on experience gained from the NPDES program,
PAB is in a unique position to provide a number of
services to track performance, identify violations
and advise the program areas of manifest discrepancies,
manifest exceptions and permit violations.
0 RCRA regulations will require the issuance of a Quarterly
Non-Compliance Report similar to that currently required
for NPDES permittees. Again, drawing upon its experience,
PAB will develop procedures to produce this report in
keeping with regulatory requirements.
0 The administrative procedures to be employed in the
effective processing of RCRA permits must be defined.
Drawing upon its experience with the administrative
coordination of permitting activities in various program
areas, the PAB is optimistic that an efficient RCRA
permitting system can be on line by late FY-81.
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GRANTS ADMINISTRATION BRANCH
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The Grants Administration Branch (GRA) provides centralized
administrative support to all Regional grant programs,
including the review and processing of all grant actions
from application through closeout and resolution of audits.
The Branch also provides cost analysis services for grants
and regional contracts, reviews selected grantee and consultant
financial assurance requirements for hazardous waste permits.
Highlights of our activities during the past year are described
in the following sections.
REORGANIZATION
During the past year, GRA planned and received approval for a
major reorganization of the Branch. Under the reorganization,
two grants administration sections are being established with
each section responsible for construction grants and 208
grants on a geographic basis (N.Y./V.I. and N.J./P.R.) and
other grants on a program basis. This is in contrast to the
former organizational structure which consisted of one section
for construction grants, and the second section for all
state and local assistance grants, cost analysis, and financial
reviews. A new Cost Analysis Section is being established
with financial expertise to focus upon audit resolution,
cost analysis of contracts under grants and direct procurement,
and determining applicant compliance with financial requirements
o_f the hazardous waste permit program. The benefits to be
attainedfrom the reorganization are as follows:
0 More effective training, guidance, and oversight
of state delegations.
0 Providing better support to project officers on all
grant programs.
0 Expanded capability in administering the increasing
number of state and local assistance grants with existing
staff.
0 Significant reduction in audit backlog.
0 Better focus for new responsibility on financial assurance
aspects of the hazardous waste permit program.
Although achieving these objectives will take time, the
reorganization has been an essential part of management
improvement in the Branch.
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CONSTRUCTION GRANTS
0 The most resource intensive grant activity for the past
year was devoted to administration of a record number
of construction grant awards before October 1, 1979.
Four hundred and fifty six construction grant actions were
awarded during the year and no funds were lost to the
Region through reallotment. All of the steps in
processing the 240 construction grant actions in the last
few weeks of September were completed in a timely manner.
State agencies in New York and New Jersey rendered
invaluable assistance to the end of the year effort
by assigning State staff to work full time in the Regional
office for several weeks.Improvementsin planning
logistics, staffing, and coordination of this major
end of year effort resulted in a smoother operation.
0 The Branch achieved its payment output commitment on
a monthly as well as an annual basis. This commitment
is monitored closely by Headquarters and Office of
Management and Budget.
DELEGATION OF THE CONSTRUCTION GRANTS PROGRAM
The primary goal for the construction grants program in this
Region is to assist states in assuming total delegation as
quickly as they are able to do so. During the past year,
considerable progress toward that goal was achieved with New
York State. The first phase of delegation to the Puerto Rico
Environmental Quality Board was initiated^Also,a major
effort to staff New Jersey's construction grants program with
EPA employees under the terms of the Intergovernmental
Personnel Act (IPA) was finally completed. Highlights of
delegation activities over the past year are as follows:
0 An entire delegation agreement package was developed
and negotiated with Puerto Rico including program
management and staffing plan, specific delegation
subagreements, and oversight activities.
0 This past year, all of the construction grant review
functions performed by GRA (except audit review) were
delegated, either formally or informally, to the New
York StaTe Department of Environmental Conservation
(NYSDEC). However, due to problems in staffing and
other issues, full performance of responsibilities
by the State is still mixed.
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° Activities to support NYSDEC delegation included
providing training and workshop sessions for State
program administrative staff, developing procedures
with the State, updating specific delegation subagree-
ments, and responding to requests for guidance and
assistance.
0 Formal program and fiscal evaluations were performed
TT January and August of this past year. Reviews
focused upon the State's use of resources in accordance
with the 205(g) grant and the State's overall program
management strenghts and weaknesses. A Headquarters
report on regional oversight of state delegations
commended the Region II approach to program evaluation
as one of the best in the country.
PROGRAM GRANTS
GRA's long term objectives for program grants in the Region
are (1) to achieve better integration of program grants with
the State/EPA Agreement schedule and process, and (2) to
improve program grant cash management.
Work began this past year with an initial effort to establish
a grants calendar for the air program which attempted to
integrate milestones and dates for the grants cycle and the
State/EPA Agreement process. Many problems surfaced through
this initial study, but the effort demonstrated potential for
streamlining, reducing paperwork, improving Federal/State
relations, and a more meaningful State/EPA Agreement process.
A review of prior year grants revealed a significant number
of overdue Financial Status Reports and balances of grant
dollars remaining in prior year accounts. In order to ensure
a proper accounting of prior year grant funds and make the
best use of any remaining balances, we completed the following
actions:
improved monitoring and tracking of overdue FSR1 s
and available balances.
- a substantial reduction in overdue FSR's and closeout
of prior year accounts.
the issuance of improved FSR guidance package to grantees
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STAFFING
0 The position of financial analyst was authorized for
the Branch to assist states in determining applicant's
compliance with financial requirements of the hazardous
waste permit prograriuRecruiting for this position will
bring a new area of expertise to the Region which we
plan to use to full potential. Unfortunately, recruiting
has been delayed due to the hiring freeze.
0 An employee of the Puerto Rico Aqueduct Sewer Authority
(PRASA) spent one year working in the Branch on an IPA
assignment. During the assignment, she performed admin-
istrative and financial reviews of construction grants
from application through final audit. Her work benefited
the Branch and should assist PRASA in improving its
grants management capability.
0 A Branch staff member was on IPA assignment with the
Environmental Quality Board (EQB) in Puerto Rico for six
months. During the assignment, he assisted EQB in
their financial management improvement program and
provided valuable training and assistance in grants
administration.
AUDIT MANAGEMENT
In response to criticism from GAO, Congress, and the Inspector
General (IG) concerning the volume of unresolved audits, the
Agency placed a high priority upon audit resolution during
this past year. With a continuing Regional backlog of
approximately 125 audits and the recognition that audit
resolution is a resource intensive activity, we embarked upon
a crash program which resulted in:
0 Updating information in our computerized tracking system
for all audits received in the Region. Comparisons
with the Office of Inspector General's (DIG) data base
confirms that our data is more current, reliable, and
useful to us.
0 Prescreening of all audits in the Region to summarize
key audit finding in each report. This activity was
essential for us to determine what regional office
should resolve the audit and what audit priorities
should be. Through prescreening, it became clear that
the majority of issues raised in the audit reports
addressed administrative and financial compliance issues
which should be resolved by GRA.
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0 Revising Regional audit resolution policies and pro-
ceduresin order to:
- Centralize more authority and responsibility
for audit determinations in GRA;
- Develop a more understandable, consistent format
for audit resolution letters which clearly sets
forth the Region's determinations concerning each
audit finding and any amount to be recovered;
Develop procedures for using bills for collection
as part of audit resolution.
° Resolving approximately 40 audits covering construction
and program grants.
0 Coordinating procedures with the Puerto Rico Aqueduct
Sewerage Authority whereby a CPA firm under contract
to the Authority will perform the preaward audits of
selected engineeringfirms,and the audit findings will
be used in PRASA's negotiating a final contract price.
Despite these efforts, the backlog of unresolved audits
grew during the year. With grant activity increasing
heavily in May through September, and State delegations
proceeding slowly, a significant reduction in the backlog
must be deferred until Fiscal Year 1981. However, the
accomplishments of Fiscal Year 1980 have provided us with
a framework to manage the activity and focus resources to
achieve better productivity.
FY-81 GOALS AND OBJECTIVES
Reorganization
The primary goal for the Branch as a whole will be to complete
its reorganization. Key activities to be accomplished include;
0 Selecting and assigning staff to new positions.
0 Conducting orientation and training.
0 Developing new procedures.
0 Establishing good communication between staff in new
positions and their counterparts in the Region, states
and local governments.
0 Incorporating the goals of the reorganization into
objectives and performance standards.
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Audit Management
Key objectives in this area for Fiscal Year 1981 will be to
achieve a significant reduction in the Region's audit backlog
and to establish procedures to avoid a reoccurrence of such a
backlog. The following will be undertaken to achieve these
objectives:
0 Assigning one grants management specialist with full-
time responsibility for audit monitoring, coordination
and resolution.
0 Establishing targets for audit resolution and monitoring
progress in achievement targets.
0 Negotiating the delegation of audit resolution activities
to NYSDEC.
0 Updating Regional procedures for audit management.
0 Continuing close liaison and coordination with the Office
of Inspector General.
0 Maintaining data base for audit tracking and providing
management reports on the status of audits.
Hazardous Waste Permit Program
With the addition of a financial analyst in the Cost Analysis
Section, the Branch will be working closely with Regional and
state counterparts to develop the ability to deal with the
financial assurance requirements specified in the RCRA law
and EPA regulations for the hazardous waste permit program.
Activities during this next year will focus upon:
0 Meeting with state and regional offices to develop
a program strategy and tasks to be undertaken.
0 Conducting workshop sessions with the regulated
community and financial institutions.
0 Developing procedures and information packages.
0 Performing selected reviews of compliance.
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Program Grants
Through its reorganization plan, GRA will be realigning program
grant responsibilities between two grant sections. This will
enable the Branch to service the increasing number of program
grants from application through closeout. In addition,
special attention will be placed upon:
0 Undertaking on-site visits to grantees.
0 Improved monitoring and reporting of cash management
under grants (payments, advances, letters of credit,
Financial Status Reports).
0 Eliminating the backlog of Financial Status Reports.
This year, the Branch plans to participate actively with an
effort being undertaken by the Program and Toxic Integration
Branch to achieve better integration between grants and the
State/EPA Agreement^As oneoutput,we hopeto establish a
grants calendar to coordinate scheduling requirements of both
grants and SEAs, define and assign responsibilities for each
milestone in the calendar, and provide for more meaningful
program grant evaluation. This will take more than one year
to actually achieve, but we hope to have the calendar designed
for use with the FY-1983 SEA process.
Construction Grants
The primary goal for the Branch in the construction grants
program is to participate in developing and implementing a
Regional strategy for effective management and oversight of a
program in which day-to-day activities will be performed by
delegated states. This effort will build upon the considerable
amount of work which has already been done at the local,
state, Regional and Headquarters level to develop a 1990
Construction Grants Strategy.
As part of the strategy, we will be working with states to
define roles and responsibilities of each level of government
under full delegation, measures of performance, and program
support needs. This is a long term objective that will be
initiated this year and will parallel developments in
Headquarters.
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Construction grant activities of the Branch during this year
will also focus upon theseImmediate needs:
° Ensuring full and successful delegation of grants
administration functions in New York and New Jersey.
This will involve completing the update of both
delegation agreements now two years old or more,
andfinal negotiation of all subagreements, providing
training and policy guidance, continued coordination
of actions among states, corporations, grantees and
the Region, etc.
0 Monitoring delegation performance through formal
program and fiscal evaluations and other monitoring
techniques. In New York, we will build upon the
formal mid and end of year reviews performed last
year and will continue to stress overall State per-
formance, management systems, procedures and capabili-
ties. An important new element will be to attempt
to define measures of performance to evaluate state
performance in meeting administrative program
objectives.
0 Performing direct administrative functions for New
Jersey and Puerto Rico until these States are
fully responsible for program performance. This
represents a significant workload which impacts
accomplishments in other areas.
0 Participation in some innovative approaches to
address existing weaknesses in the program, be
including:
- Third party management for small communities;
Certification of large grantees;
Improving financial options and financial
management capabilities of grantees; and
Adapting management information systems to
meet needs of delegations.
GRA has already begun to work closely with a consultant on a
special project to develop financial management guidance and
training material for grantees.Material is being designed
to meet local government needs in managing grants and in
ensuring financial self-sufficiency when POTW1s are operational,
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FACILITIES AND ADMINISTRATIVE MANAGEMENT BRANCH
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During FY-80 the Facilities and Administrative Management
(FAM) Branch concentrated on expanding activities to meet
growing needs. A major accomplishment was the reorganization
of the Branch into three sections-Facilities Management,
Administrative Management, and Contracts Management—to
effectively streamline activities within the Branch. The
Contracts Management Section highlights a function within
the Regional Office to address EPA's growing emphasis on
contracting, of particular importance in view of the recently
passed Superfund legislation. This reorganization is a
basic example of the trend of growing capabilities which
have been developed in the Branch. Presented below are the
significant activities which were accomplished during the
fiscal year which also help to demonstrate an enhanced
capability.
FACILITIES MANAGEMENT
Region II holds title and has accountability for the third
largest EPA-operated facility in the nation consisting of six
buildings on 15 acres of land in Edison, New Jersey. The
buildings and grounds provide operations space for the activities
of the Surveillance and Analysis Division, two R&D components
of ERC-Cincinnati-the Oil and Hazardous "Materials Spills
Branch and Storm and Combined Sewer Section of the Municipal
Environmental Research Laboratory and the Headquarters
Environmental Response Team. Expertise of the highest level
in the fields of macro and micro-biology, physical and
bacterial chemistry, and special instrumentation capability
is available at this facility. The Facilities Management
Section's aim is to furnish the operating programs with
functional work space and those auxilliary administrative
services required to facilitate their efforts.
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FACILITY OPERATIONS
0 Contractual Services
Maintenance, operation, and support services for the
Edison Facility were continued this year by the Bendix
Corporation at a very satisfactory level. This service
has been so satisfactory that both management and pro-
gram staffs have recommended and requested substantial
increases in the scope and complexity of the contract.
These changes are under study and will be included in
the next Request for Proposals due to be issued in mid-
mid-1981.
As a front runner in this type of action, Region II
provided advice and information on the contract, not
only to other EPA installations, but also to the Depart-
ment of Agriculture headquarters staff and itsfield
stations at Ames,Iowa, and Plum Island, New York.
0 Architect/Engineer Selection Board
Because of our numerous and diverse activities in
buildings and facilities programs, the Planning and
Management Division participated in the Headquarters
based A/E selection process. Over 35 proposals were
studied, reviewed and evaluated in completing the
selection process.
0 Training
Space, utilities and services were provided for the
National Environmental Repsonse Team and the Particu-
late Emissions Program training programs. Both involved
not only such in-house services as close circuit
television and audio-visual presentations, but also
negotiations with GSA for use of their buildings and
grounds on a continuing basis.
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REPAIR AND IMPROVEMENT PROGRAM
0 Master Plan Implementation
Several major steps were taken this year towards the
goal of making the Edison Facility a prime EPA opera-
tion. The first was the initiation and completion of
work on both phases of a new sanitary sewer system.
Our system is now complete and fully operational with
many years of safe, efficient service anticipated. The
second and third steps were the beginning of the design
work for a new heating plant and basic electrical"
entrance service for the EPA enclave. Current planning
calls for construction of the projects during Fiscal
Year 1982.
0 Other Project Activities
Efforts in this past year also concentrated on the fol-
lowing specific activities:
- Completion of space renovations in the basement of
Building 10 to house the National Environmental Re-
sponse Team
- Completion of the Gas Chromatograph/Mass Spectrometer
Laboratory construction
- Design and bid of the Electron Microscope Darkroom
- Design and bid of the HVAC cooling tower replacement
- Preliminary determination of depth and scope of the
major roof repair and resurfacing of Bay F, Building
209
- Preparation of specifications for the reactivation of
Building 5 and the remainder of the basement of Building
10 to house expanding activities.
0 Building and Facilities Budget Process
In conjunction with the Surveillance and Analysis Division,
the Facilities and Administrative Management
Branch initiated for the first time, a FY-1982 Repair and
Improvement budget submission that included construction
and renovation projects dictated by program requirements
for more highly technological laboratory and field
activities, along with traditional physical plant and
facility projects. A combined budget of $2,670,250
was formulated.
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Significant projects in this budget which will be
required to carry out EPA's growth in the handling
of hazardous wastes are as follows:
- Toxic Chemical Handling & Preparation Laboratory
- GC/MS Laboratoy Enlargement
- Special Labware Preparation
- Biotoxicity Laboratory
- Tissue Culture Laboratory
- Clean Room-Metals Analysis
- Clean Room-Metal Sample Preparation
REAL PROPERTY
The Edison Facility was the subject of an in-depth GSA
property utilization survey during the fiscal year.The
results showed that EPA, with its on-going and developing
programs and Master Plan activity, is fully justified in
maintaining possession of its property.
With the results of this survey in hand, it is now appro-
priate to proceed with a request to (GSA) for additional
property to satisfy our need for a safe helicopter opera-
tions area and a large vehicle staging area to cover
ORD's existing need which is now met by utilization of
GSA property.
CONTRACTS MANAGEMENT
During this fiscal year, the Facilities and Administrative
Management Branch continued to develop a capability in the
area of contracts management. Regional needs were effec-
tively met through a growing assumption of responsiblity
in the handling of all Regional contract activity. Al-
though operating under a delegation of authority of $100,000,
the Region handled all actions as Contract Negotiator, regard-
less of dollar amount. Illustrations of this activity are
as follows:
0 The award of numerous contracts to support activities
in conjunction with the Hudson River Power Case hear-
ings. This included the award of a contract for steno-
graphic services and the award of a contract for expert
technical services to Temple, Barker, and Sloane, Inc.
In addition,several smaller contracts were let for
expert witness services.
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0 An award of a competively bid contract to the renowned
Mt. Sinai School of Medicine's Environmental Sciences
Laboratory under the direction of Dr. Irving Selikoff
for the development and continuation of a Medical
Monitoring Program for regional employees exposed to
hazardous and toxic substances.
0 The award of a minority Section 8(a) procurement to
Uniworld Group, Inc., for the publication of legal
notices.
0 The award of a contract under the auspices of the
Javits Amendment to the Wagner O'Day Act for on-site
Administrative Support Services.
0 The award of a contract for 201 Public Participation
training to Barry Lawson Associates.
0 A technical support contract for advice on matters
relating to the implementation of the Region's flood-
plain/wetland/urban impact policy as it pertains to
New Jersey's Hackensack Meadowlands.
0 The takeover of issuance of Directives of Work for
Environmental Impact Statements and assessments for
RegionII under a previously awarded Headquarters
contract with Wapora, Inc.
0 The preparation of a Request for Proposal for a non-
competitive procurement with Lockheed Missile and Space
Co., Inc., for the further development of technology
involving the micro-wave plasma detoxification of
pesticides.
Branch Resources Become Dedicated to Procurement Activity
0 The wide variety of activity illustrated above and the expec-
tation of large-scale contracting under Superfund legislation
led to a complete analysis of staffing needs in the area of
procurement. The growth in this area called for the involve-
ment of a professional at the Section Chief level who have
the expertise to handle complex, environmentally related
contracts. Thus, the Contracts Management Section, mentioned
above, was created as a means to address increasingly complex
procurement problems. Recruitment at the GS-13 level was
begun late in the fiscal year and has been successfully
completed.
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OCCUPATIONAL HEALTH AND SAFETY
Employee Medical Monitoring Program
In conjunction with the Surveillance and Analysis Division,
the Facilities and Administrative Management Branch concen-
trated efforts on developing a Medical Monitoring program
for employees who may be exposed to many hazardous and toxic
substances. After competitive bidding, an award was made to
Mt. Sinai School of Medicine in New York City.
Actual performance of the contract is being carried out by_
doctors and scientists of Mt. Sinai's Environmental Sciences
Laboratory which is under the directorship of Irving J.
Selikoff, M.D., who is nationaTTy renowned in the field of
Occupational and Environmental Health. The Environmental
Sciences Laboratory has long been involved in all phases of
scientific and medical problems that are posed by environ-
mental and occupational exposure to toxic agents. The Labora-
tory is involved in environmental and occupation disease
research. It maintains the capability for analysis of both
environmental and biologic samples in terms of the concentra-
tions in animal tissues.
Along this line, Mt. Sinai is particularly interested in the
area of exposures to multiple toxic agents, unique among our
EPA employees.
The Scope of Work of this contract was based on our review
of EPA guidelines with Regional modification which we felt
would enhance a Medical Monitoring program. The Scope includes
review of employee's medical and toxic exposure history,
physical examinations, laboratory tests, review of tests and
reports, follow-up consultations, and determinations as to
whether or not any abnormal conditions which may be discovered
are occ'upationally related. An important distinction between
this program and others we have reviewed with EPA is that
the contract with Mt.~~Sinai addresses the long range
chronic effects of EPA occupational hazards, rather Than
merely the acute effects addressed by others.
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Our program has been so - successful that the Headquarters
Environmental Response Team, which is located at Edison, has
already been included under this program. It is also antici-
pated that the R&D components located at Edison will join
us.
GC/MS NOISE SURVEY
An area of activity to be noted here is a question which
arose regarding possible hazardous noise levels in the new
GC/MS laboratory. This problem arose as a result of the
Region's comprehensive employee medical monitoring program.
It was found, after a professional analysis by Bolt, Baranek,
and Newman, Inc., that harmful noise levels are not present
in the Laboratory, but did show that certain design changes
could be made in future labs that would contribute to employee
comfort and productivity. An annual noise survey is planned
for this laboratory to ensure that as the equipment ages,
noise levels do not increase to harmful levels.
DECONTAMINATION OF THE PESTICIDES LABORATORY AND DISPOSAL
OF HAZARDOUS WASTES
With the closing of the Pesticides Laboratory at 201 Varick
Street, New York City, Region II was faced with the problem of
disposing of a large quantity of hazardous wastes and decon-
tamination of the laboratory to make it safe for other uses.
In conjunction with the Surveillance and Analysis Division,
the Facilities and Administrative Management Branch ensured
proper disposal and decontamination under an ORD contract
with Rockwell International, Inc. An analysis of pesticides
residues was conducted by our Regional Laboratory which
showed that the laboratory is essentially free of pesticides.
These results enabled us to return this space to GSA in a
hazard-free condition.
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ADMINISTRATIVE MANAGEMENT
In the late fall of 1979, EPA faced difficult resource con-
straints, particularly in the area of administrative services
and expanding contracting requirements in the Regional Office.
Since FAM staff were familiar with OMB Circular A-76, which
encourages contracting out commercial functions in the private
sector, and had noted the emphasis EPA placed on contracting
out, the Branch developed a Scope of Work for various adminis-
trative support services, including mail operations and
messenger service, motor vehicle management, maintenance and
operation of a duplicating system, and miscellaneous labor
services.
Using a rather untried concept applying the legislative
authority contained in the Javits Amendment to the Wagner O'Day
Act (Public Law 92-98, as amended), the FAM Branch sought to
apply the provisions of this Public Law, the goal of which is
to provide jobs for severely handicapped people and promote
their placement in industry. The efforts which began in
December resulted in the issuance of a Request for Proposal
to the Federation of the Handicapped, a local non-profit
agency, on June 3, 1980. Actual contract performance began
on September 1, 1980. The contract serves as a training and
job experiencefors¥ven handicapped individuals.
It should be noted that under the auspices of the Javits
Amendment to the Wagner O'Day Act, government agencies are
authorized to negotiate directly with local nonprofit agencies
for the handicapped. Under the Act the President appoints
members to a Committee for Purchase from the Blind and Other
Severely Handicapped, which has designated the National
Industries for the Severely Handicapped (NISH), a central
non-profit agency as the coordinator for this program. NISH
facilitates the establishment of Government contracts with
local handicapped agencies. Since it is non-competitive in
nature, a contract under this Act can be renegotiated each
year with the same nonprofit agency.
This resulted in these "first's" for EPA;
1) the first contract award under the authority of the
Javits-Wagner-O*Day Act,
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2) the first demonstration project in a government agency
for administrative support services that may soon be-
come a model for joint government/rehabilitation
facility cooperation for the mutual benefit of the
entire handicapped community and government agencies.
WORD PROCESSING SURVEY
During the summer of 1980, the Facilities and Administrative
Management Branch conducted a word processing survey to
ascertain the nature of our requirements Regionwide so that
a word processing system could be designed to service the needs
of the Region as a whole. The results indicated a critical
need for eleven additional word processors with varying
capabilites which were placed Regionwide. The choice of equip-
ment was based on the specific needs of each division/branch
and the necessity for the Region to communicate with Head-
quarters through their new Lexitron word processing systems.
The installation of two models of Lexitron equipment has
greatly enhanced the capabilites of the Region in text editing
and word processing areas.
COPIER SURVEY
During the summer of 1980 a survey was also conducted to deter-
mine photocopying requirements in the Region. Equipment
which was leased from GSA had proven to be obsolete, ineffi-
cient, and costly. In September, new Xerox equipment was
installed on all floors occupied by EPA with automatic feed,
collating, stapling, and reduction capbilities. It is antici-
pated that the new equipment will result in $5,000 a month
in direct cost savings, with the added benefit of quicker
and better reproduction.
SPACE MANAGEMENT
A FY-1980 goal was to complete all space moves which were re-
lated to the major Regional reorganization which had taken
place during the previous year.A continuing plan of renova-
tion, turnaround moves, and final relocations resulted in
completion in September. This goal was realized after two
years of effort from conception of design to final construction.
These moves have helped to ease previously poorly designed
and cramped quarters and have provided better working conditions
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for Region II staff. Additional space was also acquired
from GSA on the 4th and 7th floors to provide continued
expansion for EPA programs, in particular, RCRA and Uncontrolled
Hazardous Waste Site activities.
LIBRARY SERVICES
During this year the library continued to pursue an active out-
reach program to the public, in addition to providing research
assistance to Region II staff. A highlight of the year was a
highly successful Toxics Information Seminar which included
presentations by national and regional EPA staff, industry and
public interest groups, and the National Technical Information
Service. An audience of approximately 115 people attended.
In addition, the Regional Library provided advisory/consulta-
tive services to the environmental programs of Melbourne,
Australia; India; Venice, Italy; and Greece.
FY-81 GOALS AND OBJECTIVES
FACILITIES MANAGEMENT
0 Development of an enhanced Scope of Work for the Opera-
tions Contract which will includetheInitiation of
activities to provide Laboratory and Field Auxiliary
Services functions, such as, "bench-ready" glass-ware
supplies, maintenance of gas chromatograph/mass spectro-
meter equipment, provision of safety operational services,
and servicing and staging of self-contained breathing
apparatus (SCBA).
0 Real property acquisition to enable the establishment
of airborne support activities and development and
staging of the Office of Research and Development
hazardous materials mobile support vehicles.
0 Continuing implementation of the Master Plan via the
Repair and Improvement Program (Phase II of the Sanitary
Sewer System, completion of heating plant and electrical
distribution design.)
0 Completion of construction on the Electron Microscope
Darkroom and HVAC Cooling Tower.
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0 Completion of the resurfacing of the roof for Bay F,
Building #209. ~~
0 Increasing delegation of project authority for Repair and
Improvement functions from Headquarters Facilities and
Support Services Division in line with increasing
Regional capabilities.
0 Cooperative Work-Training Program activities were renewed
this year with the New Jersey Institute of Technology
in an effort to supplement our engineering staff staff
capability. It is hoped that by early 1981 we will
have an active on-going program in the areas of
mechanical, electrical, and civil engineering.
CONTRACTS MANAGEMENT
0 Obtaining an extended delegation of authority from
Headquarters Procurement and Contracts Management
Division.
0 Participating in the EPA program for Regional contracting
related to Superfund activity.
0 Providing further training to Region II Project Officers
on contracting procedures.
0 Developing a Contracts Management Guide outlining Regional
responsibilities and procedures.
0 Developing emergency contract procedures to provide
immediate supportin lifethreatening situations.
OCCUPATIONAL HEALTH AND SAFETY
0 Expansion of the Medical Monitoring Program to include
employees at 26 Federal Plaza and those in R&D com-
ponents .
0 Changing the Medical Monitoring Program to provide on-
site examinations at Edison, New Jersey.
0 Establishment of an employee preventive health program
and health facility at Edison, New Jersey.
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Development of a contract for continuing, safe disposal
of hazardous laboratory wastesT
An analysis of the Region's methods of handling of
toxic materials and development of Regional procedures
in this area.
ADMINISTRATIVE MANAGEMENT
0 Expansion of space for the Permits Administration and
Information Systems Branches of the Planningand Manage-
ment Division.
0 Consolidation and expansion of space for the Enforcement
Division.
0 Support activities relating to the establishment of a
field office in Buffalo, New York.
0 Obtaining additional space from GSA to meet growing needs.
0 Further development of procedures under the Administra-
tive Support Services Contract to expand services
provided.
0 A telephone usage analysis to determine equipment require-
ments with a view towards updating and reducing costs.
0 A review of property functions for increased control and
utilization.
0 Development of standard programs for use with the Lexi-
tron Records Management System for basic record-keeping
functions such as driver license control, key control,
procurement tracking, motor vehicle reports, and furni-
ture inventory"!
0 Public seminars conducted by the Regional Library featuring
information resources in areas such as radiation,
noise, and water supply.
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FINANCIAL MANAGEMENT BRANCH
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During FY 80 the Financial Management Branch (FIN) placed
special emphasis on several key activities including cash
management, zero based budgeting and workload analysis, and
internal review and analysis of grant accounting and disburse-
ment functions. In addition, FIN realized significant
accomplishments in maintaining a high level of accounting
productivity and accuracy, systems refinements and budgetary
reviews.
FIN's specific accomplishment and goals are presented below:
BUDGET AND REPORTING
Status of Allowances
0 The summary below presents the status of operating
funds at the end of FY 80. From the total operating
funds available to the Region for obligation and
commitment without specific Agency or legislative
stricture .05% remained unused on September 30, 1980.
Achieving this obligation levelrequiredextensive
and precise monitoring and analysis of our budget
status.
FY 80 Operating Allowance $52,809,400
Obligated 52,328,015
Committed 206,100
Balance Available 275,285
Funds with Program Restrictions 247,531
BALANCE OF UNUSED FUNDS 27,754
(.05%)
FY 79 (.2%)
Construction Grant Funds
0 For construction grants the total allowance
available for obligation was $1,302,767,679 of
which $740,948,746 was obligated. The remaining
$561,818,933 remains available for further
obligation.
Buget Submission
0 The FY 81 budget was prepared in accordance with
the Agency's Planning and Budgeting Manual. The
submission was prepared in two segments. The
June submission consisted of a highlight statement,
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resource allocation summary, individual program
element plans without quarterly projections, change
requests and projected program accomplishments.
The August submission consisted of individual program
element plans by quarter, based on revised targets
and change request forms.
0 This fiscal year, we were requested by the Deputy
Assistant Administrator for Management and Agency
Services, to perform a special analysis of two major
decision units: R551 Support Sevices and R557
Administrative Management to determine ourFY 81
requirements. The result of our review indicated
we were short $1,611,100 under Decision Unit R551
and $41,400 under Decision Unit R557. In our
presentation, we prioritized all funding items for
which we requested additional funds and provided
documentation to support our request. We received
$925,000 under decision unit R551 Support Services.
0 The FY 81 Presidential targets were insufficient
to meet our fixed operating costs. As a result,
it was necessary to submit in October overtarget
requests for payroll, contracts, interagency agree-
ments and equipment as follows:
- Fixed Payroll Costs $1,171,100
- Contracts and Interagency Agreements 1,018,100
- Equipment 676,900
- Funding for initiative supported by
Headquarters' program office 1,242,100
Total overtarget requests $4,108,200
Appropriation Structure
Starting in FY 80 Congress approved several changes
to the EPA appropriation structure. In prior fiscal
years, we operated under four major operating
appropriations. This fiscal year Congress authorized
only two appropriations as follows:
0 Salaries and Expenses
The Salaries and Expense appropriation was established
to fund in-house requirements which were included
under the four major operating appropriations.
This includes payroll compensation and benefits,
traveTTTraining, equipment, regional support tunds
and ADP contracts.
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0 Abatement Control and Compliance
This appropriation includes extramural requirements -
primarily contracts, grants and interagency agreements
which were previously included under the Enforcement
and Abatement Control Appropriation.
In addition, the Budget Operations Division established
a crosswalk within each appropriation to provide guidance
as to which Financial Management System (FMS) object
class code could be charged against a particular RMIS
code. (Resoure Management Information System). This
has been very helpful to insure that obligations are
appropriately charged to the correct object class and
program element based on the planned budget.
Policy and Procedure Memorandums issued on the Control
of Allowances and Resources placed the following
restrictions on our FY 80 operating appropriation:
0 Funds could not be transferred between appro-
priations without approval by the Budget
OperationsDivision at any amount.
0 The level of central control within each
appropriation is the media level.
0 The House and Senate Appropriation's Sub-
committee limited the transfer of resources
between appropriation or the transfer between
program (media) to no more than $250,000. Any
transfer of resources in excess of $250,000
must be reported to the Congress prior to the
implementation of such transfer.
0 Allowance holders had the flexibility to transfer
resources within media except where there were
stipulations prohibiting these transfers.
Control Planning
In accordance with Policy and Procedure Memorandum |17 for
Extramural Procurement Plan Development and Implementation,
we developed and submitted our first FY 80 Annual Extramural
Procurement Plan for the Region.The plan was prepared in
two parts as follows:
° Part I represents Headquarters contract actions
which will be submitted to the Procurement
and Contracts Management Division (PCMD) for
contract administration, review and processing
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0 Part II represents those interagency agreements and
contract actions which will be administered in the
Region II by Facilities and Administrative Support
Branch
The purpose of this plan is to assure an efficient procurement
process and serve as the basis for effectively controlling
FY 80 commitments and obligations.
Program Grant Review
0 A joint effort had been undertaken by GRA and FIN
to develop internal monitoring and reporting pro-
cedures to assure the timely receipt and processing
of financial status reports (FSRs), final grant audits
and settlements of cash advances. In conjunction
with this review the Budget and Reporting section
undertook an internal review to determine which program
grants were currently fiscally active and those which
had no unpaid balances at the end of FY 79 and were
pending fiscal audit review.
0 Our review included the following considerations:
- verification of unpaid balances
- correction of grant documents numbers
- ensuring uniformity of'grant names
- establishment of separate files for active
and inactive grants and confirmation of
receipt of Financial Status Reports (FRS)
for those grants whose budget period
had expired.
0 In those areas where we were missing FSRs or a
deoblig'ation action was required as a result of
final cost reports, we requested GRA to take the
necessary action to close out the grants. In the
future we will review the status of all program
grants on a quarterly basis and take advantage of
any available balance under the grant for future
obligations.
ACCOUNTING OPERATIONS
Productivity
FY 80 Accounting Section productivity statistics for our
key activity indicators are as follows:
0 Invoice Volume - 10,450 invoices were processed
requiring 1,250 U.S. Treasury Schedules amounting
to net disbursements of $668,969.176.93.
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° Travel Vouchers processed exceeded 260 per month
or approximately 3 100 for the fiscal year.
0 Obligations processed exceeded 260 per month or
approximately 3,100 for the fiscal"year.
0 Obligations processed exceeded 12,500 and amounted
to approximately $766,336,928.63.
0 Transaction Volume exceeded 40,000 line items of
input to the EPA Commitment Accounting System, or
a monthly average in excess of 3,300 transactions.
Quality Control
Throughout the year Headquarter's Financial Management
Division monitored the realiability, timeliness and integrity
of data generated by the financial management system and
issued quarterly reports on quality control and internal
review. In the final September 1980 report, Region II ranked
exceptionally high as indicated below:
0 Transaction Accuracy Rate - Region II achieved the
Agency's highest accuracy rate of 99.8%. The
Agency's average accuracy rate was 95.9% with a
low of 84.6%.
Region II's total transaction volume for FY 1980
exceeded 40,000 records with only 80 rejected
transactions.
0 Accounts Receivable - Headquarter's review of
accounts receivable balances in the Agency's
general ledger and subsidiary ledgers indicated
vast discrepancies for most regional offices.
Region II however, was one of three regional
offices for which no discrepancies were reflected.
0 Prepaid Expense Account - Balances in this account
represent differences between payments reported
to the U.S. Treasury on the SF 224, Statement of
Transactions, and payments posted into the
accounting system. We are pleased to report that
Region II is the only office with a zero balance
in this account. Other offices reflected an
average balance of more than $1 million with an
Agency high balance of $12 million.
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Cash Management
During FY 80 FIN made significant achievements in the area
of cash management, and we would like to highlight the following
accomplishments:
0 Accounts Receivable
With continued emphasis being placed on strong cash
management practices special efforts were devoted
to our accounts receivable activity. Billings and
collections for FY 80 far exceeded FY 79 levels in
both number of billings issued and total dollar
volume. An analysis of FY 79/80 accounts receivable
activity is as follows:
FY 79 FY 80
Beginning Balance $ 33,405.27 $ 15,711.53
Billings 108,907.14 1,159,161.64
Collections (129,600.88) (561,796.85)
Outstanding Balance $ 12,711.53 $ 610,076.29
During FY 80 FIN issued 119 bills for collection in
comparison to 42 bills for collection issued during
FY 79. This substantial increase is attributed to
accounts receivable activity in the areas of Reim-
bursable Billings, IPA Payroll Costs, and Construction
Grant Audit Exceptions. An analysis of the FY 80
outstanding balancesTs summarized below by general
ledger account:
General Ledger Description Amount
Account
110.1 Reimbursement, Federal! $256,882.40
111.1 Reimbursement, Non-Federal 35,715.00
110.9 Reimbursements, Unbilled 6,688.23
110.2 Refunds, Federal 5,548.72
111.2 Refunds, Non-Federal2 305,241.94
$610,076.29
1) Includes Federal Emergency Management Assistance
and Coast Guard reimbursement
2) general adjustments for overpayments to vendors,
disallowed costs for grantees as defined through
audits, et al
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Program Grant Financing ^
0 Cash Advances - A review of outstanding program
grant advances was undertaken to determine their
validity and liquidate or reduce excess advance
balances where possible. During the third quarter
of the fiscal year alone, outstanding advances to
grantees were reduced by more than $300,000.
0 Letter of Credit - during FY 1980 we continued
efforts to effectively monitor grantee letter of
credit practices. FIN participated in a U.S.
Treasury survey which required the completion of
Status of Federal Funds Reports for Letter of
Credit Nos. 68-13-0200, New Jersey Department of
Environmental Protection and 68-13-0202, Virgin
Islands Department of Conservation and Cultural
Affairs. These reports are an invaluable tool
of the U.S. Treasury in monitoring grantee drawdown
and disbursement practices.
We were also visited by Mr. Miguel Farrington of
the Virgin Islands Department of Conservation and
Cultural Affairs. The main purpose of Mr. Farrington's
visit was to discuss their responsibilities as a
grantee on letter of credit and to ensure their '
recordkeeping and reporting practices promoted
effective control and monitoring over their letter of
credit activities. To assist the Virgin Islands, we
provided them with copies of the letter of credit
history record and summary forms utilized by our office.
Travel Advances
Each fiscal year end FIN issues procedures for the
recoupment of outstanding travel advances held under
the authority of blanket travel ordes.
At the end of August 1980, outstanding travel advances
exceeded $70,000. During the month of September however,
approximately $40,000 was collected representing a_
recoupment of more than 55% of the August 1980 balance.
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An analysis of FY 80 travel advance activity as*of
September 30, 1980 is as follows:
Total Advances Issued $321,258.22
Less: Recoupments $234,379.93
Repayments 41,442.06 275,821.99
Total Outstanding Advances $ 45,436.23
0 Imprest Fund Closeout
As a result of closing the Rochester Field Office, FIN
took immediate action to cancel the Rochester Imprest
Fund. This entailed securing a final no-check reimburse-
ment voucher from the Rochester Office which was forwarded
through FIN to the HQ's Policies and Procedures Branch for
follow-up action with U.S. Treasury. The Rochester Field
Office maintained an imprest fund of $100.
ANALYSES AND REVIEWS
Construction Grants
0 In the past, FIN continually received 50% to 75% of
a single month's construction grant payment requests
within a few days prior to the month end payment
cutoff. Following an analysis of the pattern of
receipt of construction grant payment requests and
a review of existing procedures, FIN developed a
series of guidelines and suggestions for streamlining
the processing of these payments.These guidelines
were discussed with personnel from the Grants Admin-
istration Branch and resulted in improved and more
timely processing of construction grant payment requests.
0 A detailed outlay history report on selected con-
struction grants was prepared by FIN to assist the
Office of Management and Budget in evaluating the
impact of grant amendments on construction grant outlay
patterns. This report included ten grants with an
initial award exceeding $1,000,000. Outlays were
reported by fiscal year, from FY 73 thru FY 80.
Program Grants
0 During FY 80 a considerable amount of effort was devoted
to reviewing current practices in accounting for program
grant activity as a result of researching various dis-
crepancies that were detected in our program grant files.
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After meeting with GRA staff specific procedures were
developed to effectively and accurately account for and
monitor our program grant activity- Specific areas
requiring attention included the following:
0 Receipt and follow-up of Financial Status Reports (FSR).
0 Accounting for unliquidated or unpaid obligations.
0 Timing of amendments for deobligation and/or carryover
of unobligated balances.
0 Accounting for grants with multiple programs and/or
multiple budget periods.
0 Reporting and drawdown requirements for grantees on
an advance payment basis.
Letter of Credit
0 A review of our letter of credit files was performed to
ensure that complete and accurate letter of credit history
data was maintained fof~ each letter of credit grantee.
This included revising existing letter of credit history
records to include cumulative information on total amounts
authorized, total drawdowns and balances available.
In addition, detailed records were established for indivi-
dual grants within a single letter of credit and a letter
of credit summary form was developed to reflect detailed
and cumulative information on all letter of credit amend-
ments issued.
Specific Purchase Orders
0 A review of open specific purchase orders was undertaken
in an effort to expedite payment on all prior year accounts.
After extensive research and examination of obligating
documents, receiving reports and invoices from FY 73 to
FY 79 we were able to process over 200 prior year invoices
for payment. As a result of this review, FIN met with
Facilities and Administrative Management Branch personnel
established more effective procedures to assure timely and
accurate processing of open specific purchase orders,
undelivered items and outstanding receiving reports.
Disbursement Activity
0 In an attempt to resolve some of the problems encountered
with disbursing activity at month end, FIN developed a
process whereby current month Treasury schedules would be
prepared immediately after the prior month's payment cutoff
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date. This method provided us with an additional 7 to 8
days for processing payment schedules in lieu of'postponing
schedule processing until the first workday of the current
month.
ACCOUNTING SYSTEMS
The following is a summary of systems accomplishments during
FY 80:
0 In March 1980, for the first time in FIN history, all
month end closeout activity was completed by the 1st
workday of the succeeding month. In addition, all
Headquarter's month end reports were accessed and re-
ceived by the 3rd workday of the month. Special
acknowledgement was received from Marcus Pugh, Director,
Headquarter's Financial Management Division, for FIN's
outstanding efforts in mid-year closing.
0 Additional reports were developed which facilitated
the permit application fee suspense account reclassifi-
cation process. These reports consisted of one report
for original and second round permits that have been
issued and a second report listing non-issued permits.
In the past the reclassification process was extremely
time consuming and tedious and involved the review of
the Status of Permit Development Report containing more
than 12,500 permit records dating back to FY 71.
0 The SF-224 Appropriation Master File update program was
modified to allow for file updating when the cumulative
SF-224 report is requested. In addition, this program
automatically generates the Cash Reconciliation and
General Ledger Reconciliation Reports eliminating the
need _.for separate report requests.
0 The SF-224 Appropriation Master File and the Construction
and Program Grant Master Files have been modified to
include processed dates for all transactions input. This
change allows for proper reporting of prior month actions
or adjustments that are processed in the current month.
0 The Document Control Edit which numbers, identifiers,
for all accounting documents, was modified to edit batch
control data. This includes a listing of all batches
input and associated errors detected in the total card
count or dollar amount for each batch.
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0 Effective pay period No. 16, ending May 3, 1980, Region II
began producing employee payroll statements locally for
all designated agents whose time and attendance cards are
processed by our office.
0 A new computer program was developed to automatically gen-
erate construction grant accounts payable records and
reversal entries.This operation eliminated the manual
coding and reversal of approximately 150 transactions each
month.
0 The program grants unpaid report was modified to list
grant detail by project number in lieu of program
activity. This format facilitates data research and
provides for an easy cross-reference to Headquarter's
unpaid reports.
FY 81 GOALS AND OBJECTIVES
Budget & Reporting
0 Develop new program grant reports in conjunction with
GRA on Status of Program Grant Funds for funding allo-
cations, commitments, obligations and payments.
0 Train New York State and New Jersey State employees on
the procedures to be followed in the area of commitments,
obligations, allocation of funds, payments and reconcil-
iations of State records to EPA Region II FIN accounting
records in the administration of the EPA/State Delegation
Agreement under 205(g).
0 Conduct indepth periodic financial reviews to insure
that funds are being obligated in accordance with our
budget forecasts in the following areas:
0 payroll and overtime
0 travel
0 extramural funding for contracts and
interagency agreements
0 Regional support fund
Accounting
0 Increased activity in Cash Management practices in include
0 more timely billings, collections and deposits,
o payment of invoices when due,
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taking advantage of all discounts and accounting
for discounts lost,
0 more efficient monitoring of cash advances to
grantees, and "~~
° analysis of program grants in line with new Letter
of Credit eligibility requirements.
Continue comprehensive training programs in the areas of
payroll, travel and timekeeping for both supervisors and
staff employees and perform selected audits and field
office visits to improve procedures and insure that they
are properly implemented.
An indepth review of the designated agent functions
within the Region will also be conducted.
Achieve further streamlining of our payment procedures,
document posting and coding techniques through the use
of a PDF 11/70 mini-computer and related CRT devices.
Certain applications will include the elimination of
payment transaction coding and document posting to the
vendor registers, and automated payment scheduling.
Continuation of our cost reduction program for major
cost categories in conjunction with the Facilities &
Administrative Support Branch.
Increase efforts in records management to complete
review of FIN's payment voucher files for FY 79 and
prior fiscal years to ensure proper accounting of
all records and subsequent retirement ot the Federal
Records Center.
Continue efforts with the Facilities & Administrative
Management branch to review Regional contract procedures
and participate in the issuance of a Regional Contracts
Management Manual.
Systems
Work with the Information Systems Branch to provide
support background needed to finalize accounting and
systems specifications for the direct data entry system
now that the PDF 11/70 mini-computer and related CRT
devices are available and operational. (Includes
vendors register, treasury payment schedules, data
input and editing, etc.)
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Implementation of a new travel obligation monitoring
system which will be extremely helpful in monitoring
Regional travel activity and will offer program managers
complete information on all travel obligations incurred
by individual staff members.
Complete overhaul of the financial management card edit
program to ensure that a high level of data accuracy is
maintained.
Expansion of the General Ledger Master File to include
all general ledger accounts necessary for the development
of a regional General Ledger Trial Balance Report.
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