United States         Pesticides and*.*
Environmental Protection    Toxic Substances      Washington, DC
Agency            Enforcement'Division    20460:, ^ .,
                  '
Federal Insecticide, Fungicide,
and Rodenticide Act
Compliance/Enforcement!
Guidance Manual
Policy Compendium
Volume 2:   State-Related Guidance

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Table of Contents
Volume 2 of the FIFRA Compliance Enforcement Guidance Manual Policy Compendium contains the
state-related guidances issued by the Office of Compliance Monitoring that are currently in effect. The
Table of Contents of the remaining volumes, FIFRA miscellaneous  sources,  and a list of obsolete
documents are contained in the Appendix.

Any questions or comments concerning these documents should be addressed to:

       Director, Policy and Grants Division
       Office of Compliance Monitoring (EN-342)
       Office of Pesticides and Toxic Substances
       U.S. Environmental Protection Agency
       401 M Street, S.W.
       Washington, D.C.  20460
                            Volume 2: State-Related Guidance
                TITLE                                                            DATE

Memorandum:  Appropriate Documents to Be Presented                                 12/18/80
by State Inspectors Conducting Pesticide Use
Inspections in States Having Primacy

Methyl Bromide Label Revision in Response to Health                                  09/01/92
Concerns of Structural Fumigants

Consolidated Pesticide Cooperative Agreement Guidance
for Current Fiscal Year
FIFRA Compliance/Enforcement                                           Guidance Manual
Policy Compendium                          i                             September 1992

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Volume 2
                             Table of Contents
                        Volume 2: State-Related Guidance (continued)
                TITLE
                                      DATE
FIFRA Section 26 and 27

Procedures Governing the Rescission of State Primary
Enforcement Responsibility for Pesticide Use Violations
[46 FR 26058]

Federal Insecticide, Fungicide, and Rodenticide Act,
State Primary Enforcement Responsibilities (Final
Interpretive Rule for 26 & 27) [48 FR 404]

Memorandum: "FIFRA 26 and 27 and SPMS Measures"
                                     05/11/81
                                     01/05/83
                                     10/02/85
FIFRA Compliance/Enforcement
Policy Compendium
ii
Guidance Manual
  September 1992

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                 , _., .. i r* i >. wiit ii win\i.ii
                                      rrvucu
                                        as? j a ceo
MEMORANDUM

SUBJECT:  Appropriate Documents  to be  Presented by State
          Inspectors Conducting  Pesticide Use  Inspections  in
          States Having Primacy
                                 \

TO:       Enforcement Division Directors
          Air 4 Hazardous Materials Division Directors
          Pesticide Branch Chiefs
     At present most State  inspectors conducting pesticide
use inspections present credentials headedi   'United States
Environmental Protection Agency".   The credential later
identifies the inspector as "an employee of  the State of
	.*  This credential has been supplied by the Agency
as a convenience to States  which have cooperative enforcement
agreements with EPA.   (EPA  Fora 3540-28 (Rav. 4-78))

     These credentials were designed before  primacy when
States conducted use inspections for violations of FIFRA
under the auspices of a cooperative agreement.  Pursuant  to
Section 26, most States now exercise primary enforcement
responsibility for all use  violations.   Use  inspections are,
therefore, primarily a State activity.   Consequently,  use
inspections in States with  primacy  are undertaken tinder the
authority of State law, (this is true even where the use
inspections are Federally funded).

     Therefore, during use  inspections,  it is appropriate
for State inspectors to present credentials  which indicate
that the Inspectors are acting  under authority of State lav.
The existing Federally supplied credentlala  are misleading
since they are headed 'United States Environmental Protection
Agency." In the fu^ure^State inspectors conducting pesticide
uso. inspections frtiBiiTrT present  credentials that axe issued
by their, State employers.   If State credentials do not
already exist, the State is responsible for  designing and
providing such credentials  to their Inspectors*
                                                                ""
                                                                    " 'r r

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     it. ia additionally noc'jcsary for Ctctcc  to  cease
who 'cucruily uu;: plied "ifocicw o I;\:j..'CCwion"  for*:.,  (CTA
Tor:.; 354U-2  (Huv. 3-75)).  The present  Cori.i erroneously
identifies use insanetions as beiruj authorised under the
authority of the "U.S. Environmental Protection  Agency". The
States arc responsible for draftinc; new r.'btice of  Inspection
forias. The States must design their Notice of  Inspection
forn in a aanner which parallels tha 21'A  forrc.   A  consistent
format will greatly aid the indexing of the information in
the Ayency conputer.  The State Notice  of Inspection fonts
should indicate the relevant State statutes which  authorize
the inspection.  While States await the printing of  the new
forns, they may use the Federally supplied forms if  all
indicia of federal authority are obscured.

     It should also be noted that State inspectors conducting
use inspections cannot rely upon FIFRA  for authority to take
affidavits. Consequently the Agency affidavit  forr, (EPA Form
3540-11 (Rev. 9-75)) may not be used by States during  use
Inspections.  If State law grants this  power,  of course, the
inspector nay take an affidavit according to  State pro-
cedures.

     I hope that the Regions will implement these  guidelines
during the next 6C days.  Please contact John  Martin of ny
staff at 755-1075 if you have any questions.
                         A. E. Conroy II, Director
                      Pesticides and Toxic Substances
                           Enforcement Division

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              UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                         WASHINGTON, D.C.  20460
                                                        OFFICE OF
                                                      PESTICICs SAND TOXIC
                           SEP   I |OQ2                    SUBSTANCES
MEMORANDUM


SUBJECT:  Methyl Bromide Label Revision  in  Response
          to Health Concerns of  Structural^umigant

FROM:     John J. Neylan III, Di
          Policy and Grants Divisi
          Office of Compliance Moni$pri

TO:       Addressees

     In response to EPA's health concerns about Methyl Bromide
pesticides used for commercial and  structural  fumigation,  the
registrants for methyl bromide structural fumigants have revised
their labeling, as required by EPA,  to incorporate the language
set out in Attachment A.  There  are five registrants with
thirteen methyl bromide products which are  affected by the
labeling revisions.  (See attachment B.)

     All five registrants committed to certain conditions for
continued registration of their  Methyl Bromide products.  The
methyl bromide registrations listed in Attachment B have been
amended to add the following conditions:

o    By June 15, 1992, registrants  were  to  submit revised product
     labeling as stated in the Interim Approved Labeling
     (Appendix A). This deadline has already passed and all of
     the registrants have adhered to this.

o    By August 15, 1992, all products which are sold or
     distributed by the registrant  must  bear the June 1992
     revisions concerning aeration  and reentry and the fact sheet
     for commercial and residential structural fumigation (see
     enclosure-Interim Approved  Labeling, Appendix A).

     Please note that the Registrant may request that its
     label(s) contain aeration procedures different from those
     specified in Appendix A if  the registrant submits data
     showing that such procedures will provide an adequate margin
                                                   Printed on Recycled Paper

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                               -2-

     of safety for persons reoccupying the structure.   However,
     all five registrants revised their labeling to add the
     aeration procedure specified by the Agency.  None have
     submitted data supporting a different aeration procedure.

o    Registrants roust notify all of their customers by certified
     mail that sale or distribution of Methyl Bromide pesticide
     products for residential or commercial structural fumigation
     will be prohibited after September 1, 1992 unless the
     product labels bear the revised use directions.  Registrants
     must then keep copies of both the notifications and the
     receipts for two years.

o    The Registrant will use the Customer Letter provided by the
     Agency on May 15, 1992 as the notification letter referenced
     in the preceding paragraph. (See Attachment C.)

o    Registrant will offer to relabel products for their
     distributors, and if distributors agree, the Registrant will
     relabel such products.

o    The Registrant will put a month/year code on all amended
     labels.

     Please note that a policy question arose regarding the use
of California's Methyl Bromide Fact Sheet in place of EPA's Fact
Sheet.  Upon review of both, the Office of Pesticide Programs
(OPP) has determined that in the state of California only, the
use of California's Customer Fact Sheet will be permitted.  In.
light of this decision, we are issuing Compendium Policy No. 3.10
entitled, "Use of California's Methyl Bromide Fact Sheet."  (See
Attachment.)

     Please also note that a question has been raised regarding
the deletion of the greenhouse use site from two product labels
which have voluntarily removed all structural residential and
commercial fumigation uses 'from'the label.  This issue has been
referred to OPP and we will notify you when this issue is
resolved.

     If you have any additional questions regarding this label
revision, please call Phyllis Flaherty or Shruti Desai of my
staff at (703) 308-8383 or  (703) 308-8291, respectively.


Attachments

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                                  ADDRESSEES
                           (EN-342W)
                              it
      Douglas D. Carapt     (H7501C)
      Daniel Barolo        (H7508W)
      Anne E. Lindsay      (H7505C)
      Stephen L. Johnson   (H7506C)
      Mike Walker          (LE-134P)
      Jim Nelson           (LE-132P)
      Michael Stahl        (EN-342)
      Connie Musgrove         "
      John J. Neylan III      "
      Mike Wood               "
      David Dull
      Phyllis Flaherty
      Frances Liem
      Bob Zisa
      Jerry Stubbs
      Maureen Lydon
      Jan Bearden             "
      Linda Flick             "
      Jim Jones            (TS-788)

      Jake Mackenzie
      Western Regional Compliance Director

I     Linda M. Murphy, Director
      Air, Pest. & Toxics Mangt. Div.

II    Barbara Metzger, Director
      Environmental Services Division
                           (EN-342)
                              II
III   Thomas J. Maslany, Director
      Air, Tox. & Radiation Mangt. Div

:v    Winston A. Smith, Director
      Air, Pest. & Toxics Mangt. Div

7     William H. Sanders III, Director
      Environmental Sciences Division

/I    Stanley Meiburg, Director
      Air, Pesticides & Toxic Division

.'II   William  A. Spratlin, Director
      Air and Toxics Division

/III   Irwin Dickstein, Director
      Air and Toxics Division

:X    David P. Howekamp, Director
      Air Management Division

:<      Gary O'Neal, Director-
      Air and Toxics Division
Marvin Rosenstein, Chief
Pesticides & Toxic Substances Br

Ernest Regna, Chief
Pesticides & Toxic Substances Br

James Burke, Chief
Toxics & Pesticides Branch

William J. Patton, Chief
Pesticides & Toxic Substances Br

Phyllis Reed, Chief
Pesticides & Toxic Substances Br

Robert Murphy, Chief
Pesticides & Toxic Substances Br

Leo Alderman, Chief
Pesticides & Toxic Substances Br

C. Alvin Yorke, Chief
Toxic Substances Branch

Davis Bernstein, Chief
Pesticides & Toxics Branch

George A. Abel, Chief
Pesticides & Toxic Substances Br
:c:    Arty Williams
      Kathy Taylor
      OCM Staff
                           (H7506C)
                           (H7506C)

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                         ,.,   APPENDIX A'
                         
                    INTERIM APPROVED LABELING
 LABELING  FOR KAifJFACTURING USE PRODUCTS:
 This  product cannot be formulated into an end-use produc-  fcr
 residential or co:ariercial structural fuaigaticn unless  the label
 of  the end-use product incorporates the following directions:
 FuMIGATION 70?. RESIDENTIAL OR COH>TERCIAL STRUCTURES
 Aeratien  and ?.eer.trv!
      At the end of tne exposure period, after all tarpaulins or
 seals are renoved from the structure, open all interior and
 exterior doors, windows, and vents that are operational.   No
 person shall be allowed  to reenter the structure unless wearing
 protective clothing and  a NIOSH/KSHA approved self-contained-
 breathing apparatus (SCBA) or combination air-supplied/SGBA
 respirator until the following criteria are net:

 1. A) If non-mechanical  or natural ventilation is used,  the
 structure must be aerated for a minimum of seven days  from the
 time  the tarpaulins are  removed.
   B)  After aeration is completed, --the Itvel of methyl bromide
 in the structure must be measured using a gas detector device
with  a minimum detection limit of 3 ppn for methyl bronide.
Measurements must be ta'Xen from an interior electrical outlet  by
 inserting the detection device in the ground receptacle, or from
other enclosed space within the wall on an interior  and a
perimeter vail; and

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   C) (i) The level of methyl bromide is less than 3  ppn  frca
                         *
each area measured; or
      (ii) If the level of methyl bronide is 3 ppa or greater,
the structure shall be aerated for an additional 24 hours.   At
the end of the 24 hour period, the level of nethyl bronide  must
be measured from the areas previously sampled.  These procedures
must be repeated until the level of methyl bromide is below 3
ppm.
2.  If mechanical aeration is used:
    A) For structures without attics, an aeration fan(s)  must  be
inserted in a window or other exterior opening and(sealed so that
the air inside the structure is exhausted out of the structure.
The aeration fan(s) must be capable of displacing 5,000 cubic
feet of air per minute.  To facilitate aeration, exterior
openings, such as windows, vents, or an access door to the
subarea, should be utilized.  The structure must be aerated with
the fan(s) operating for a minimum of 72 hours;
    B)  After aeration is completed, the level of methyl bromide
in the structure must be measured using a gas detector with a
minimus detection limit of 3 ppa for'nethyl bromide.
Measurements must be taken from an interior electrical outlet by
inserting the detection device in the ground receptacle, or from
other enclosed space within the wall on an interior and a
perimeter wall; and
    C) (i) The level of methyl bromide is less than  3 ppm  from
each area measured; or

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       (ii) If the level ..of aethyl bromide is 3 ppm or greater,
                         
the structure nust be aerated for an additional 12 hours.   At the
end of the 12 hour period,  th level of methyl bromide rust be
neasured froa the areas previously sampled.  These procedures
must be repeated until the  level of methyl bronide is below 3
ppn. .
3.  A)  For structures with attics, an aeration fan must be
inserted in the attic access door and a window or other exterior
opening, and both sealed so that air inside the structure is
exhausted outside the structure.   The aeration fans nust be
capable of displacing a minimun of 5,000 cubic feet of air per
ninute.  To facilitate aeration, exterior openings,. such as
windows, vents, or an access door to the subarea should be
utilized.  The structure must be aerated with the fans operating
for a minimum of 72 hours;
    B)  After aeration is completed, the level of methyl bromide
in the structure nust be measured using a gae detector device
with a minimum detection limit of 3 ppa for aethyl broaide
residues.  Measurements must be taken froa within an'interior
electrical outlet by inserting the detection device in the ground
receptacle, or other-enclosed space within an interior and a
perimeter wall; and
    C) (1)  The level of aethyl broaide is less than 3 ppm from
each area measured; or
       (ii)  It the level of methyl bromide is 3 ppa or greater,
aeration must continue for an additional 12 hours.  At the end of

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the 12 hour period, .the-level of aethyl broaide rust b measured
                         
froa the areas previously sanpled.  These procedures must be
repeated until the level of aethyl brcrzide is below'3 ppn.
4.  For structures with basements, in addition to the
requirements of paragraphs 1, 2, and 3 above, the windows, vents,
and interior doors of the baseaent nust be open, and
    A)  After aeration is coapleted, the level of aethyl fcroaide
in the baseaent aust be aeasured using a gas detector device with
a nininun detection limit of 3 ppa for aethyl bronide residues.
A neasurenent nust be taken froa an interior electrical outlet by
inserting the detection device in the ground receptacle, or froa
other enclosed space within the wall on an interior wall.  In the
absence of an interior wall, a aeasureaent aust be taken of the
ambient air in the baseaent; and
    B) (i)  The level of aethyl bromide is less than 3 ppn; or
       (ii)  If the level of methyl bromide is 3 ppa or greater,
the structure must be aerated for an additional 24 for natural
ventilation or an additional 12 hours for mechanical aeration.
At the end of the additional ventilation period, the level of
aethyl broaida must be aaasured from'' the area in the basement
previously sampled. ' These procedures must be repeated until the
level of methyl bromide is below 3 ppm.

Structural Fumigation Fact Sheet
A.  The applicator must obtain a structural  fumigation  fact sheet
which has been signed by, and provided to, the  following  persons:

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      (1)  an adult occupant of a single family dwelling prior to
                         
the parties entering into a funigation agreenenc,
      (2)  (A)  Tiie owner, manager,  or designated agent of the
building for multiple-family dwellings, provided he or she
acknowledges in writing to the applicator that a copy pf the
Structural Funigant Fact Sheet has  been provided to an adult
occupant of each unit prior to the  parties entering into a
funigation agreement; or
         (B)  An adult occupant of  each unit in a multiple family
dwelling prior to the parties entering into a fumigation
agreement , or
      (3)  the owner, manager, or designated agent' for all
structures or businesses other than fanily dwellings,
B.  The Structural Funigation Fact  Sheet shall state:

The purpose ef this handout ia to infers the consumer oC possible
health hazards associated with tha  use of th structural
fumigaat, methyl bromide.  To Bake  sure you have been given an
opportunity te read thia. applicators are required to obtain the
signature of the owners and occuants of  roert  to  *
with methyl bromide.  You vill alae be given a eopy of this  fact
aheet to keep.

              Structural rumiguxtss  Methyl Bromide
                            ATTENTION
         Read Thi Fact sheet completely Before signing

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     Fumigation involves ...the introduction of poisonous gases  inro
                          
every part of the structure, .including insids the walls.   Because
overexposure to these gases can be hE.rr.ful to people,  your
building will be ventilated before you will be allowed to return.
     This fact sheet provides basic information about the
structural -fumigant, methyl bromide, as well as information about
why and how buildings are funigated, methyl bromide health risks,
how to know if you are exposed, ways to minimize your exposure,
and several phone nunbers to call for more information.
     New rules for structural fumigation have substantially
increased the time between funigant use and the time an occupant
is allowed back into the building.  Post-fumigation ventilation
has also been improved significantly.  These changes should be
adequately protective, but you should know some basic facts about
structural fumigants.
     Wby Buildings Are Fumigated - Houses and other structures
are fumigated to kill insect pests living in walls or wood.
There are sometimes other ways to deal with these pests, and
building owners should investigate them.  However, fumigation is
                          "' '                           t
sometimes the only method for handling extensive infestations of
wood-destroying insects.  You can discuss the possibility of
alternatives with your pest control company.
     Why Buildings Are Fumigated - There are two pesticides used
for structural fumigations:  methyl bromide and sulfuryl  fluoride
(known by the trade name, Vikane.)  Each has advantages and
disadvantages in terms of their effectiveness in killing  pests

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 which professional fusigaters  can  discuss with you.  Your
 fuaigatcr should also provide  you  with a list of itens you need
 to resave from your hcne  before  the  funigatior. starts.
      Methyl bronide is a  gas.  Before furigaticn starts, the
 building to be fumigated  is  completely sealed and covered with a
 tarp to keep the gas in the  building so it  can penetrate wood to
 kill the pests.  The tarp is left  on for one to two days.
 Warning signs are posted  around  the  building notifying people to
 keep out because the levels  of the pesticide in the building
 during fumigation can kill a person.
                             A
      After the tarp is removed,  a  professional fuatigator will go
 into the building wearing a  compressed air  tank and mask and open
 the doors and windows. Powerful fans may also ba set up to pull
. fresh air into the building.
      It is now required that buildings fumigated with methyl
 bromide be aired out for  a minimum of 72 hours after the tarp is
 removed.  Then, the fumigators are required to measure the  levels
 of methyl bromide inside  the vails of buildings to make sure they
 are below three parts per million  before you are allowed to go
 back in.
      The ventilation procedures  make it unlikely that  any
 remaining fumigant in the living space will be a health hazard
 after the house is cleared for reoccupancy. However,  you  should
 be aware of the symptoms  of  overexposure to methyl bromide/ since
 it is sensible to be cautious  when dealing  with  a potentially
 hazardous chemical.

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     Small pockets o fumigant can remain in  dead  air  space
                          
between walls and inside cabinets/ and in porous material such as
furniture, and say enter into the living space  for a few days
after fumigation.  That's why a mandatory aeration period is
required after the tarp is removed.  Your building should not be
cleared for reoccupancy until it is safe for  you to reenter.
     How Do You Know Whether You Are Exposed  -  Methyl brcr.ide is
a colorless, odorless gas, so a warning agent is added which
causes watery eyes and a scratchy throat.  If you  experience
these symptoms in a building that has been recently fumigated,
you should leave immediately and call the pest  control company to
have your building retested. >' You should also consult with your
physician.
     Methyl Bromide Health Risks - Methyl bromide  enters your
body as a gas when you breathe it.  Exposure which nay occur
from touching treated surfaces is insignificant.
     Nervous system, eyes, and respiratory irritations:
overexposure to methyl bromide can cause blurred vision,
headache, and nuusea.  At higher concentrations,  it can  cause
tremors, sleepiness, convulsions, pneumonia,  and excess  fluid  in
the lungs.  These symptoms may not appear for 12 to 24 hours.   If
you experience these symptoms in a recently fumigated building,
you should leave immediately and call the pest control company to
have the building retested.  You should also call your personal
physician.  Physicians are encouraged to report suspected
pesticide-related illnesses to EPA.

                                8

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     Birrh defecrs: . In recent animal studies,  sethyl  bronide
caused birth defects when pregnant anir.als were exposed under
experimental ccnditions.  There is no evidence  that nethyl
bror.ide affects huaan reproduction,  ai-hough sone  chemicals which
cause birth defects in aninals nay also cause birth defects .in
hunans.  Any person, including pregnant women,  should  avoid
unnecessary exposure.
     Other effects:  It is not known whether long-tera exposure
to nethyl bronide causes cancer.  Experiments in aninals are
underway to study this, although tests so far are negative.
However, even if methyl bronide were shown to cause cancer over a
lifetine of exposure in aninals, it is unlikely that your '
exposure from the one-time fumigation of your building would-be
high enough to cause a significant risk of cancer.
     Ways TO Reduce Your Exposure If You Are Having Your Building
Fumigated -
     o  Carefully evaluate all your pest control alternatives.
     o  Talk over your treatment program in advance with the pest
        control company, BO you fully understand what  will be
        done, and what you need to do.
     o  Carefully follow the instructions you are given about
        items you are to remove froa your building.
     o  Stay out of the treated building for at least three days
        after the tarp is removed.  If you have additional
        concerns, you may choose to be away for an extra period
        of time after the building is cleared for reoccupation.

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     o  If you are interested cr concerned,  you can ask your pest
                          
        control company to show you the records of the air
        aonitoring it did before your building was cleared for
        reoccupation.
     o  You nay wish to increase ventilation by opening doors and
        windows.
     o  If you have syr.ptcms of exposure,  or you believe that
        the aeration was not done properly,  you should leave
    . '   the building and contact the pest control company and
        your physician.  You nay also wish to call one of the
        phone numbers listed below.
      For information about pesticides, the U.S. Environmental
Protection Agency has a toll-free information service, the
National Pesticide Telecommunications Network Hotline, which can
be reached at 1 (800) 658-7378.
     In a medical emergency, call 911, or contact the nearest
Poison Control Center.  See "Crisis Hotlines'* listed near the
front of the white pages in your phone book.
     If you feel uncomfortable entering the structure, or if you
do not fully understand the potential hazards, you should call
the company, that performed the fumigation:
     Naae:  	;
     Addrest:
     City:  _
     Telephone:
                                10

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     I acknowledge receiving a copy of this nethyl  broxice  fact
                          

sheet.   (You will sign one copy for the company doing  the


fumigation, and get a second copy to keep for later reference.)


Signature:  	 Date:  	


Please print your name here:  	


Your address:  	
FOR FUMIGATION OF RESIDENTIAL AND COMMERCIAL STRUCTURES,  THESE


DIRECTIONS SUPERSEDE ANY OTHER DIRECTIONS ON THE LABEL CONCERNING


AERATION.AND REENTRY





LABELING FOR END-USE PRODUCTS:


The label language for Fuaigation of Residential and Commercial


Structures:  Aeration and Reentry would be the same as for


manufacturing-use products except the introductory paragraph


concerning formulation into end-usa products would ba ommited.
                                11

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             FIFRA  COMPLIANCE PROGRAM POLICY No. 3.10

          Use of California's Methvl Bromide Fact  Sheet

FIFRA Section:  3

Issue:

     Label directions for all Methyl Bromide products require
that customers sign an EPA Fact Sheet before structural
fumigation occurs.   Through regulation the state of California
requires a California fact sheet be signed, will EPA allow
California's Fact Sheet (revised May 1992) to be used in lieu of
EPA's Fact Sheet for customer signature before fumigation in
California?

Policy;

     Upon review of both Fact Sheets, the Office of Pesticide
Programs has determined that use of the California Fact Sheet
(Revised May 1992)  would be sufficient to meet the Agency's
intent in notifying customers prior to beginning fumigation.  At
the request of the Office of Pesticide Programs, the Office of
Compliance Monitoring will allow applicators in California only
to use California's Fact Sheet  (Revised May 1992)  for customer
signature in lieu of EPA's Fact Sheet for customer signature
before the applicator starts the fumigation process.

Discussion;

     Methyl Bromide registrants voluntarily agreed to a label
revision of Methyl Bromide products with structural  (commercial
and residential) fumigation use directions on the label due to
health concerns of structural fumigants.  Methyl Bromide
Registrants with structural fumigation uses on their product
labels have revised their aeration and reentry directions
according to the Interim Approved Labeling.  A Federal
requirement of the new, approved label language is that
applicators give their customers a fact sheet for their review
and signature before the fumigation process begins.  In addition
to this Federal requirement, the state of California has passed
regulations requiring applicators in California to give their
customers the California Fact Sheet for review and signature.
Without this policy, both fact sheets are required to be
presented to the customer and signed.  The Office of Pesticide
Programs has reviewed both fact sheets and have requested the
Office of Compliance Monitoring to allow applicators in
California only to use the California Fact Sheet (Revised May
1992)  in lieu of both.  The EPA Fact Sheet is required to be
signed in all other states.

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                          Attachment B

      Products  Affected by the Methyl Bromide Label Revision


Great Lakes Chemical Company

5785-4    Brom-0-Gas
5785-7    Brom-O-Gas 1%
5785-8    Brom-0-Gas 0.5%
5785-42   Brom-0-Gas 2%
5785-55   Brom-0-Gas 0.25%

Tri-Cal Inc.

11220-17  Methyl Bromide 98%

     Soil Chemicals

    *8536-5    Pic-Brom 33
    *8536-ll   Pic-Brom 25
     8536-12   Methyl Bromide 99.5%
     8536-17   Methyl Bromide 99.75%
     8536-19   Methyl Bromide 98%

     Shadow Mountain Products

     58266-3   Trical Methyl Bromide 99.5%

Ameribrom Inc.

8622-17   Metabrom 99

Ethyl Corporation

3377-7    M-B-R-98

Reddick Fumigants Inc.

37733-5   Bro-Mean C-2R
     Structural fumigation use directions have been removed from
     the label while soil and greenhouse fumigation uses remain.

-------
 Custozer Letter
 Dear Cus-ccaer:
     . Due;ta'receht-exposure data generated  on aerhyl 'brcaide	_'
 structural-: fuiigaticn,v:the United States Erjvironaental Protection
 AgenV/(USi?A)~: is ^concerned-.that'[there nay  be va. potential: health"
                                                                  Lai
 'stmacturesV
 revis~idvdirectionsf*-the ' structure' cannot'- be'-reoccuni'ed "until'-'-the
 sheets^ should^be.ikept: along5.' with:'your,; application'- records .-'^At'c
 pf"fthe"new;.us'e''Tdirecti6ns':aiid-Fact}Sheet-.is :;^enclosed"-'"' '"
                         /"- and., distribution or-.'sale of -a'aetiayl
|brcmide.! pesticideVproduct: for  commercial'- or "residential
fstructural2fuaigatioriTyis-;proaibited after September I," 1992 '   -
fuhlessjthe"^ labeling- contains.- the '.'revised use: directions' and Fact
 Sheet i^.. We 'Cask": for, your, cooperation,, -and remind you. that-
r'incbnsistentVvith jthe;? instruct ions 2 in: its" labelingj^is .-a ^violation
:"'"iJ        ~"       "
Enclosure

-------
              UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                         WASHINGTON, D.C.  204*0
                                                        OFFICE OF
                                                     PESTCOESANOTOXC
                                                        SUBSTANCES
                            APR  2 4 1991
MEMORANDUM
SUBJECT:



FROM:
TO:
                              ticide Cooperative
Final FY 1992
Agreement Gui

Stephen L. Jo
Field Operat
Office of p.
John J. Ndy/an ill, Director
Policy anor^Grants Division
Office of Compliance Monitoring

Regional Pesticides and Toxics Division Directors
Regional Pesticides and Toxics Branch Chiefs
     Attached  is the  final  guidance for preparation of State
pesticide cooperative agreements  in FY 1992.   The package
includes the guidance and a complete set of appendices to the
document.

     Thank you for your  comments  on draft versions of the
guidance and for facilitating State comment.   Many comments were
incorporated into the final guidance.   However,  others raised
issues that could not be addressed through the guidance this
year.  We will retain all comments and attempt to address them
through action items  for further  consideration.

     A number  of comments expressed concern with the implemen-
tation schedule for the  Worker Protection Program.  After further
discussion with program  staff,  we have scheduled a longer lead
time for dissemination of educational materials in the first
phase of the program.  However, the remaining schedule for
implementing the program has not  been changed because of the
importance of  completing these tasks within the stated time
periods.  We will make every effort to ensure that guidance and
materials needed from Headquarters on the Worker Protection
Program are available so that schedules can be met.
                                                        Printed on Recycled Paper

-------
7Y92 Consolidated Pesticide Cooperative Agreement Guidance


     Another section of concern to commentors was the proposal to
move up the due dates for quarterly reporting under the
cooperative agreements.  Based on opposition to this proposal,
reporting dates will remain the same as in previous years.'

     Included in this final guidance is a section on the Office
of Compliance Monitoring's lawn care initiative.  This section
was sent separately for review by Regions and States, and the
final language adopted reflects those comments.  Several States
reported that they have lawn care programs in place and that the
activities proposed would be easily incorporated into current
programs.  We are asking for the support of the States with this
initiative to gather systematic information about the use of lawn
care products so that we can report to the General Accounting
Office on our assessment of the need for a long-term lawn care
enforcement strategy.

     Finally, those Regions that issue Region-specific guidance
are reminded to circulate draft guidance to their States for
review and comment before finalization.  Copies of final Regional
guidance should be sent to the Office of Compliance Monitoring
and to the Field Operations Division.

     If you have any questions regarding the certification and/or
the pesticide program sections of the guidance  (pages 18-35),
please contact Therese Murtagh, OPP Field Operations Division, on
FTS 557-7410.  Questions regarding the compliance sections of the
guidance (pages 36-70) should be referred to Linda Flick, Office
of Compliance Monitoring, on FTS 382-7841.

     Again, thank you for your input to the guidance.

Attachment

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FY 92 CONSOT TTCATRD PESTICIDE COOPER ATTVE


                                                                 Page

     L  INTRODUCTION
           A. Purpose of Guidance                                    1
           B. National Priorities                                      2
                 1.  Enforcement National Priorities                     3
                 2.  Certification and Training of Pesticide
                    Applicators  .                                    3
                 3.  Ground Water Protection Program                   5
                 4.  Endangered Species Protection Program              6
                 5.  Worker Protection Program                         8

     IL  COOPERATIVE AGREEMENT APPLICATION
     REQUIREMENTS
           A. Standard Grant Application Forms                       11
           B. Budget Requirement                                   12
                 1.  Cost  Sharing                                    12
                 2.  Itemized Budget Detail                            12
           C.  Narrative Statement                                   13
                 1.  Background                                     13
                 2.  Ability to Implement Program                      13
                 3.  Objectives  of the Project                          14
                 4.  Benefits  of Project to the Applicant and EPA        14
                 5.  Work Program                                   15
           D.  Accountability under the Cooperative Agreement          15
           E.  Required Certification for Drug-Free
               Work Place                                          15
           F.  Certification Concerning and Disclosures of
               Influencing Activities                                   16
           G.  Debarment and  Suspension Certification                 16
           H.  State Application Review Checklist, Regional
               Review Procedures and Semi-Annual Evaluations          16
         PESTICIDE PROGRAM ACTIVITIES FOR FY 92 WORK
     PROGRAM
           A.  Introduction                                          18
           B.  Certification and Training of Pesticide
                Applicators                                          19
           C.  Ground Water Protection Program                       22
           D.  Endangered Species Protection Program                  25

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      F.  Scheduling                                          33
      G.   Reporting                                          33
      H.   Accounting Records and Filing System                  35
      I.  Evaluation Plan                                      35
      J.  Program Funding            '                        35

IV. ENFORCEMENT ACTIVITIES FOR FY 92 WORK
PROGRAM
      A.   Introduction                  .                      36
      B.   Work Program Activities                              37
           1.  Issue-Specific Compliance
               Monitoring Activities         *                   37
           2.  Priority-Setting                                 48
           3.  Inspection and Sample Collection Activities         49
           4.  Lawn Care Activities                            51
           5.  Quality Assurance                              53
           6.  Formal Referrals                               57
           7.  Enforcement Response and Case
                 Developement                               58
           8.  Tracking Requirements                          62
           9.  Reporting                                    62
           10. Accounting Records and Filing Systems            63
           11. Evaluation Plan                                63
           12. Unresolved Problems                           64
           13. EPA Support to State/Tribes                     64

V.  ALLOTMENT OF COOPERATIVE AGREEMENT FUNDS
      A.  Base Funding                                        65
           1. Formula Funding                               66
           2. Allotment Schedule                         .    67
      B.  Worker Protection Enforcement                        67
           1. Base Funding                                  67
           2. Formula Funding                               68
           3. Allotment Schedule                             68
      C  Adjustments to Initial Allotments                       69
      D.  Regional Allocations for State Worker
         Protection, Groundwater and/or Endangered
         Species Enforcement-Related Activities                  69

VL   SUMMARY OF FY 92 COOPERATIVE AGREEMENT
      ALLOTMENTS                                          71
                               ii

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FY92 CONSOLIDATED PESTICIDE COOPERATIVE AGREEMENT GUIDANCE
                of the Feae1r^cWdi^^
                        ^
agreements wflh the Mat and Ifcfian IribwToYJest&adai .mf^i^taenr^Ra^iartr^rn and
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CFR Pa*
document, developed by (he Office of CompKaiK* Monitoring (OCM) arid the Office of
Pesticide Programs (OPP), supplements the above regulation* by setting forth in more
reviewing applications  and awarding
 ^ ^ /  ^ f W , *            '^X-. \ssv Wft<* W
evafoation and
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responsible "for issuing program goidance t^ the ap^KoM^Re^^
states and Indian tnbes must contain aH the key provisions of the "national guidance,
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                                                               aj&cfjvHJ&j; ground

-------
Pesticide Guidance
         FY92
       Sfecifon jyaf: 1he;,eonso1idated
apply to
 ^-"  '
sections; deal jffl;w6r*: program
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-------
Pesticide Guidance                                                             FY 92
                   S^
1    CERTIFICATION  AND TRAINING OF PESTICIDE APPLICATOR -
      NATIONAL PRIORITIES

a.    Program Goals.  In FY92, the Agency will work with the states/tribes to address
the changes to certification plans which will be  required as a result of revised provisions
in the regulations concerning "Certification of Pesticide Applicators," 40 CFR 171.  The
revisions to 40 CFR 171 should be final and in effect in FY92.  Working with USDA and
others, EPA will develop new training modules and upgrade training materials to assist in
meeting the more  stringent pesticide applicator competency standards contained in the
revised regulations.

b.    National Program Priorities.  In the area of certification and training of pesticide
applicators, the Agency has identified five program areas for priority activities in FY92 at
the national and/or regional levels.  These activities will  be undertaken in cooperation
with the states, tribes, territories, and with USDA:

      1.     Encourage Interaction between State Agencies and Cooperative Extension
             Services in the States

             EPA will continue to encourage frequent interaction between the Lead
             Agency for pesticide programs and Cooperative Extension Service in each
             State, particularly where the training offered by the Extension Service is a
             means of obtaining certification or recertification credit

      2.     Training

             EPA will  address state/tribal needs in the area of training material.  EPA
             will continue to work with USDA to identify needed training programs and
             materials and to develop these programs and materials at the national level,
             and  facilitate  such development at  the  regional  and state  level,  as
             appropriate.

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Pesticide Guidance                                                              FY 92

             EPA will cooperate with the private sector to encourage development of
             training materials.

             EPA will encourage states/tribes and facilitate their efforts  to ensure that
             training is made available to applicators in situations where the state/tribe
             itself cannot offer training.

             EPA will continue to develop train-the-trainer programs that address new
             regulations, emerging issues, and innovative C&T materials.

             EPA will encourage and assist in the development of methods/programs for
             verifying that training has occurred in cases where the state/tribe itself does
             not administer the training.

             EPA will continue to  cooperate with  USDA to upgrade state  private
             applicator training programs and certification mechanisms based on the Joint
             EPA-USDA/CBS reviews which were completed in FY 89.

      3.     Publication of Revised Federal Regulations

             EPA will promulgate, in FY 92, revised regulations for the  certification of
             pesticide  applicators.

      4.     State Certification  Programs

             EPA will encourage states/tribes to  maintain  their state/tribal plans,  in
             accordance with FIFRA Section 11 and 40 CFR 171.  When the revised
             regulations are promulgated, EPA will assist in the  transition from existing
             certification programs  to  programs that  meet  the  requirements of the
             regulations.

    .  5.     Cooperation and Interaction

             EPA will  facilitate  cooperation and  interaction  between federal and
             state/tribal agencies for identifying emerging issues, and in  developing and
             implementing state/tribal and regional programs to address  those issues.

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Pesticide Guidance                   "                                         FY 92

3.     GROUND WATER PROTECTION PROGRAM - NATIONAL PRIORITIES

a.     Program Goals.  EPA's environmental goal in its Pesticides and Ground Water
Strategy  is to manage the use of pesticides to protect ground water resources.  The
strategy provides states, tribes, and territories the opportunity to take the lead role in
meeting  this goal by designing and implementing plans to manage pesticides for  the
prevention of ground water contamination.  This approach allows for  the tailoring of
pesticide management measures to meet specific local ground water protection needs.

       Resources devoted to protecting ground water from pesticide contamination will be
focused on those areas that have the most serious agrochemicals in ground water problems
or with the potential for  such problems.  The Regional  Program Offices will provide
technical  assistance  to  states,  tribes  and  territories  on  pesticide management  plan
development and review of state and tribe management plans, ensuring cooperation among
key state/ tribal agencies, sharing information and reviewing grant plans.

       Protection of ground water requires a localized protection approach which require
a greatly  expanded/strengthened  state/tribe role in  problem  identification and in the
management of pesticide use with a focus on prevention of contamination.

       At the regional level, the pesticides, ground water and non-point source programs
will need  to work closely  together to develop consistent state and tribal work  plans to
support program specific grants.  At the state and tribal level, there is the same need for
cooperation and coordination between involved agencies.

b.     National Program Priorities.  In the area of ground  water protection, the Agency
has identified program areas for priority activities in FY92 at the national and/or regional
levels.  These activities will be undertaken in cooperation with the states, tribes, territories,
and with USDA and USGS:

       1.     Implementation of the Final Management Plan Guidance Document and
             Technical Support Documents

             EPA will provide guidance to states, tribes,  and territories in their efforts
             to develop management plans and to promote national consistency in using
             these plans as a key element of the foundation  for pesticide registrations.
             EPA also  will provide technical assistance to those preparing to develop
             management plans.

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Pesticide Guidance                                                           FY 92

      2.    Oversee  the  Development and  Implementation  of Both  Generic  and
            Chemical-Specific State Management Plans

            EPA will develop  plans to strengthen  the Agency's foundation for  the
            Federal  registration  of pesticides  posing  ground  water  contamination
            concerns.  These plans should be developed in close coordination with state
            ground water programs.  The  EPA Office of Ground Water Protection
            (OGWP) also is providing funds to state/tribal ground water programs for
            the development of pesticide management plans.

      3.    Resolution of Organizational Roles and Responsibilities with Respect to OPP,
            ODW, OGWP,  USDA, and USGS

            EPA will foster communication and harmony among these organizations
            and their regional/state counterparts.  With respect to the Office of Ground
            Water  Protection  (OGWP), the  Comprehensive  State  Ground  Water
            Protection  Programs  (CSGWPP's)  will be the  vehicle for addressing
            organizational roles and responsibilities.  EPA will develop and implement
            MOUs with USGS and USDA (Soil Conservation Service, Cooperative
            Extension Service,  Agricultural  Research Service,  and Cooperative States
            Research Service).

      4.    Review of Management Practices

          , EPA will facilitate the transfer of technology among states, tribes,  and
            territories.  EPA will determine what is  and is not working and share  that
            information with those in similar situations.

      5.    Outreach to Pesticide Users and the Public

            EPA will develop public information materials such as brochures, fact sheets,
            and audio-visual materials to aid in outreach.

4.    ENDANGERED  SPECIES  PROTECTION  PROGRAM  -   NATIONAL
      PRIORITIES
                       0
a.    Program Goals. The Endangered  Species Protection Program focuses on providing
the best protection for listed species while minimizing any unnecessary impacts on pesticide
users. During the 1992 growing season, OPP  anticipates the continuation of the voluntary
and pilot programs begun in  1990  and 1991.

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Pesticide Guidance                                                               FY 92

       During FY92, the Agency will begin requiring registrants to relabel some products
with endangered species precautions and reference to county-specific bulletins to conform
with the Endangered Species program.  Because approximately twelve months will be
allowed for relabeling, few products at the end-use level will bear the  revised  labeling
during the 1992 growing season.

       The Regions' focus will be on providing technical assistance to the  states/tribes.
This assistance will include coordinating the review of habitat maps with the states and
other interested parties, ensuring coordination between  State agriculture and fish/game
agencies, and  reviewing State plans.
                                                    A.-
b.     National Program  Priorities.  In the area of endangered species protection, the
Agency has identified program areas for priority activities in FY92 at the National and/or
regional levels. These activities will be undertaken in cooperation with the states, tribes,
territories, and with USDA:
       1.     Voluntary Programs Including Pilot Programs

             EPA will assist with on-going pilot programs and work to establish new pilot
             programs in the states/tribes during the 1992 growing season. Results from
             the pilot  programs will be used to revise the Endangered Species Protection
             Program  as  necessary.

       2.     Customized  State-Initiated Plans

             Through  the Regional  Offices,  EPA will  provide technical assistance to
             states/tribes  developing  their own state/tribe-initiated plans.  Regions will
             participate in the first level of review for  state/tribe-initiated plans.  EPA
             Headquarters will assist in  reviewing state/tribe-initiated plans submitted
             through  the Regions, and  in obtaining concurrence from  the Fish and
             Wildlife Services (FWS).

       3.     Outreach to Pesticide Users and the Pubtic

             EPA will develop educational materials for use in the field as well as to
             inform the public about the Endangered Species Protection Program.

             EPA  will provide program informational materials  (including bulletins,
             brochures, fact sheets, videos/slides) to the Cooperative Extension  Service,
             Regional Offices, etc., as these materials are developed by EPA.

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Pesticide Guidance                                                             FY 92

      4.    Coordination with the Federal and State Lead Agencies

            EPA will promote cooperation with other Federal and state/tribal agencies
            including USDA, FWS, Regional Office, State Agriculture  and Fish  and
            Game departments.  This cooperation will result in (a) the development of
            educational  materials and habitat maps, (b) review of  program outreach
            activities, and (c) the development of technical aspects of the program.

      5.    Review of Habitat Maps

            Through the Regions, EPA will coordinate the review of habitat maps  with
            the states and other  interested parties.

5.    WORKER PROTECTION PROGRAM - NATIONAL PRIORITIES

a. .   Program Goals.  In FY92, the Agency goal will be to disseminate information on
the new Worker Protection Standards (WPS) and to continue to develop and disseminate
training materials  required by the  program.

      Successful  implementation  of the WPS and related product  label changes will
require continued public outreach to inform workers and employers about requirements
that will be initiated in FY91.  The complexity of reaching so many groups and individuals
requires a decentralized Federal program. Training materials and technical assistance will
be directed through regional and state/tribes programs to tailor them to local  conditions
and programs.

      The pesticides worker protection compliance monitoring and enforcement activities
will focus on ensuring compliance with the pesticide worker protection  rule,  through
routine  comprehensive inspections,  and follow-up to incidents and  complaint  reports.
Training seminars for states and technical assistance for public and private groups  will also
be an important part of compliance monitoring and enforcement efforts.

b.    National Program Priorities. In the area of worker protection,  EPA has identified
program areas for priority activities in FY92 at the national and/or regional levels. These
activities will be undertaken in cooperation with the  states, tribes, territories, and with
USDA:
                                        8

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Pesticide Guidance                                                             FY 92

      1.    Continued Development of Program Implementation Strategies by the States,
            Tribes, and Territories

            EPA, through  the  regions, wflj provide information and  assistance  for
            finalising individual worker protection program implementation strategies for
            states, tribes, and territories.

      2.    Outreach  to Pesticide Users and Workers Potentially Exposed to Pesticides

            To assist the state, tribes, and territories in their outreach programs, EPA
            will  provide  information on  the  WPS  to the  regulated and affected
            communities.  These communities will be identified in  individual worker
            protection program implementation strategies.  EPA will  develop materials
            to inform  users of the new WPS requirements.  Headquarters will facilitate
            regional interaction through informational meetings and workshops.

      3.    Coordination of Activities with the States, Tribes, and Other Agencies and
            Organizations

            EPA will  promote cooperation between USDA, OSHA, the  Cooperative
            Extension Services, and the private sector in the development of educational
            materials  and  dissemination  of  information and training  efforts.  EPA
            encourages states/tribes to include  groups/coalitions  representing migrant
            workers when naming organizations to work with in implementing Worker
            Protection Standards (i.e., utilize organizations representing or concerned with
            migrant issues).   EPA will also promote cooperation between states and
            tribes.

      4.    Publicizing the Worker Protection Program

            EPA will  develop materials, such as brochures, fact sheets, and guides, for
            informing the public  of the new WPS.  EPA, through the regions, will also
            use  the  media  to  announce  the  WPS  and  inform  the  public of  its
            requirements.

      5.    Management of  Cooperative Agreements with  the  States, Tribes,  and
            Territories for the WPS

            EPA will review the focus and progress of the FY92 Pesticide Cooperative
            Agreements.  Improvements and corrections will be suggested, as necessary.

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Pesticide Guidance                                                             py 92

            Head-quarters, through the Regional Program Offices, will issue and transmit
            guidance to 'the states/tribes.

      6.    Training Programs and Materials

            EPA will develop a national set of guidance documents on basic occupational
            safety that meets the minimum requirements set out in the WPS. Then, in
            cooperation with the private sector and other state agencies (the Cooperative
            Extension Service, OSHA), EPA will help states, tribes, and territories tailor
            programs and materials to meet specific needs.

            Using EPA/state/tribe/employer "train-the-trainer" type programs, EPA will
            also prepare persons who can offer training or distribute information about
            the WPS.

IL  COOPERATIVE AGREEMENT APPLICATION REQUIREMENTS

      TO ensure an orderly administrative review, programmatic evaluation, and funding
of cooperative agreement applications, the applications must be received by the regional
Grants Management Offices at least 60. days prior to the beginning of the proposed budget
period.  This is a federal requirement which must  be adhered to in accordance with 40
CFR Part 35.140.  This requirement may be addressed in any audits conducted of a
state/tribal cooperative agreement program.
      We yMomniMid that states/tribes operating ptotitidt'&sfGftemtiA grant programs
under the Federal fiscal year cycle (October 1 - September 30) s^ibmit their cooperative
agreement appScation  ft) days prior to tfce beginning of the proposed badget period
This wiB aBow additional lead time Jnd! help to ^d j^^^*^|[cineiii$siiot being
awarded on time, Funds will be awarded ills promptly as poe^fe following release of FY
               s: .   f    % f            f . W e  t ^  f ; f /W AV>. tv, f ff--. s*ff. v,   v ^r f          t
92 federal funds.
                                                                        funds are
                         Xv.'J'swwvv *  f .   f > .-Wbvv.v rt% * v .vC A % -A-.-- *.*t, ^ff .v.vX-X'. t  f     -. -.
                       submit an enfonrnentappBcat^rcS^ checklist wilh their
                     ..*;*,.,.,,*..,...  ', , ,   ,*,  ,. ~ ,' *,v   >vw^^~S>5>!i'*.rfi*,v^X^,^   ,,
                                                                   d fee applicant
                                                                   ^ w^^w^wAW-wA^^^-w-Xv^. s
      In accordance with 40 CFR Part 35.141, EPA will not reimburse applicants for costs
incurred before the date of award, unless it is a continuation award and the application
was  submitted  by the state prior to the expiration of the prior budget period.   If
applications for continuation awards are not received in a timely manner, it will be
                                        10

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Pesticide Guidance                                                             FY 92

necessary to request a formal deviation request approved by the Grants Administration
Division before any pre-award costs may be approved.

       In addition to this guidance document, regional and state/tribal staff should consult
the appropriate regulations  in 40 CFR Parts 31 and 35, the Administrator's Policy on
Performance-Based Assistance, and  the Assistance Administration  Manual, previously
distributed, when preparing, negotiating, and evaluating cooperative agreement applications.
       Listed below are the principal elements needed in an application to enable EPA
to perform a proper review and evaluation of the proposed program and to make a timely
award of funds.  The outline below is a suggested format for applications.

       A.     STANDARD APPLICATION FORMS

       The regulations (40 CFR Part 31.10)  require applicants for assistance to use
Standard Form 424 (revised 4/88).  Application kits including all the necessary application
forms, may be obtained from the EPA regional Grants Management Office. (A copy of
the application form can also be found in appendix  I of this guidance.)

       It is recommended that applicants submit one consolidated application, for EPA
review and  approval, with a  distinct work  program component for each of the five
activities  (namely  enforcement,  certification,  worker  protection  program  activities,
endangered species, and groundwater program activities).

       If submitting one application is not feasible, the state lead agency/tribe may submit
separate or amended applications  which  address  each  component for which funding is
available as described in this document.

       In submitting a consolidated cooperative agreement application, for EPA review and
approval,  the applicant  must submit  three  budgets  at a .minimum:  1) one  for  the
enforcement component  (including worker protection enforcement activities and all the
enforcement activities); 2) one budget for the certification component; and 3) one budget
for the pesticide program activities (addressing the groundwater, endangered species and
worker protection  program activities  together).  (Appendix DC includes an example of a
partially completed  application  form  showing how at least three individual  budget
components could be entered on one application form SF 424.)
                                        11

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Pesticide Guidance                                                             FY 92

      B.  BUDGET REQUIREMENTS

             1. Cost Sharing

                   a.  Enforcement Component

      EPA's share  of the "total  project costs" for the FIFRA enforcement component
should not exceed 85% of the total funding level.

                   b.  Certification Component
                                                   *:
      FIFRA Section 23 limits EPA's share of the "total project costs" to not more than
50% of the total funding level.

                   c.     Pesticide Program Component (Addressing Worker Protection
                         Program Activities,  Groundwater  Program  Activities  and
                         Endangered Species Program Activities)

      EPA's share of the "total project costs" for the worker protection program activities,
groundwater program and endangered species program activities should not exceed 85%
of the total funding  level.

             2,     Itemized Budget Detail

      The applicant should include  supportive itemized  statements  or fact sheets  to
expand upon the expenditures proposed for at least eacfr of the three components (namely
enforcement, certification, and pesticide program  activities) for the cost categories listed
below. Any additional cost categories that may appear to be out of the ordinary should
be itemized, as well.

                   a.     Personnel

      Personnel costs should be itemized to show the type  of work activity, number of
persons involved, number of work years involved and the total cost for each of the major
categories of personnel (e.g., inspectional, analytical, etc.) for which funding is requested.

                   b.     Travel

      Travel costs must be adequately described to show the  basis for the total travel cost
estimate.
                                        12

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Pesticide Guidance                                                             FY 92

                   c, Equipment and Supplies

       Each item costing $25,000 or more should be listed separately.  Items costing less
than $25,000 may be grouped, as appropriate.

       C NARRATIVE STATEMENT

       Each  cooperative agreement  application  must be accompanied by  a narrative
statement covering the  subject areas listed below  (addressing  background information,
ability to implement the program, objectives of the project, benefits of the project to the
applicant and EPA, and  the work program).  If a  subject has been adequately documented
in previous  applications, project reports,  etc., a  reference to the  earb'er document will
suffice, as long as the pertinent pages of the earlier document are attached.

       A new work program narrative for each component, for review and approval, must
be-Submitted annually along with the  application.  With changing conditions and priorities
(both nationally and locally), it is expected that work program activities will change from
year-to-year.

             1.    Background

       40 CFR Part 35.140 requires all applications to include  a discussion of performance
to date under the existing award.

             2.    Ability to Implement Program

       Each applicant must certify that there are  no impediments to the state's/tribe's
ability to carry out the proposed program or  programs.   Applicants with continuing
cooperative agreement programs are  not required to annually certify their ability to carry
out the proposed  programs, unless one or more of the areas described below has changed.
The applicant should address the areas described below, as well as any others, which might
pose problems.

                   a.     Authority to Conduct the Proposed Program

State  Authority

       The state  must  have  enacted  legislation which empowers  it to enter  into  a
cooperative  agreement  with  EPA and conduct specific  activities proposed under  the
cooperative agreement.
                                        13

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Pesticide Guidance                                                              FY 92

Tribal Authority

      The tribe must have established a governmental body to execute a cooperative
agreement with EPA.  Most reservations are covered by tribaJ governments, recognized
by the Department of the Interior in  the Federal Register and organized pursuant to
treaties and/or Acts of Congress.

                   b.   Authority to Accept Federal Funds

      A state/tribe, which can only implement a program under a cooperative agreement
with prior authorization by its legislature to spend federal funds, must include a statement
indicating the date on which such  authorization will be obtained.  Commitment of EPA
funds will be contingent upon such  authorization by the state legislature or Tribal Council.

                   c.    Designation of Lead Agency for Enforcement

      Although several agencies within a state/tribe may be responsible for regulating
various aspects of pesticide manufacture, handling, and use, EPA will continue to enter
into only one cooperative agreement with the state/tribe for pesticides enforcement, as has
been done in the past.  It is a necessity for a coordinated enforcement program for this
practice to continue.

      The Governor of the state or the Tribal Chairman (or equivalent), through a letter
to the  regional office, should designate a lead agency  which will be  responsible for the
cooperative enforcement agreement program. The designated lead agency must have the
authority to  enter into contracts or interagency agreements with other agencies for the
performance of all  necessary activities. The lead agency must follow through on their
lead" responsibilities, as outlined in the work program section of this guidance document,
as the recipient of cooperative agreement funds.

            3.     Objectives of the Project

      Each applicant should  clearly define the principal objectives which support the
achievement of the  national and individual state/tribal priorities.        '

            4.     Benefits of Project to the Applicant and EPA

      The applicant must identify expected results and benefits to be derived from the
project, including all  primary  and  secondary benefits to the applicant. This statement
should clearly establish the project as a cooperative agreement with benefits accruing to
both the  applicant and EPA.


                                        14

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Pesticide Guidance                                                            FY 92

             5.     Work Program

       The applicant must develop, for EPA review and approval,  a proposed work
program for each component including a narrative description of the projected outputs and
work to be accomplished,  along with a schedule  for accomplishing these activities.  The
cooperative agreement work programs for each component are discussed in sections III
and IV.

       Additionally, while developing the work program, the applicant should identify and
consider the concerns of persons in the state/tribe who may be exposed to pesticides or
otherwise  affected by the  pesticides enforcement program.  The EPA  considers public
participation in the planning process to be an important element of the program.  Each
applicant may use a variety of means to identify the concerns of the public and involve
the public in  the  planning process.  As a reference, applicants  may wish to  use EPA's
Public Participation Policy, January 19, 1981, 46 Fed. Reg. 5736, (included in appendix X).
This policy discusses the following factors: outreach, dialogue, assimilation, feedback and
associated methods.

       D.    ACCOUNTABILITY UNDER THE COOPERATIVE AGREEMENT

       According  to 40 CFR Part 31.20, recipients  must expend and account for funds
awarded in accordance with state/tribal laws and procedures for expending and accounting
for its own funds.  Fiscal control and accounting procedures must be sufficient to: 1) track
the expenditure of funds separately for at least each of three components (enforcement,
certification, and  pesticide program activities) of a consolidated pesticide agreement; 2)
permit preparation of Financial Status Reports (FSRs) required by the regulations; and
3) permit  the tracing of funds  to a level of expenditure adequate to establish that such
funds have not been used in violation of the restrictions and prohibitions  of applicable
statutes.

       The recipient's expenditures under the agreement must follow cost categories (i.e.,
budget line item or program elements) estabb'shed in the original agreement.  Except as
provided for  under 40  CFR 31.30 (in appendix XI), recipients and sub-recipients can
rebudget within the approved direct cost budget.  Certain types of changes require prior
approval [see 31.30(c) through 31.30(0-]

       E.  REQUIRED  CERTIFICATION FOR DRUG FREE WORK PLACE

       On May 25, 1990, the Office of Management and  Budget published "Drug-Free
Workplace Requirements;  Notice and Final Rules." For EPA, this new nile is included in
40  CFR  Part 32 (See  appendix  XII), Government  Debarment  and  Suspension


                                       15

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Pesticide Guidance
FY92
(Nonprocurement) and Govemmentwide Requirements for Drug-Free Workplace (Grants).
This rule was effective July 24, 1990 except for the certification requirements of section
32.630(c) and (d) for states and state agencies which was effective on June 25, 1990. The
rule requires all recipients to certify that they will maintain a drug-free workplace. The
regional Grants Office must make sure that each application includes a properly executed
certification. The rule provides for suspension of payments, suspension or termination of
grants, or suspension or debarment of the recipient for violation of the rule.

      F. CERTIFICATION CONCERNING AND DISCLOSURE OF "INFLUENCING
          AcnvrnES"
                                                   Ai
      Note This is BO* a new remrirement^
      *'     w-x- -. .   s\: s , *. s.   .  *        f. fs w.  vw1- vSwAff+tf. *:*w*;-x>>MWw':'w:';'Xv/l-:-:-i;!*r.-.-:-;-:-:v:':->>X':'X-:':v;':

      Persons (including states and municipalities)  who  request or receive  grants or
cooperative  agreements  exceeding $100,000  shall  file with  the  awarding  agency a
certification that the person has not used, and will not use, federal funds to influence the
award of the grant or cooperative  agreement.  Such persons  shall  also file a disclosure
form if they used, or have agreed to use, non-federal  funds to  influence the award of the
cooperative agreement. Both the certification and the disclosure form should be in the
application kit supplied by EPA.  If the documents are not in the kit, please contact the
regional Grants Management Office.

    G.  DEBARMENT AND SUSPENSION CERTIFICATION
             T&fc fr not a 106* te^
      The applicant  must include EPA  Form  5700-49,  the  Certification Regarding
Debarment, Suspension,  and Other  Responsibility Matters.  This form  certifies that
applicant currently is not ineligible for assistance due to a disbarment, suspension, or other
infraction.

                                        16

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 Pesticide Guidance
                                                                            FY92
prior to I>emg finalized/ Some higblfchts in the application review process are discussed
     s A**V t, vw.s"'***#&*,W-X /v>*^A<*%*^Av**wmV.Avffff,.vMs ->vMv W-SOfc-Xw-Av^**-, .ww/X <^.v^^>M.'.^<3*)..^vMswfftvv^.>.^v./^.<^w.-->XsM-)0^.. ^  X*.
below.

                                                   &$OP^
walT to complete a owpeiBtive agreenrent app&caSoo review cec       appendit V) and
*>*< A     s * *  *   ->    *...... wt*vw>> *^  w     7 W A-    .. s-.  ,.   Mwfctts *\><*\<*. ..  /..*  * s t siTs7vbWS.'^'-a-i*^v,**
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pcogram ekc^ntt and  rednce tfeijiwnber' vw. .v.vv.v*> A^\ lv^M v  _   R * IT* )* ^'w*XKs^X<-XvTV-. * v.  \lwvss .*..&*.*,>   +
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oommMfa from the regions on the application* should also be included/ Cbecldats may
X\sX w^%  % !*<  *. -  - AVAVW. v."  "^"  ^ -. v^  * v   * * -uvv-X ^   <  X^^^.^^^'  ^ < ^"X- A-<5*##Xv.-.ft-'N'  "Cv'"*. ":. % ,-,  ^M-M>'w v. . v^
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          J&^^
                                                                        is etsential
                                                            |aty will be relayed

                                        17

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Pesticide Guidance                                                             FY 92

m. PESTICIDE PR<
                        of thS ic^oo
A.    INTRODUCTION

1.    General

      For FY92, program development in  the  new pesticide initiatives will continue.
      Pesticide applicator certification programs,  that have been in place in the States for
      several years, will be updated and maintained.

2.    Work Program Components

     Each state/tribe applying for FY92 pesticide program cooperative agreement funds
      must prepare a proposed work program that includes the following five components,
      at a minimum:

      a.    A description of the work, as  outlined  in the specific  sections on work
            program activities in this chapter of the grant guidance

      b.    A schedule for accomplishing the work program activities

      c.    Reporting

      d.    Accounting records and filing system

      e.    Evaluation plans

3.    Program Flexibility

      EPA recognizes that the states/tribes will be  designing  programs particular to
      specific concerns in their areas, and work  programs may vary from State to State.


      The guidance for the new initiatives may lack some degree of specificity by design,
      to allow the states/tribes flexibility in developing their programs and to allow for
      states/tribes that have progressed  further  in some of these areas as well as those
      who are in the initial stages of addressing them.
                                        18

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Pesticide Guidance                                                             FY 92

4.    Cooperation Between States/Tribes and the EPA Regional Offices

      The state/tribe and  the Regional Program Office should work closely together to
      develop complementary EPA/state or EPA/tribal pesticide programs, especially as
      they address the new initiatives. Cooperation between EPA and the applicants is
      essential in developing effective programs.  Discussions between the states/tribes
      and the Regional Program Offices with regard to priorities, planning and the extent
      of different program activities to be conducted are particularly important.

5.    Renegotiation of Work Programs for Program Initiatives

      Since the new program initiatives are in developmental stages, the guidelines set by
      EPA for these activities may change during the year. There can be a renegotiation
      of the work program for ground water, endangered species, and worker protection
      program activities after  regulations or guidelines are issued in  final  form.  The
      Regional Program Office will work with the states/tribes to determine if there is
      a need to change the specifications of the work program after final regulations or
      strategies are available.

B.    CERTIFICATION AND TRAINING OF PESTICIDE APPLICATORS - WORK
      PROGRAM ACTIVITIES

1.    Introduction

      Seven core elements are needed in the applicant's work plan. These elements are
      described  below. The work program  elements should be prioritized based  on
      discussions with the  EPA Regional Program Office.

2.    Work Program Requirements

      a.     Revisions to State Mechanisms for Certification

            The State will implement revisions to State  mechanisms for certification
            (including examinations, training  sessions and/or  self-study  packets  if
            applicable) as previously agreed upon between the EPA project officer and
            the State. This effort also applies to any revisions agreed upon as  a result
            of the FY 88/89 joint  reviews, but not fully  implemented by FY 91.

            The State Lead Agency (SLA) should provide oversight  and assistance as
            appropriate  in implementing  changes  to training programs  which were
            discussed as a result of joint reviews, and the SLA should cooperate with the


                                       19

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Pesticide Guidance                                                              FY 92

            State Cooperative  Extension  Service  (SCES)  in  implementing required
            changes  to  certification  mechanisms  as  a consequence  of such training
            changes.

      b.    Implementation of Changes to State Certification Programs

            The State will implement any  remaining changes to State certification
            programs/plans which were agreed upon between the State and EPA as a
            result of the FY 87 and subsequent discussions on State Certification Plans.
            (These changes should have been implemented or should be implemented
            according to a schedule agreed upon  and approved by the EPA Regional
            Program Office and the State.)

      c.    Review  by  the   EPA  Regional  Program  Office  of  Revisions  of
            Certification/Recertification Examinations

            Revisions to state/tribal certification/recertification examinations will include
            review by the EPA Regional Program Office to assure that, in addition to
            the  other  topics  required by  federal  regulations,  the  exams  include
            information on: 1) chronic health effects; 2) ground water contamination;
            3) endangered species;  4) disposal methods;  5) calibration of dispersal
            equipment;  6) proper use, maintenance and disposal of personal protective
            equipment  and clothing;   7) applicator  laws and  responsibilities;   8)
            significant pesticide use  problems  identified through enforcement  actions.
            When the EPA identifies areas in the examinations that need amendment,
            the State will work with EPA to make needed changes.

      d.    Meetings with the State Cooperative Extension Service

            States/tribes must  meet a minimum  of  twice each  year with the state
            Cooperative Extension Service  to discuss  and  evaluate  the  state/tribal
            pesticide  applicator certification and training program.   EPA Regional
            Program Offices should be notified of meetings in advance.  At least twice
            a year, states/tribes will submit a report of points of agreement and decisions
            to the EPA Regional Program Office. These reports may be submitted by
            states/tribes with their mid-year reports and end-of-year reports.
                                        20

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Pesticide Guidance
                                                                FY92
      e,    Reporting of Certification and Training Projections and Accomplishments on
            EPA Form 5700-33H

            On a semi-annual basis, the state/tribe will submit information on the number
            of  training  sessions participated in or monitored  and the  number  of
            applicators certified and recertified  (including the numbers certified and
            recertified for each category).

            These reports showing certification accomplishments should be submitted by
            the State within 30 calendar days following the completion  of the Federal
            fiscal year, second and fourth quarters.  Semiannual reports are due April
            30 and October 30 of each year.  The end of year Form 5700-33H should
            include the number of applicators holding valid certification as of September
            30, and the recertification period, in  years, for  each commercial category.

            For  Regions encompassing  States that operate on  a fiscal year that  is
            different from the Federal fiscal year (e. g. July 1  June 30  vs.  October 1 
             September 30), States must provide most current reporting data available
            at the time required reports are due.

            In addition, the States are required under 40 CFR Part 171.7(d) to submit
            an annual report at a  time  to be specified  by the State.   The State may
            choose to have an annual State Plan report period that corresponds to their
            cooperative agreement budget period.

            The states/tribes may consider using completed EPA Forms 5700-33H  as
            part of their State Plan reports because the data reported  on  Form 5700-
            33H are the  same as the first three items  required  in State Plan annual
            reports.  This can be done only when the  State chooses to have an annual
            State Plan report  period that corresponds to their cooperative agreement
            budget period.
Information About High Quality Training Prop
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            ^OTtTraihihgJNceds
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                                                                        &wtt&*:*tt*^toxv.f

                                        21

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Pesticide Guidance                                                              py 92
                   State/tflbes wB provide5 iri&taaiibft>N^^
                   and/of training materials Identified II T>eli:fc of high quality,
                   A *. '.-. Vk\\ A   NAW ^  A  \ V ^ . * vXU *\ .% -.-A % %-,\ssv WA^vXlV. . *A-.W^^ VV<-*VASV.;SW -, V,^- A.-. SN V. *X%
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                                 .- / .-   ^ .-.***** ^ V V   * *^<* .' .WNW^K J,.vji^ A^S  ^."XV^ , ^ .s.. V (.*
      g.     State/Tribal Specific Activities

             The State/Tribal work program will address any unresolved problem areas
             identified in mid-year and end-of-year evaluation reports of current and past
             project periods.

      h.   ,  Slale/TnbaJ Plan for Xmplementina (be Revised 40 CFR 171
      %\.<^ T. Xt.-*-X/ ' . A\V!-.V^S       ^ V\   1. i-vV^  V. H  V T*^SSV AV. V%\VW^^ *A > XSV^CtWA. V.S*M% rfAV. ..<%*
             'Hie jbpose ^\^ __ vX* ^v * rt*^w <>* ^ s\ <)" XKwK .' -.% 4eir, FY92 CftT te^inedfs with the
                                                                       oee
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Pesticide Guidance                                                             FY 92

2.    The Work Program

      a.    Establishing a State/Tribal Ground Water Protection Program Schedule

            For FY92, the State/Tribe will develop a program schedule for accomplishing
            the work program activities described in this section. The state/tribe and the
            Regional Program Office must agree upon a work program schedule.

            Work  toward completion of  these  activities  will be  pursued in FY92
            according to the established schedule.   Completion of the work  on all
            components may not occur  in FY92, owing to the complexity of certain
            activities.

      b.    Work Program Requirements

            1.     Completion of the Ground Water Protection Program Implementation
                   Plan

                   The state/tribe will complete  the  implementation plan  for ground
                   water protection.  The state/tribe will submit the implementation plan
                   to the Regional Program Office according  to the established ground
                   water protection program schedule.

                   The implementation plan will include the following components:

                   a.     An outline of how states/tribes will accomplish the provision
                         and/or requirements  of the EPA Pesticides and Ground Water
                         Strategy pending the receipt of final guidance documents from
                         EPA

                   b.     A framework for conducting ground water activities, including
                         whether the state/tribe will opt  to develop a generic  state
                         management plan or chemical-specific management plans

                   c.     An estimated time line for the development of either type of
                         plan within EPA guidelines

                   d     A description of preparations  for communicating the strategy
                         to users and to the public, such as identifying target audiences,
                         establishing mechanisms for the dissemination of information,
                         and conducting pubb'c meetings


                                       23

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Pesticide Guidance                                                             FY 92

                  e.    A description of plans to develop appropriate infrastructures,
                        and/or memoranda of understanding with other State agencies

                  f.    A description of preliminary monitoring

                  g.    A description of any other preliminary activities that should be
                        undertaken to prepare for implementing the strategy

            2.    Implementation

                  After approval of the implementation plan and schedule by the EPA
                  Regional Program Office, the  state/tribe  will initiate the activities
                  defined in the plan.

            3.    Development of Generic Management Plans

                  States/tribes opting to develop a generic state management plan in
                  their implementation plan should begin work on the various generic
                  components. EPA strongly encourages states/tribes to develop generic
                  management plans and  to submit them for review and preliminary
                  approval prior to the 1992 use  season. Generic plans would contain
                  the basic components common to all management  plans and could
                  then be  modified and expanded to address management of specific
                  pesticides.   A  copy of the generic management  plan  should be
                  submitted to the EPA Regional Office according to  ground water
                  protection program schedule.

            4.    Assessment and Identification of Areas Most Vulnerable to Ground
                  Water Contamination by Pesticides

                  The state/tribe  will  begin  to  assess and identify  the  areas most
                  vulnerable to ground water contamination by pesticides in the State
                  or  within tribal lands.   This  effort may require  monitoring  and
                  mapping activities, and may also require coordination with other State
                  agencies and/or  the development of statutory authorities which  may
                  not currently be in place to carry out these activities. A portion of
                  cooperative  agreement  funds, as agreed upon with the Regional
                  Program  Office, can  be  used  toward  these efforts, and   the
                  development should occur according to an agreed upon schedule with
                  the Regional Program Office.
                                       24

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Pesticide Guidance                                  .                          FY 92

                   To the extent possible, the state/tribe will identify those aquifers
                   where protection is most critical based on available criteria, which may
                   include use, proximity to the surface, well location, population density,
                   etc. Vulnerability may also be dependent upon climate, type of soU,
                   extent of irrigation,  range  in pesticide type and application rates,
                   point source contamination and other factors.

             5.     Outreach Activities

                   The state/tribe wilJ conduct an outreach campaign to explain to users
                   and to the public how the EPA ground water strategy affects them,
                   how the strategy  works, what the state/tribe is doing to respond to
                   the strategy, and  how they may be involved.

             6.     Development of Chemical-Specific Management Plan Components

                   The state/tribe will develop the chemical-specific components (for
                   those  developing  generic management plans)  or a  chemical-specific
                   management plan in response to designation from EPA regarding a
                   particular  pesticide.    The chemical-specific  management plan or
                   components should be developed and submitted to the EPA Regional
                   Program Office on a  case-by-case basis  as specified by EPA, and
                   according to the state/tribal ground water protection program schedule.
                   StateVtribes/tribal wmsortia  are encoiiraged to propose an expanded
                   work program In cases where toe state/tnbe/tribal consortia has an
                   active ground' water protection prc^ranj^and^bas  already addressed
                   many of the^otber work progmm reqi^einejits. Again, the flexibility
                   provided In the guidance, allows for creativity and uniqueness In the
                   ft  > _vV. %  	 \  w* v > ^r      ^ "   
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Pesticide Guidance                                                              FY 92

             is participating in a pilot or devising its own plan/procedures.  The flexibility
             provided in -this guidance should allow for a  degree of creativity  and
             uniqueness in designing state/tribal programs.

      2.     Work Program Requirements

             a.     General

                   Where states have already  completed some or all of the work goals
                   described  in  this section, new or expanded  work goals should be
                   negotiated.  All activities in the work program should be prioritized
                   within each state/tribe based on discussions with the EPA Regional
                   Program Office.

             b.     Work Programs for Base Programs

                   States/tribes participating in a base endangered species protection
                   program are  eligible to  receive the base allocation.  The base work
                   program must outline how the state/tribe  will address  the following
                   activities, to the extent of the  resources available:

                   1.    Information Response System

                         The state/tribe will  develop a  framework for an information
                        . response  system  which will be  used to  disseminate  EPA-
                         developed  educational materials, such  as maps,  bulletins, and
                         fact sheets, to individuals and groups affected by the program
                         and in response to public inquiries.

                         Suggested  components  for the information  response system
                         are:

                                a.     A telephone information service for agricultural
                                      and home pesticide users

                                b.     State/tribal  development  and dissemination of
                                      pubb'c outreach materials where needed to deal
                                      with particular local situations

                                c.     State/tribal  solicitation  of public  comment  on
                                      review maps and pesticide tables


                                        26

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Pesticide Guidance                                                               FY 92

                   2.     Compflation/Dissemination of Information on Federally-Listed
                          Endangered Species

                          The work program will also address the following activities
                          concerning Federally-listed endangered species:

                                a.    Habitat identification

                                b.    Mapping of endangered species habitats

                                c.    Disseminating   information   regarding   newly-
                                      identified/listed species

                          This activity may include the review of habitat maps to  ensure
                          that they provide accurate descriptions of where endangered
                          species  must be protected and an on-going  collection  of
                          information for  map development  and  revision  as well  as
                          information on pesticide use by county.

             c.     Additional Work Program Activities

                   1.     General

                   A state/tribe may elect to participate in activities beyond base program
                   activities.

                   Participation in these activities will require the state/tribe to obtain
                   any necessary information on agricultural land uses in areas inhabited
                   by endangered species and determine alternate pesticides and/or use
                   limitations to achieve the goal of protecting species while minimizing
                   impacts  on  pesticide  users.    These  efforts  should incorporate
                   agricultural, fish and wildlife, and conservation interests.
                   For the activity selected, the state/tribe should outline the criteria to
                   evaluate the program's effectiveness, the economic and environmental
                   impacts on the recommendations, and plans or pilots they may have,
                   including any benefits to the species.  State/tribal-initiated plans or
                   pilot programs can be evaluated after implementation.
                                         27

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Pesticide Guidance
FY92
                          Additional Activities
                          a.     Outline of State/Tribal Endangered Species Protection
                                Program

                                The state/tribe can outline its own program with specific
                                measures for the protection of endangered species. The
                                state/tribal  outline  should  include  a  schedule  for
                                implementing the  state/tribal-initiated plan  and  for
                                conducting a pilot using the approved plan.
                                                     A.
                          b.     Participation in the Federal Program as a Pilot

                                The state/tribe can outline their participation in a pilot
                                program of the Federal Endangered Species Protection
                                Program.  The outline should  include the method the
                                state/tribe will follow to implement the use of the habitat
                                maps  and  bulletins  in   their  counties to  protect
                                endangered species and track the results.

                   c.     StaieVTribe* Cbodiictiag Puttfc Review of Maps
                         "  '   v. ,> ,*-. v f >   Xw y T . .ts>^>x-^XK^.A<^^XAlXx;^>>..>>.-.*
                                                                            a
                                States/tribes  are  strong^  encouraged to  obtain public
                                Coininenc Preview Tfafr^j&jtete tabfes.~A review
                                would bfe announce!  erow ^Jnt  b   EPA and the
                                                                          ' roaterials
                                              v>,'H\wi< *f, v.%*. .\\ %vvI'Kv.viXvi'WWW'^V. X-. . Sl. \ v  .' ss\.% <.-.
                                           All ixnieWM)Ofdinated by the
                                                            '                .  ^

                                         28

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Pesticide Guidance                                                           FY 92

E. WORKER PROTECTION PROGRAM - WORK PROGRAM ACTIVITIES

      1.     Introduction

            a.    General
                                              
                  This section identifies the elements  required for inclusion  in the
                  state/tribal work program in the area of worker protection.

            b.    Overlap with OCM Worker Protection Enforcement Program
                                                  <*
                  OCM's  guidance  for worker  protection  enforcement activities  is
                  described in the Enforcement Component of the FY92 work program.
                  The OCM guidance addresses planning for and initial implementation
                  of a  worker  protection   enforcement program.   The  inherent
                  relationship between the program activities required in this section by
                  OPP and the OCM-required enforcement activities results in some
                  necessary overlap.

                  For example,  a worker  protection  program  requirement  is  the
                  development of an Implementation  Strategy, which  must include
                  several chapters as discussed in the following section.  One chapter
                  and one enforcement requirement is the development and subsequent
                  implementation of a Compliance Monitoring Strategy. Work program
                  requirements may involve inter-agency coordination as well as outreach
                  and communication activities.   Where there is  such overlap,  the
                  applicant may decide to coordinate and jointly develop the particular
                  activities. However, the Implementation Strategy and the Compliance
                  Monitoring Strategy must be presented as distinct documents.

      2.     Work program Requirements

            a.    General

                  The applicant  will develop a work program for worker protection
                  program activities and submit the proposed work program to the EPA
                  Regional Program Office.
                                                    
                  The work program will include, at a  minimum, these three program
                  components:
                                      29

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Pesticide Guidance                                                             FY 92


                             " An uri&l outreadi/connnorikatMii effort
                                  -                - -    -
                         (2)    A final implementation strategy for the worker protection
                               program

                         (3)    An implementation schedule

            fv   MtJalOufreac^
                  WftWd to:tO ^ MCHitW                         in
                               slate/tribe wiS reprcxJ^'aua distritrate
                               A /%>>i,  JA/*,>*w*.-i-w. w.-.rv C,-* **^^*^j- w ?SKftX-Vx./> * v*
                  These materials will be directed at employer*, employee organization*,
                  and other interested parties. For quick dMiibution,, the State/Tribe
                  wiB have prepared a distribution ^f of employers  and employee
                                                                 j^miijt "along
            c.    Implementation Strategy

                  1.     Submission Time table/EPA Review

                         The strategy should be submitted by the appb'cant to the EPA
                         Regional Office within eight i&OTthf^after the final WorlcCT
                                  Standardi (WPS) are
                         Within one month after receipt, the EPA Regional Office will
                         provide the applicant with comments, if any. The state/tribe
                         will address any comments within one month of their receipt
                         and forward the revised implementation strategy to the EPA
                         Regional Program Office.

                         Implementation Strategy Components

                         The Implementation Strategy explains how the state/tribe will
                         implement the  provisions of the  new  Worker  Protection
                         Standards (WPS) in the regulated and affected communities.

                         The  Implementation  Strategy will  include,  at  a minimum,
                         distinct chapters that address:
                                       30

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Pesticide Guidance                                                              FY 92

                               (a)    Outreach/communication

                               (b)    Training

                               (c)    Establishing cooperative relationships with other
                                      agencies, where applicable

                               (d)    A compliance  monitoring strategy  (See Note
                                      below)

                         The Regional Program  Office and  states/tribes are to work
                         together to utilize funds to  develop state specific  programs.
                         The flexibility provided in the guidance should allow for a
                         degree  of creativity and uniqueness in designing  programs.
                         Where  states/tribes have already completed  some or all of
                         these three work goals,  new or expanded work goals  will be
                         negotiated.

                   Note:  The requirement of a compliance  monitoring strategy  is
                   discussed further in the enforcement section of this guidance.  The
                   applicant's compb'ance monitoring strategy must be included  as a
                   distinct section of the implementation strategy.

                   a.     Outreach/Communication

                         The major focus of the worker protection program in FY92
                         is outreach.  The development of an outreach/communication
                         program as part of the  implementation strategy is  key to the
                         success  of the program.  OPP is developing outreach materials
                         in the  form of camera-ready copy and master  video/slide
                         programs that will be  made  available to states/tribes  in a
                         format for easy duplication and dissemination.

                         The applicant will  present a detailed,  organized method for
                         distributing educational materials and  providing information
                         relevant to  the  WPS to  the  public and  the regulated
                         community.    The  state/tribal  plan for  disseminating  such
                         information will include provisions  for duplicating materials.
                         Outreach/communication efforts  should include cooperative
                         efforts  with   other  state  agencies, user groups, and  the
                         Cooperative Extension Service. The  plan also will specify which


                                        31

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Pesticide Guidance                                                              FY 92

                         groups will be targeted, and the methods/activities that will be
                        . used to relay the information.

                         The outreach  program will include briefing  workshops to
                         educate the affected public about the WPS.  States/tribes may
                         want to utilize funds to organize meetings in different pans of
                         the state and to send participants  to EPA-sponsored  regional
                         briefing meetings about the WPS.

                   b.    Training

                         EPA is developing national training/ educational materials and
                         guidance documents that will meet the requirements of the
                         WPS.  These materials will be made available  to states/tribes
                         in the form of camera-ready copy for  written materials and
                         masters  for audio-visual  materials.   These  materials  are
                         designed to promote consistent standards among state/tribal
                         WPS programs and to  avoid duplication of effort that would
                         result  if each state/tribe developed their own materials.  A
                         catalog of these materials wfl] be  forwarded to state/tribal
                         agencies as soon as they are available.  The applicant should
                         plan for training sessions that will  be held when the WPS are
                         final. The applicant may wish to make provisions for modifying
                         the  EPA-produced training materials to include state/tribal-
                         specific provisions.  The  applicant may also  wish to make
                         provisions  for duplication  and dissemination of the training
                         materials.

                   c.    Cooperative Relationships with Other Agencies

                         The  applicant  will  outline the  cooperative relationships
                         established with  other state agencies, or  Federal agencies,
                         where applicable,  to  coordinate  program activities where
                         duplication of effort or conflict may occur. Where appropriate,
                         states  and  tribes will  outline  how they plan to  coordinate
                         activities and explain how the state/tribe  will work cooperatively
                         among the different agencies to identify areas of overlap and
                       .  define inter-agency responsibilities.
                                         32

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Pesticide Guidance                                                             FY 92

                   d.    Compliance Monitoring Strategy

                         The applicant must  develop, complete  and submit  the
                         compliance monitoring strategy as discussed in the enforcement
                         section of this guidance.

       3.     Implementation Schedule
                                                    of the final revised WPS, at the
             latest, the states/tribes must begin putting their implementation  strategies
             into effect.  States/tribes should  carry out the activities  contained  in the
             strategy in the order of their priority and according to schedule.

             The 10-month requirement is based on this calculation:

                   8 months    State/Tribe development of the implementation plan
             +     1. month    Regional review and comment
             +     1 month    State/Tribe incorporates comments
                10 months     Total.

                   See section E(2)(c)(l) above.
F.    SCHEDULING

      The state/tribe prepares and submits a schedule of activities and accomplishments
      planned for the grant period.
G.    REPORTING

      States/tribes report on pesticide program activities and accomplishments conducted
      under cooperative agreements.

      1.    Certification  and Training Program

            The reports concerning the State/Tribal program for certification and training
            of pesticide  applicators  are submitted  semi-annually according to  the
            specifications outlined in item "e" of the  Certification and Training Work
            program section  and in the protocol for certification mid-year and end-of-
            year evaluations.


                                        33

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Pesticide Guidance                                                              FY 92

      2.    Program Initiatives

            Reports on activities and accomplishments in the program initiative areas of
            worker protection, ground water, and endangered  species also are required
            at mid-year and end-of-year. These reports are submitted by the State/Tribe
            to the EPA Regional Program Office within 30 calendar days following the
            completion of the second and fourth Federal fiscal year quarters.

      3.    Report Format

            Reports consist of a narrative summary of the activities and accomplishments
            during the reporting period. Projected accomplishments, updated  schedules,
            and activities are reported  according to the quarter in which they occurred
            (or will occur for the upcoming six month period).  The reports describe how
            the state/tribe has progressed in developing the program (implementation
            strategies,  management plans,  etc.), as well as how they have put their
            strategies and  plans  into  effect  and what has  resulted.   The summary
            includes:
       **

                   (1)    Tangible outputs completed

                   (2)    Possible outputs in the up-coming quarter

                   (3)    An  updated schedule for the  up-coming quarter (noting
                         any changes made from the original accomplishments
                         schedule)

                   (4)    Problems and proposed resolutions

                   (5)    Utilization  of' funds (not an accounting of where funds have
                         been  spent, but an indication of how well funding is being
                         utilized, e.g.,  if the State/Tribe expects  to have a surplus  that
                         could be used for additional  activities, or if funding may be
                         insufficient for planned activities)

            The EPA Regional Program Office submits the mid-and end-of-year reports
            to  the Field Operations  Division  (H7506C), EPA  Office of Pesticide
            Programs.
                                        34

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Pesticide Guidance                                                            FY 92

R    ACCOUNTING RECORDS AND FILING SYSTEMS

      According to 40 CFR Part 31.20, applicants must expend and account for funds
      awarded in  accordance with state/tribal laws and procedures for expending and
      accounting for its own funds.  Fiscal control and accounting procedures must be
      sufficient to:  1) track the expenditure of funds separately for at least each of three
      components (enforcement, certification and  pesticide program  activities) of  a
      consolidated pesticide agreement; 2) permit preparation of financial reports required
      by the regulations; and 3) permit the tracing of funds to a level of expenditures
      adequate to establish that such funds  have  not been used  in violation of the
      restrictions and prohibitions of applicable statutes.

      For continuing  programs,  a proper filing  system should be in place to maintain
      accounting information at the  start of the project period.  New applicants must
      submit  a description of  the  accounting  filing system  with their cooperative
      agreement application and the system should be evident within three months of the
      start of the project period.
      EVALUATION PLAN

      The cooperative agreement should include an evaluation plan mutually acceptable
      to EPA and the state/tribe. As a minimum, the plan should include a schedule
      for conducting the mid-year and end-of-year evaluations.  Appendix VII describes
      program evaluations.  The mid- and end-of-year evaluations of pesticide program
      activities are provided with the state reports  to the  Field Operations Division
      (H7506C), EPA Office of Pesticide Programs.
J.   PROGRAM FUNDING

      Appendix XXIV provides  information on FY92 funding for the Certification
      Program, the Ground Water Protection Program, the Endangered Species Protection
      Program, and the Worker Protection Program.
                                       35

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Pesticide Guidance                                                            FY 92

IV.  ENFORCEMENT ACTIVITIES FOR FY 92 WORK PROGRAM

A,  INTRODUCTION

       Each application  for FY 92 enforcement cooperative agreement funds must include
a proposed work program consisting of a description of the work to be conducted  and a
schedule  for accomplishment of the outputs and activities.   In order to be eligible for
enforcement funds, applicants must be able to demonstrate a need for an enforcement
program  of at least one half of a work year of inspectional/ enforcement activities.

       The applicant and  regional office  should  work closely together  to  develop a
complementary EPA/state or EPA/tribal compliance program.  EPA and the applicants
need to work together to effectively target compliance monitoring and enforcement efforts
towards the areas which  may  pose the greatest  risk to health and  the environment.
Targeting for environmental results must be an everyday part of the enforcement program
in the field.

   The two national enforcement priorities for FY 92 (follow-up on major pesticide
regulatory actions,  and planning for and conducting worker  protection enforcement
activities), once implemented in the field, should help yield environmental results.

       In order to help focus specific compliance monitoring efforts across the country,
Compliance Monitoring  Strategies are developed by the Office of Compliance Monitoring
as major pesticide regulatory actions  are  taken by EPA throughout  the year.   These
strategies directly impact the work conducted under cooperative agreements and will be
forwarded to the states/tribes by the regional offices.  Additional outputs required by new
or revised strategies may require the  renegotiation,  during the project period, of the
outputs agreed upon prior to the beginning of the project period;  this may include
substituting newly required  outputs for  similar type outputs in the original agreement.
FbBow-op on these compEauce moruioring strategies Is essential jri&eir intended purpose
feJP l&l&JK^^JH^^
		.	.

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 Pesticide Guidance                                               .                FY 92

 B.  WORK PROGRAM ACTIVITIES

       As  a minimum,  each compliance cooperative  agreement  work  program  must
 address: 1) each of the eight national  issue-specific  compliance monitoring activities
 discussed below (a-h); 2) priority setting; 3) inspection and sample collection  activities;
 4) quality assurance; 5) formal referrals; 6) enforcement response, and case development;
 7)  tracking requirements; 8) reporting  9)  accounting records and filing  systems;  10)
 evaluations; 11) unresolved problems; and 12) EPA support

 1.  Issue-Specific Compliance Monitoring Activities
                                                     *,
       This section addresses the following compliance monitoring activities: a) cancellation,
 suspensions and other  major  regulatory actions;  b)  worker  protection  enforcement
 activities; c) enforcement activities for the pesticide  removal regulations; d) enforcement
 activities for groundwater protection; e) enforcement  activities for endangered species
 protection; f)  Section 6(g) information submittal and pesticide recalls; g)  exports;  and
 h) certification and training.

 a.  Cancellations, Suspensions and Other Major Regulatory Actions

       For FY 92, a national enforcement priority will be following up on cancellations and
 suspensions of pesticide products, and other major regulatory actions. States will conduct
 cancellation/suspension inspections and other compliance monitoring activities to assure
 compliance with major pesticide regulatory actions within the time frames  specified in the
 nationally issued Compliance Monitoring Strategies. Inspections and other compliance
 monitoring activities for this priority area will address: 1) major cancellation actions; 2) all
suspensions under FIFRA Section 6; 3)  FIFRA Section  3(c)(2)(B) suspensions; and 4)
other major pesticide regulatory actions  (i.e. label improvement programs, etc.)

       On  the quarterly  reporting form (EPA  form 5700-33H),  the  recipients  must
document that compliance  monitoring for cancellation/suspensions  was completed  as  a
component of their comprehensive inspections.   (There is a reporting block under each
type of inspection  on the  reporting form for this  purpose.)  p  discussed under the
          f                r    &               *   f     f  J&.-wvv^*vw   % \%"s%o "A%
TBn&Saf ISecl^jriliBnBaafiSgO^i^nlilaiist tra^ the iospe^tkms. VfolaSons found
$&H&\vw & "^^s *Ssv &4&Kt&&tybi6$R-f&&jl.>, s^T /"X-.NwKxi*' v. ' ^ M&  f >*. wiw.% -. '     -. f. X-X&-AV '">Mv55v*Cff'- v^i-.v. NVV. SSfc^'V.s' * :>* -.  f & *   \'
                         vwW: ^cAScv 'y'**:* v.   %/.*  ".%  .  f v  .. ."&?  - *W^VN^ %v% %.- ^'vt --x*-.v-x %A i. V O -w  - ^ v
                                     :   /*,    viivA*w ' <~,X~<^-.-~>*.-tZX->S>^JJ>.v.-JXWK..^ff^>^X~.^.'s. -~*~
                                         37

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Pesticide Guidance                                                              FY 92

bC  Worker Protection Enforcement Actfvitia
     "-   ----  > --    
                                                               .,...-	,
       I.     Notification to Prospective Constituents

       Between the publication date of the Final Rule and effective dates for compliance,
states and tribes must use the opportunity of inspections conducted under the cooperative
agreement (with  the  exceptions noted below)  to notify  prospective  constituents of the
provisions of the final rule and  to ensure  compliance with current worker  protection
requirements.  This would be in addition to any other methods for notification used by the
state.  (Export and  dealer inspections  would tend to be the only inspections which would
not facilitate notification  of prospective constituents.)

       2.     Compliance Monitoring  Strategy

       states and tribes must submit to their EPA regional office a Compliance Monitoring
Strategy for worker protection within six months of the publication date of the final rule.
This is part of the overall implementation strategy discussed in Part III. E.  of the this
guidance.

       OCM's  Pesticide  Enforcement  Policy  Branch  will issue  the  draft national
Compliance Monitoring Strategy upon publication of the  rule or shortly thereafter, giving
states a chance to study it and begin developing their own.  The state strategy should be
consistent with  the  national strategy.

       The state's strategy will then be reviewed and commented on by the EPA regional
office within one month  of receipt.   (The  region's  review should  focus on whether the
state's strategy adequately follows the national strategy and whether the proposed strategy
is appropriate, given the  state's particular situation.) The state or tribe will then address
the region's comments,  if any,  within one month  of receipt and forward the revised
strategy to the regional office.

       If a state/tribe  cannot submit the strategy within six months of the publication date
of the final rule, the regional office and state should reach agreement on a new date for
submittal.  In the meantime, the state must follow the national Compliance  Monitoring
Strategy.  The  regional  office shall then  request, in writing, concurrence  from OCM's


                                        38

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Pesticide Guidance                                                             py 92

Grants and Evaluation Branch on the new date, explaining the reason for the delay.  (Such
requests are expected to be the exception rather than the rule.)

      For informational purposes, the regional office shall send a copy of the state/tribe's
final strategy to OCM's Grants and Evaluation Branch.

      (Appendix XIV provides two outlines  which  the state  may use  for OCM's
Compliance Monitoring Strategy and  for OPP's Implementation Strategy.)

      As a minimum, the compliance monitoring strategy must include  a compliance
communication strategy, a description of interagency coordination, and a targeting scheme
as distinct components, as discussed below.

      a)     Compliance Communication Strategy

      The  applicant must develop and submit a compliance communication strategy for
      worker protection.  This will describe the  actions which the applicant will  take
      using enforcement  funds to communicate the enforceable provisions and effective
      dates of the worker protection rule.

      (If  an   applicant   is   concerned   about   the  distinction   between  the
      "outreach/communication" section of the Implementation plan required by OPP, and
      the compliance communication strategy, keep the  following  point in  mind.  The
      compliance communication strategy shall focus on the types  of communication
      activities to be supported with enforcement funds.  If no such activities will be
      supported with enforcement funds, then this section of the  compliance monitoring
      strategy  should simply state  so  and  refer  to   the  outreach  section  of the
      Implementation Plan.  Otherwise,  this section should describe the actions to be
      taken in FY 92 to communicate the enforceable provisions.)

      The applicant must identify in the Compliance Communication Strategy the specific
      sectors of the regulated community that will be affected, explaining how and when
      the state/tribe plans to inform each sector of the requirements of the revised rules.

      the  applicant shall gather information available on the number and location of the
      pesticide users and  regulated community  in the state or on the reservation within
      the various sectors  likely to be affected.  (The national Compliance Monitoring
      Strategy will  provide further guidance on where  a state might  find information
      outside of the lead agency to help identify the sectors of the regulated community
      that will be most affected by the new standards). The applicant should discuss with
      the region the extent and  quality of the information gathered,  based on the


                                        39

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Pesticide Guidance                                                               FY 92

      information resources available. This information is necessary to give the state/tribe
      an objective basis -from which to better target worker protection inspections.  It
      could also help the  applicant decide where to  concentrate efforts to inform the
      affected regulated community. (The national Compliance Monitoring Strategy for
      Worker Protection wfll give further guidance on  priorities for targeting.)

      The applicant must inform the regulated community of its responsibility to comply
      with the Worker Protection Rule.  Apart from inspections, the applicant will need
      to develop other means of communicating this information.  The state/tribe might,
      for example, hire a  communications expert to develop a  media strategy, post
      compliance notices  in pesticide dealerships or develop compliance newsletters or
      "compliance articles" for inclusion  in appropriate journals.   These  and  other
      approaches could be  considered  by the applicant in developing  their  enforcement
      compliance strategy. The approaches and  actions to be taken to communicate the
      enforceable provisions of the final rule and to be supported with enforcement funds
      must be described in the compliance communication strategy.

      b)    Inter-Agency Coordination

      Some agencies other than the  recipient of enforcement cooperative agreement funds
      may have jurisdiction  and  responsibility  for  enforcing the  worker  protection
      standards for pesticides and associated labeling requirements.The recipient  of the
      enforcement cooperative agreement funds is the lead agency for enforcement and
      must develop a mechanism for coordination with the other agencies involved. The
      lead agency  must  clarify in writing this mechanism  and specific  roles  and
      responsibilities of each agency. The applicant may want to consider  entering into
      a sub-grant with the other agency  involved and  pass through  a portion  of the
      worker protection enforcement cooperative agreement funds, as appropriate.  As
      soon as  the final revisions to the worker protection regulations are published,
      cooperative agreement recipients should begin discussions with other appropriate
      agencies.

      The Inter-Agency component of the compliance monitoring strategy must include:

      1.    A clarification of the specific roles and responsibilities of each  agency which
            has jurisdiction  and  responsibility for  enforcing  the worker protection
            standards in the state;

      2.    A  description of  the  mechanism  for  coordinating  with  the   other
            agency/agencies involved; and
                                        40

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Pesticide Guidance                                                              FY 92

       3.     A copy of any sub-agreement package negotiated and approved

             Development and submittal of  the  above only applies  to applicants in
       situations where more than one agency has jurisdiction  and responsibility for
       enforcing the worker protection standards.  (It is important to address this topic
       specifically within the enforcement context since it may be the case in some states
       that  worker  protection enforcement  responsibilities  are  shared,  but  program
       responsibilities are not shared, or vice versa.)

       c)     Targeting Scheme to Ensure Compliance with the Worker Protection Rule

             The applicant must develop and submit a scheme specifically for targeting
       inspections to ensure compliance with  the worker protection rule.   Targeting will
       hot be implemented until the effective dates for compliance  have passed.  The
       dates will be specified in the Final Rule. (OCM recognizes that if a state requires
       more  than six months  to  complete  their compliance monitoring strategy, it will
       probably be due to the development  of a targeting scheme. If it is necessary to
       renegotiate a date for submittal, the region might want to require timely submittal
       of the first two components while  allowing the state more  time to  develop a
       targeting scheme.)

       These inspections should be comprehensive,  targeted specifically  for  when  and
where  activities regulated by the worker protection  rule are most likely  to take place.
(Specific guidance on the priorities to consider in targeting worker protection inspections
will be included in the national Compliance Monitoring Strategy, which applicants will use
to help identify the priorities applicable within their state/tribe.)

       3.     Implementation of Compliance Monitoring Strategy

             Within eight months of the publication date of the  final Revised  Worker
       Protection Standards,  or before, states/tribes  must begin  to  implement  the
       compliance communication strategy and inter-agency  coordination  components of
       their  Compliance  Monitoring Strategies.   (If the state/tribe  does not  have a
       compliance monitoring strategy in  place eight months  after the publication date of
       the rule, it must begin implementing the National Compliance Monitoring Strategy
       until the state strategy is in place.) This eight month time frame takes into account
       submittal of the strategy, review by EPA and the aforementioned time for making
       changes, if any,  to the strategy.

             Once the effective dates for compliance with the Final Rule have passed, the
       targeting scheme must be implemented.


                                        41

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Pesticide Guidance                                                              FY 92

       4.  Inspections! Activity

             (a)  Conducting Inspections

             Once  the compliance dates for the revised worker protection rule have
             passed,  the state/tribe's  pesticide  inspection activities will  need to include
             monitoring for  compliance  with the  new worker  protection  labeling
             requirements.     Monitoring  for compliance  with  worker  protection
             requirements shall be another element of comprehensive inspections.

             (b)    Incident and Complaint Investigations

             Applicants will  also conduct  investigations in response  to  incident and
             complaint reports.

             (c)    Tracking

             EPA will  track Section  26 and 27 referrals; applicants will track tips and
       *     complaints not referred  by EPA.

             (d)    Inspection Checklist

             It is recommended that the applicant use the national Checklists now under
             development. The Checklists will include a section for monitoring compliance
             with Worker Protection requirements once the compliance dates are effective.
             The checklist may be expanded or modified to suit state/tribe  requirements,
             as appropriate.

       5.     Training

       Using funds received for worker protection enforcement, states/tribes should send
appropriate personnel to available EPA-sponsored training  sessions on  the new Worker
Protection Rule, provided that the state lead agency can obtain approval for employees
to travel out-of-state,  if necessary. The number and type of personnel to be sent should
be discussed with the region.  If the state or tribe needs to supplement federal training
with their own training, the  development  of  this training should be  coordinated and
discussed with the regions.
                                         42

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Pesticide Guidance

       d.     Reporting
FY92
      Applicants  wflj need to  specifically  report  on  the implementation  of their
compliance monitoring strategy and the other worker protection enforcement  activities
described in  this section.  Two  reporting mechanisms will be used to document the
state/tribe's worker protection compliance  monitoring activity.

             1.     Evaluation Reports

      The regions wfll document the state/tribe's worker protection compliance efforts as
      part of the mid-year and end-of-year  evaluation  reports.   (As  a minimum,
      evaluations must address the topics  listed in OCM's core protocol for FY 92 mid-
      year and  end-of-year reviews of worker protection enforcement activities. This
      evaluation protocol is being updated during FY 91.)

      A thorough discussion and evaluation of activities  will be necessary in  order to
provide useful information to Congress.

             2.     Quarterly Accomplishment Reports

      The second mechanism will  be  through the  quarterly reporting mechanism.
      Following the effective dates for compliance, the state's inspections performed under
      the cooperative agreement must include monitoring for compliance with the worker
      protection rule.  (Export, certified applicator records and dealer inspections are not
      applicable in this case.) If  monitoring for worker protection requirements was not
      included as part of every remaining type of inspection, the grantee must explain why
      in the  narrative section of the quarterly report.

      Once the  compliance dates are effective, this information will be used in  reporting
to Congress and responding to Congressional requests for specific information on  the
number of inspections performed  to monitor compliance with the worker protection rule
and to ascertain the status of enforcement efforts and implementation of worker protection
compliance strategies.
   RannmgfiifbTt
  .v, gVwM-oowvMw^-v^-irttiaMttixiti
                                        43

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Pesticide Guidance
                                                                FY92
                               must
                                         HRRA. Igr DeofiUgg. JK J9 Jpbe
                                                                  '
                                                                              wiffi
                                                                 -**^vi<^v.^<,^x^.-X4W^> .%><*, )ix-

wfakft'wiB fo conducted itittaurt  v*f, J-A- v  v   % v. 'A      . . -.VAV w v '.VA'Xv.- s w W
      Enforcement Activities for Groundwater Protection
       1.
In FY 92, states/tribes will continue to monitor compliance with and enforce
labeling as part of their routine inspections based on priorities agreed upon
between the region  and the state.

In targeting use inspections, states/tribes will take into account areas of high
risk for groundwater contamination, along with how these areas overlap with
locations of pesticide  use.  In their  quarterly reports, states/tribes  will
document the number of inspections  which included compliance monitoring
for groundwater-related requirements or groundwater sampling.
Ai part ;;of
                                                              >Hh
             prote^nJon implemeDtation plan or state/tribal Mmgement Plan, states/tribes
             may conducfjMS foijowihg activities ;
             .-. .  *   ww. / f. w.v4*w*>AVi.A % %   ff Ut? : v ff.:   --v. .
      These activities relate to enforcement  elements that may make up a particular
state's/tribe's groundwater management plan.  These activities may be part of either a
generic or pesticide-specific management plan  that may be funded by OCM enforcement
monies.

                                                                              'ISiOflS
                                                                nffidwater ^rotectfojEl
                                         44

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Pesticide Guidance
FY92
                                         ^
                   If applicable within a state. FY 92 ftrod* maj $&ti*& *# States/tribes
                   to develop airy Memoranda of Understanding wfflj other agencies to
                   coordinate specific enforcement respoadbfllUe* aud actions.
                   A\\ .%.%.. \   \ V^A* > * .SW/ WX \  % SV.A*  f W f S -. .-yW.'v   .VSWA-HVCSVWWMCW  , 4^\4Wk>.VSvX %
            d.     If  states/tribes need to  develop enforcement authorities  and/or
                   prohibitions which are more stringent than those currently in place for
                   the protection of ground  water from pesticides, then a portion  of
                   cooperative agreement funds, as agreed upon with the regional office,
                   can be used for development of such  enforcement authorities.  The
                   development should occur according to a schedule agreed upon with
                   the regional office.

            Several existing' federal $tatitte$ curremW jwovidCSa&tceaicnt authorities in
                         V             * , *, ** -A  v  if * /.  /*->  V>> >Xv  *    v.   fv  . ^
                                             i detected wShla a pob^ water supply
                                             -vX^^Xs^/  v1- .v jw y*S>;--+> ' 7v^- *  A-> v / -J^v .  w.   f^f *
                                                        ~	
                                        45

-------
Pesticide Guidance
                                                                 FY92
                   *^jt iA***iiik3^J
                   vOtiHtTinnfi'
                   X  >.*&* v -X>N  **. vVvJ^>/:^vX4^
             Wlfifen
             drioklnc water tonolies.
                           ^
                                                                               state
lead agency (SLA) develop for their
,        V ^ \ *A -V. V  ^ .     V * V, AS'. A  *.*W  .V.- VV*  .
chart"  which indlcatea 0e ^enforecmeM '
                                                                     , . .  , ,       .  .
                                                               ^ acb of the state

                                                                          ^rf ground
                                                               tX' Vs.~. *.-., .-.    ^w^-vsv^^. .  m
tf the state age^contacfan
         igei* cooRTwse t!&
         , 9  -.  :        >-.,.
         ;: with ' regard " to
                                                                     state
                                                                        enforcement
e.    Enforcement Activities for Endangered Species Protection

      Please  note:   EPA anticipates that sometime in  FY 92 the  Agency will issue
Pesticide Registration (PR) Notices to registrants of affected products. The Notices will
require pesticide registrants to modify the labeling of products affected by the Endangered
Species Protection Program. All affected  products "sold or distributed" after a specified
date will be required to cany a label statement directing the user of the product to comply
with the limitations in the bulletin.

       1.     Enforcement of the use limitations to be imposed  to protect listed species
             wiU be  carried out under the provisions of FIFRA addressing misbranding
             and misuse. Products whose  use requires limitations to protect listed species
             and which  do not carry the necessary information  on  the product labeling,
             may be identified through routine inspections of manufacturing facilities and
            pesticide distributors and dealers or through information received regarding
             suspected misbranding.  Products found to be misbranded (i.e., do not carry
             the required label language to protect listed species) may be subject to

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Pesticide Guidance
                                                                      FY92
             enforcement action. In the field, pesticide misuse will be identified similarly
             through routine inspection and information provided regarding alleged misuse
             of a pesticide  product  In targeting use inspections, states/tribes will take
             into account areas inhabited by endangered species, along with how these
             areas overlap with locations of pesticide use.

             Once the final Endangered Species Protection Program is published by the
             Agency, the states/tribes will need to plan for and implement appropriate
             enforcement measures.  The  states/tribes will need  to  comply with the
             national  Compliance  Monitoring Strategy for the Endangered  Species
             Protection Program to be issued in FY 1992.
            BiffittjttkgS^^

                     FEFRA,
                                                                              wbo
                    .        .
apeifcd or canceSed pesticide to notif? EPA. state and/or local oi&ials of the quaiitities
  -.*  ^    V/A/       ^*'i   V    -..-   * _    *     ^  v    ..  %  ' %%s// *vv.v .       ^ s    s \
                                                                              6(g)
                                                                               ^**i!
                                         .         .              .  .
                           fil accorMe scctioa 6(  fcfb^            feflure to submit

                                                                                
As part of tlitir
     suI)mKtal
                                                                    they receive 
-------
Pesticide Guidance
                                                                            FY92
                           EPA"may'also^^i&e~1regjftiiuiti*tiHS distribirfofs" Id" recaB
                   ;lWc%"Hv^"i^v|otb'"d8pe^c^ j^'jpaiSBst-^ Once Ihecinweal
                    w f, vsXv-X-Kv. . W^M ^vtvCtsv  .. '<*ff ^v, A .-.v .-, W ^ >.%. %%%< AVMV.V\%-. v4>MlK% 
                    .                  .
                    ifatesftribeTfriB
                                                                           x

                                  ;p^;iSl^ra^lyaai^^
                                  >w.. x vSA'-V^^^^tf v  > vjukC-s^ ,^v^**^ v^^ M^^t2< *tt'>C>" v'oyw,, ^s, s,v  < ---aisai i  ^ ^# v-  J*\ **< vvxJ.evjaSKv.N-^isv^' ( ^>%>*; <>>wfc\ *?>*/   .,**.
                d prwfect wfll be included M aB cheanical roesyx-.v.ia-.,l:-.'.-:vx,.y- A SV-:XS-^%K>V* *^< " ^-K--;H%<*. SM*^.^ X^A-  %> ^*lfK v & w *  -W^ -^. % i  *^  O ^<- **- -.^ -
                        and Training
                        't'. \U jT^v.T^j'Aiuv^'.^vJ'Mu^lW
   training tod certiMnk pesticide appITcaton and minim
   X4v^vMw>w fF %wrf * .rwV^NVA*^ AA W? *A*W. ^fr^M^HMM*^^ *>* rf ^,w-v->X^,vii*^rtr^*^X-A%V < vWv>

                ^^
                                            48

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Pesticide Guidance
FY92
                                                                SKH&grt
       j^^:p^^^^^^j^m'^m^mtk^^^KM:^
                                                          nBCfrf>-'
                   .                ,  ..  J                        .j            . v
    iH*jW;w^j*^^

                                                             jtandattf ii^tbod foi
                                                             . V  s  \    ^s s%s     .

                                                                     aaechairiim
   ..       .             ...  .        .       ___                .            .
to collect and track tfiSlwIatfbn information.  The cots fOT paciing and submittiDg tMs
^       ^A . /     **..}       AVV>X   ^S-A  S 'S "  *fS VMVJ-y-f A -A V \ \ f *^ ^X^^A A^WwX^S^X V. A\V VV.VA  VW* A VS ^ >/X -X-A-.
           ma be Dec^tte ninkj the ccKroeralivc agrccmeiiC
                  *               is^J*. w^-t- *vv*/->Xl^ >. s >Ww^v^^wAVXUwt^vtaXM}
3. Inspection and Sample Collection Activities
                                                                          ,
      Appb'cants will  project and conduct inspections and  sample collection activities.
Once the applicant has  determined its  priorities  (taking into  account the national
enforcement priorities), the  state/tribe  shall  describe its proposal for carrying out a
balanced program  that addresses these priorities during the agreement period.   The
outputs, which the  applicant proposes to accomplish during  the agreement period, must
be aimed at solving and dealing  with the  pesticide problems identified by the priority-
setting process.

      With regard  to sample-related projections, prior to negotiations with EPA, the state
lead agency shall consult with their  colleagues  in  the state  laboratory which will be
conducting sample analyses under the  cooperative agreement. This should help facilitate
input from the state laboratories into the cooperative agreement program, in a coordinated
manner  within the state. Where appropriate,  the state lead  agency (SLA) is encouraged
to invite their state laboratory representative to the negotiation session with EPA.
                                       49

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Pesticide Guidance
                                                                           FY92


Federal Facility
                                  r '  With regard to federal faciSty inspections, as stated
                                   *" ' ff "'    f ^^  v%s* <  > V v   "  v v<*<     ^ : f  f  s  \\  T \    r
                                                                   :      s  \\  \
                    jW^

                                                                               adeqaate
          ,     f                   .          .          ^v.sv.   ^    v/^  .-vv^vw/ * s s
fospection coverage of federal fecSMei In eacb state.  In most case* this regional office wfll
  v*^ * $.,.v.. SSWW.A  ' %   -^ AVS  ssVX V^X <'VAV,'/-> AcAVhA^ VA v,v%% ^ > A-^fc*'/ ^- ><*  s ...-.^^-JW^ <' .v >XvSh'{-.-6vC:>^.P' ;J %**. X. / -y4K> v-4>v A "T -Iv1^'  ,&>-.    *. ^Sx*
negotiate a Commitment for lft~recfpfenVfc ^te^N^mweNTilpal nQmber of federal
  %'r^--  ^ - > AVk * >% -k  ' XV       S>    -          ">A         >A-.rtNW^ 'Vt^ *  vXV ^' V-   A        -. ^   SSSA^S%
^cffilf^ccttons.  THoe inspections ifco^I*^]^
routinely condiicCed and outKoed
< *<*** *&* M-vtt ,. f .  ^' ; 
                       IrispectkiM:   It I* expected that tl states/tribes  wiB conduct
                       w**<^^*'**'*"*^'*''*"<*  -^ . rf**1 % JV>. !w.v *  .- %  ^. !w.v *  .- %  ^*r*f <&}f f f X^->Xv> >\w v />*> *-. '.VA- Xv
                                                                                   which
                                                                  ^tffefcj^Ngw.
                                                                  ^^State^rJ^^|hcniKI
                                                                       '"""*""'""'	takes
                                           50

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Pesticide Guidance
         FY92


                      ^                                                     
Hea
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Pesticide Guidance
FY92

                                       >
                Federal Trade Commfeskm (FTC) Act
                ,* **}, j.jy, fl^^-.s*^ . < .j.^j^s-, W^A^-^^A  WWSJf-& f f **f ^X f,w f*f+ *je yf. v
                                fn&Vr to' be provided
                                XV*.<^>t>\ % ^ A Xs s* \ >-.   ' s --v *'< ^i-'s^^'^v    s  CM<X'-1''- *<*
                rP$^i*^^
                :
                  Enforcement taken umler state law
                     ^ -----            '
                                       52

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Pesticide Guidance
FY92

              .              .       .     .      ,,   .      .,      tf     .    .  s.. ,
             create a format simflar to appendbi XXH1 dociimcntftig the results of their
                   -AS    w ^  > V d- d- V  s  '>  ^ w  ^  s VH > %    \ ^dw *   V X- "s  ^^ *  \-. s v *   -.-.'^Xjkvv  A ^  > >
             activities.  T&e appeadbt  contain* the 4ccepf$ble mintownwqulteineirts for
                * -     v ss ^  -. ff\Mff.v.-. . VA -b -* \ v rt\  -.-.// AVv w wrt%WAV*s  w.   -.V  *.$. ^#  AV.rt-.v-.  ^. %
;   To faciHtaw fteseow im^ctiom and the afortme
    ^*/       ^       . ^^^     *S      V S \  A             ^/XV. . ^ >< _  ^-.A1--     /     **-.*.
pertodkala, teparate FY tt'&mpftw* iaonit()ring^gukfeik*,>il| be sent to the Staled
*   ^s   s  ' ~ fa * %   ^  vx*fr \^s%  *v  ^  vs  f  '' ~.  ^" " % .v.   s v> **\*% ' v -A v. *< ->/ -.v, s  w\ .Cs-,<^v> v.%'    \-.v'*
throodi the Regions, during FY91.  The result* of the FY 92 feJtfetive will be analyzed
    N "  \/   s.    "^ /    J . A  ^^ -.i-A\-.svv.%  -.-.v          vX 4>.w.%  s**.vi*.v*m*v.* A v**^>Sw \ \ d^s^?^vl vX-wdw ^^*^^ vCvOvX> .vtvJMA sfc \ * vj> v> ' AVd> AVAV. MMAV. JIA^V
       Producer
                        :$|c^
etab}i$hmentt fn any g^en sWte are"mspected ovex a spedfied finie-frame on a routine
    -----  ^   ^    .-   ^ '^ ' ^ v  ^ -W^d- .'  ^ ^ ^ d-A ^ *    ,    ^*,  *v VA->V*X. -W*- f*  ^*X ^0. S  ^  w %4. s% .,  ,
batii;
5.  Quality Assurance

      Applicants  are  responsible  for  analytical  activities  under  their compliance
cooperative agreements and therefore must estabb'sh  and implement  Quality Assurance
Practices as described below.  Analytical procedures conducted for enforcement purposes
under conditions  specified by the cooperative  agreement  are not subject  to  Good
Laboratory Practices (GLPs). Laboratories  performing analytical services  under  this
cooperative agreement must follow practices and  methodologies as agreed  upon in their
approved QA Project Plan.

      All cooperative agreements involving environmentally related measurements or data
generation are required by the EPA Grant regulations (40 CFR Part 31.45) to develop and
implement quality assurance practices consisting of policies, procedures, specifications,
                                         53

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Pesticide Guidance
FY92
standards and documentation sufficient to produce data of quality adequate to  meet
project objectives  and to minimize  loss of data due to out  of  control conditions or
malfunctions.

             a.     Quality Assurance Project Plan

       For FIFRA Enforcement Cooperative Agreements, a Quality Assurance Plan is
required for sampling/analytical activities conducted under the agreement.   Sampling
activities are not allowed until an EPA-approved Quality Assurance Plan is in place.  The
EPA Quality Assurance Management Staff (QAMS) recommends that Quality Assurance
(QA) Project Plans, rather than QA Program Plans, be developed for FIFRA Enforcement
Cooperative Agreements.

       QAMS  has  issued a document titled, "Interim  Guidelines and  Specifications for
Preparing Quality Assurance Project Plans" (QAMS - 005/80, December  29,1980) to assist
applicants in complying with  the quality assurance requirements.   In addition, to  assist
applicants, NEIC has developed a model quality assurance  project plan for  pesticides
sampling and analytical activities.  The states/tribes may use this model or develop their
own.  (See appendix XVI.)

       Each region has an individual  assigned as the Quality Assurance Officer and that
person will be available to assist the state/tribe in development of a  quality  assurance
program.  Copies of the documents referenced above will be obtained  from the regional
Quality Assurance Officer, who is responsible for approval of the Quality Assurance Plan.

       For continuing cooperative agreements, applicants conducting sampling/analytical
activities under the agreement must have in place a current approved  QA Project Plan.
If a Quality Assurance Project Plan submitted in previous years continues to reflect the
sampling and analytical activities proposed for the current year, reference to the approved
plan on file in the EPA regional office  will suffice. Any significant changes  in content
(including signatories), however, requires submittal of  updated pages, or the entire plan
as appropriate, with their cooperative agreement application.
                      -  -  - -
      New   applicants,   including  both  states   and  tribes,  which  will   conduct
sampling/analytical activities under their FY 92 enforcement cooperative agreement must
submit their Quality Assurance Project Plans for approval and implement these plans prior
to conducting sampling activities under the agreement. EPA Headquarters recommends
                                        54

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Pesticide Guidance                                                              FY 92

that this be done within three months of the start of the project period if not before the
start. Sampling activities are not allowed until an EPA-approved Quality Assurance Plan
is in place.  The  schedule for submittal of the QA Plan must be included in the FY 92
cooperative agreement as agreed upon between the applicant and EPA.

      b.    Analytical Methods

      Pesticide formulation samples collected for determination of product compliance will
be analyzed by the applicant's laboratory, or other laboratory specified in the agreement,
using the EPA Manual of Chemical Methods for Pesticides and Devices, Association of
Official Analytical Chemists (AOAC) analytical  manual (14th Ed.),  the Collaborative
International Pesticide Analytical Council Manual (CIPAQ, or other standard analytical
methods.  All potentially volatile samples will be verified by procedures spelled out in the
NEIC Pesticide Products  Procedures Manual or as otherwise  specified in the Quality
Assurance Project Plan.

      Pesticide residue samples in support of misuse investigations will also be analyzed
by the  applicant's designated laboratory, using available FDA, EPA,  USGS  or other
accepted methods available  in the scientific literature or by the pesticide industry.  All
reported results will be accompanied by appropriate quality control parameters so as to
allow evaluation of precision,  accuracy, freedom from interferences and confirmation of
pesticide (or metabolite) identity.

             c.    Cross Contamination Screening

      Applicants conducting  sampling  activities will establish  and  utilize  a cross
contamination screening program for pesticide formulations in accordance with the EPA
Cross Contamination Guidelines.  (See appendix XVII.)

             d.    Check Sample Program

      Each applicant conducting sampling activities will participate in the EPA's national
Enforcement Investigations Center (NEIC) Check Sample Program.  Under this program,
EPA submits pesticide formulations and residue  samples to applicants' laboratories for
analysis and Cross contamination screening, as appropriate.

      The applicant must submit a report indicating the methodology used and the results
of the analysis  to EPA. EPA will review the report and inform the state/tribe  regarding
the accuracy of their analysis and the methodology selected. If a state/tribe fails to obtain
the correct  results,  EPA will assess the problem, provide assistance to the applicant's
laboratory as appropriate and/or conduct other follow-up activities. This program will also


                                        55

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Pesticide Guidance                                                              FY 92

help assess whether  the states/tribes are  screening  pesticide  formulations  for  cross
contamination,  since some check samples may be contaminated with another pesticide.
NEIC  currently notifies each laboratory and regional office of the check sample results.
The regional offices will provide a copy of these results to each state lead agency or tribal
agency/Chairman in their  region which utilizes  that particular  laboratory for sample
analysis.                                            .

             e.    Back up Analysis Procedure

       The  applicant  can  request back-up  analyses  from NEIC  or  other  NEIC
recommended laboratories,  if necessary  or  requested by the region.  Examples where
backup analysis may be requested are:

       o     A state/tribe,  which  is unsure of the results of an analysis, requests an
             impartial or second analysis before initiating an enforcement action;

       o     A state/tribe requests that EPA take the enforcement action  and EPA
             desires to check the state's/tribe's analysis.

       o     A reference  analysis  is required due to conflicting results  between  the
             state/tribe and the regulated party.

             L     Training of Analytical Chemists

       EPA will provide training of state inspectors and analytical chemist, as necessary.
Using  cooperative agreement or other funds, the states should avail  themselves of EPA
workshops,  seminars   and  meetings  on  proper  sampling,   analytical  procedures,
instrumentation, methodology and quality assurance.  The regions will work closely with
the states to assist in identifying needed training  opportunities and help in coordinating
participation.

             g.    Laboratory Reviews

       Personnel  from EPA will also be available, if requested by the state or EPA
regional office, to review state  laboratory analytical  capability and  procedures,  and to
discuss areas needing improvement.  Requests for these visits, which will usually be made
by representatives from NEIC or the regional Quality Assurance Section, may be initiated
by the state or the EPA regional office;  they will be arranged by the regional office. A
formal report of findings and recommendations will be  prepared by EPA for the state
upon completion of the on-site visit
                                         56

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Pesticide Guidance                                                              FY 92

             h.    Provisions of Analysis Results

       The applicant will send a copy of the results of any sample analysis made under
the authority of FTFRA to that person from whom the sample was collected.  This is a
statutory requirement under section 9(a) of FIFRA,

             L     Submission/Retention of Reports

       Copies of all analytical reports, associated raw data and other necessary records for
samples collected will be retained by the state/tribe and be available for examination by
EPA, or be forwarded to the EPA Regional Program Office.

       The analytical  reports must be retained by the applicant or the  EPA Regional
Program Office until the associated enforcement cases are resolved and closed out.  It is
recommended that analytical reports be retained for a minimum of five years.

6. Formal Referrals
      ^                                       	
       States/tribes will conduct activities under FIFRA Section 26 and 27. Section 27(a)
of FTFRA requires EPA to refer to the states/tribes any information the Agency receives
indicating a significant  violation of  pesticide use  laws.   In  accordance  with  the Final
Interpretive Rule governing FIFRA  Section 26 and 27 and the  1985 policy memoranda
from A.E.  Conroy II, EPA in consultation with  each state/tribe will identify, in writing.
priority areas  for formal referral to the state. These priority areas will consist of those
pesticide activities in  the  state/tribes which  present the  greatest potential for harm  to
health and the environment.  The priority areas will be revised annually, based upon the
effectiveness of the programs in reducing the harm associated with pesticide use in the
state/tribe. The negotiated written agreement between the state/tribes and the region will
contain the criteria for the selection of significant pesticide use cases. Pesticide use cases
involving worker protection, groundwater and endangered species will be among those
considered significant within the context of the agreed upon criteria for significant pesticide
use cases.

       All pesticide use cases, identified  as  significant, will be referred to the  state/tribe
by EPA in writing, and will be formally tracked as set forth in the Final Interpretive Rule.
All other cases wfll be referred to the state/tribe for information purposes and will not  be
formally tracked

       The EPA regional offices wfll formally track all significant pesticide use cases, which
are formally referred to the states/tribes  under the Final  Interpretive  Rule governing
FEFRA Sections 26 and 27.  The state/tribe must commence appropriate enforcement


                                         57

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Pesticide Guidance
                                            FY92
action for cases, so tracked, within 30 days after completion of the investigation. This
period may be extended, after negotiation, if required by the procedural characteristics of
the state/tribe regulatory structure or the complexity of the case.

       If the state/tribe has not reported on the investigative status within 30 days of the
date of referral, EPA will contact the state/tribe to learn the results of the investigation
and the intended enforcement response to any violations detected An investigation should
be considered adequate  if the state/tribe has: (1) followed proper sampling  and other
evidence gathering techniques;  (2) responded  expeditioush/ to the referral; and  (3)
documented all inculpatory or exculpatory events or information.
                                                     A.
                                                    *.
       If the region determines that the intended enforcement  response  to the violation
is inappropriate, EPA will first attempt to negotiate ah appropriate state/tribe enforcement
response.  If the state/tribe  is  unwilling  or unable  to alter  its original enforcement
response, EPA may bring its own enforcement action after notice to the state/tribe. That
notice will summarize the facts relating to the state/tribes enforcement response,  discuss
reasons for EPA's determination that the enforcement action is  inadequate and state that
EPA wi|l initiate its own  enforcement action.  The region will not initiate  an enforcement
action sooner than thirty (30)  days after the state/tribe was notified.

7.  Enforcement Response and Case Development

       Applicants without state  pesticide  laws or tribal pesticide codes and  associated
regulations must  conduct inspections under federal  authority.  State pesticide laws  and
tribal pesticide codes empower the state/tribe to conduct both  pesticide  inspections  and
enforcement activities as authorized by their laws or codes.
state*
civfl
                                                                  $* eaowgrapff to
lake the neceasar? steps to dwetop a crvfl pejry program and iet* *oaj far cdajpJetioo
 .J-w ..'*-.vww/.vcx v.   s f W-. '  +* fff.  f  v. rtsv*-- ' v-     *    ^ i&S WttU^*'.>.'ttiv/s4t%v -.>%& < s W-.-^Jv? s^X vt^vT-J* v
                      EafotetauaA grant fund* can
                      JV.^ X?s5T ;,~" .& "W^sSX. ^^^Z\

      Work programs must address each of the following items (a-c) in this section.
                                         58

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Pesticide Guidance                                                              FY 92

       a.     Enforcement Response Polky

       Each applicant conducting enforcement activities under the FY 92 grant must have
an up-to-date Enforcement Response Policy (ERP) in place before the regional office
approves funding for a cooperative pesticides enforcement agreement  The timing of this
guidance document should provide sufficient lead time to affected applicants so that they
can update  their ERPs, if necessary, prior to their  submittal of the FY 92 enforcement
cooperative  agreement application.
                            A ". * V* f W-. V   * -.  ^ *.%. \ W. N-XV.V % SV* . S .WtV.*. -.  * V. V.VMMAMXV*-.-.-.-. \ AvXl. .-._' 'Xv V^Ow-S^  .,.<.. \ %*

                         .   ^%VVV% rt%  . S S -.S -A^-.  ^ \   % * W " SV. /-.-. V. -.% USSVWU % % %-,VW .-AV>.-.>.-.VS%'V4MM rt  s    ^AW W.  f, . * f,v,f+*fj\ v. v,ff,Aff K.~.f,vf,f.f f , f, v ffff: s ~\ VA    * W ^^^^ W .* w.v'.w*. -.v v/ VA.A %'v*-. iMSiWA%vvAv4vOv ss^ \ Nv. VSW
      A copy of the up-to-date ERP  must be submitted along with the application, to
OCM's Grants and Evaluation Branch  in order to develop a national repository of state
ERPs.

      As a minimum,  each state's Enforcement Response Policy should include  the
following:

      o      List of violations likely to be  encountered;

      o      Mechanism for determining level of gravity for each type of violation;

      o      List of enforcement remedies available for each type and level of violation
             (include both state/tribal  and  federal action);

      o      Escalation of penalties for second and  subsequent violations;

      o      Consideration of potential pollution prevention enforcement penalties and/or
             in settlement of enforcement  cases; and

      o      Timetable which the state/tribe will follow to insure the timely investigation
             of complaints and the timely issuance of enforcement actions when violations
             are  detected.
                                         59

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Pesticide Guidance
FY92
                                       		"	~  	  "  	 ~

                                     *>.;-  >W%;> ,~iio,>-~x~-(>~ -,.*,*S~,,^*~ * *~ix.> e^,.*K.
-------
 Pesticide Guidance
FY92
                          Violations of Federal Law Only

                                             ,         .              ,

                        ^^
       The state/tribe will prepare and make available to EPA, when requested, testimony
and other evidence  pursuant to the procedures adopted^ by EPA.  The state/tribe will
provide witnesses for informal settlement conferences, public  hearings, and appearances
in a court of law, as the EPA requests.

                    3.     Violations of Both the Applicant's and Federal Law

       If evidence reveals a violation of both state/tribal  and  federal law, the state/tribe
may bring appropriate enforcement action under state/tribal law or refer the case to EPA
for action under FIFRA. In the event that a case is referred to EPA for action, the EPA
case preparation off cer should review  the case file to ensure that state/tribal inspection
procedures adhere to basic constitutional guarantees and EPA should proceed with the
case.

       For all pesticide cases, for which  the  state/tribe  determines that  the  most
appropriate enforcement action is not available  under state/tribal law, the state/tribe may
refer such cases to EPA for enforcement action under FIFRA.

       c.     Cross Jurisdictional Situations

       For a  successful  cooperative pesticide  enforcement program,  there should be
cooperation between the tribe(s) and the state(s) in which a  tribe is located.  Because
many of the distributors and applicators of pesticides on tribal lands are not located on
the  reservation, it  is important  that   tribe(s)  and state(s)  involved  be  agreeable to
developing  procedures  for  cooperative  enforcement  of problems   involving  cross-
jurisdictional situations.  As a goal, EPA Headquarters recommends establishment of such
procedures.   EPA regional Project Officers can  facilitate coordination between  tribal
representatives and  state representatives of the state in which the tribe  is located by
negotiating time lines, where appropriate, to be  included in both the tribe's and  the state's
work programs.
                                        61

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Pesticide Guidance                                                                FY 92


-*Swfr*N*>Vt^^'''- w Wnm*tt&.*\m,. ifavf tew v^x*
                    ~ Enforcement action token
                    -DateA    v %<%\-i  ^  -.-.      ^%%
                    -Dispositicmof actkm
                    >i*/.!;'A^ *nfjt. s *. f" *Aw.- 1/.>N
                           in^^^^^^^                           the rapid idenfi&catici
of the jtrins of a case   d ^ Monnaticra resoaice for MbnnSig citizcni of tbe
A- .*!VA  ^ >* *: AM- *' >. ,-. /  ^.v^ ft X->A>, < ' \ .sv J*v ^. v.  A / v*. .-.S^A- v/.- .  ;vft AX- Xv / -UnvvkUWAXs 1J*Av.-.-*K v***X-ivw.v*Av ,v^.-.-> : .vXww*
that Judi files wiH be mairttaiDed must be addressed In the cooperative agreemenJ wodc
       v. *X\v. ^<^.^ ^rf^<. >v. y  s^v>Mv- v rf <.ft.MV ,->..* .- . X-\-.\ v ^....\...s..... A .v  y, X-.- ->X-  .'.-<>>Sy^ ^>NvM>Xv> >y.0*" *>.* A- ^.-  .  .- w.v .*v*.->X X- <**.>.<  ^
       New appffi^ti taust M)mit  a description  of the frackmg system with theit
       'f    \^W*      ^ 'A -,; ..-,<>.% A A\       \ .     *  \-.\  >.\\  -.WA   Iv     \ ^ir  V     %   . /
eraiive a^eemeot appHcatiQa and the system BiBf be Cvidtfil witMa feree montbi
   w   %    s -,  ^^     -.     W w   \ % % v%V% *%   / % \^ \ v AVAV* A' ^  ^^ vvw w.s\% v-vtw. *.v. ^ f ***++.    - -VANS   . \     -.
    btf nan
       
       UBdertfceafoi
                          '"	'  "'     '"  '   ~|^c^;^etttoftffiiMipio
                                                            vmnjm Wlobec&$
                                                             W  <  '.SWX" VffMff %*V.S \ .SV.C . S^ ff % "A\*W A>

9. Reporting

       Applicants need to use EPA Form 3700-33H (in appendix XVIII) for reporting
inspection  and  sample  collection  accomplishments  under  the FTFRA  Enforcement
Cooperative Agreement.  A narrative report may need to accompany the revised reporting
                                          62

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Pesticide Guidance
FY92
form to discuss any pertinent state/tribal enforcement activities not addressed on the form,
any program highlights and/or any program problem areas.

       Completed compliance  monitoring reporting forms are required quarterly. These
reports showing inspectional  activities and  enforcement actions  accomplished will be
submitted by the state/tribe to the EPA regional office within 30 calendar days following
the completion of each federal fiscal year quarter.  Quarterly reports are due by January
30, April 30, July 30 and October 30 of each year.
      Reports wOl be prepared on inspections and enforcement actions taken after "major
pesticide regulatory actions" as specified in the applicable compliance monitoring strategy.

      The regional offices' requirements for reporting cooperative agreement projections
and accomplishments to Headquarters are discussed at the end of appendix XVIII.

10. Accounting Records and Filing Systems

      Applicants must maintain accounting records for funds awarded for each component
under  each  agreement  (including  receipts,  state/tribal  matching  contributions,  and
expenditures)  in accordance with all applicable EPA regulations and generally accepted
accounting principles.

      For continuing programs, a proper filing system should be in place to maintain
accounting information at the start of the project period. New applicants must submit a
description of the accounting filing  system with their cooperative agreement application
and the system should be evident within three months of the start of the project period.

11. Evaluation Plan

      The cooperative agreement should include an evaluation plan mutually acceptable
to EPA  and the state/tribe.  As a minimum, the  plan should  include a schedule for
conducting jjjjjj! mid-year and end-of-year  on-site evaluations.

                                        63

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Pesticide Guidance                                                            FY 92

                                      to the
RnfltiTfA)

12.  Unresolved Problems

      The cooperative agreement work program must address any unresolved problem
areas identified in the most recent end-of-year evaluation and the mid-year evaluations for
the current project period and indicate how the state/tribe and/or EPA will address the
problem(s).  The plan for addressing the problem(s) must include a schedule/time frame
for implementing the plan.

13.  EPA Support to States/Tribes

      The cooperative agreement should describe the types of support (inspector training,
NEIC laboratory analysis training, technical assistance, contractor assistance,  expert
witnesses  for state enforcement proceedings, etc.) that the applicant  expects EPA to
provide and is or will be  available to assist the state/tribe in meeting its commitments.

      The cooperative agreement should describe any negotiated agreement between the
state/tribe and EPA  for the handling of referrals and requests for  information from the
state/tribe. The agreement should  include any time frames that are mutually agreeable
to the state/tribe and EPA.

                  OF COOPERATIVE AGREEMENT FUNDS

      This section addresses how  specific funding allotments were determined for the
components of the cooperative agreement program dealing with enforcement, certification,
worker  protection program activities,  ground water program  activities and endangered
species  program activities.   A summary of funding  allotments for all components is
provided on the chart at  the end of this section.

      The Pesticides Program annual  budget submission to Congress requests an overall
program appropriation for pesticides enforcement cooperative agreements. Applicants are
to use the initial allotments as a basis for developing, with their  respective regional offices,
work programs that meet both the  applicant's and the Agency's needs.

      OCM  expects to  receive $15,803,400 for funding the cooperative enforcement
program.  This is the same funding level as that received in FY 91.

      If the budget is   not  approved by Congress, the  proposed allotments will be
readjusted.  The majority of the Agency's appropriation is allotted to  the regions and


                                       64

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Pesticide Guidance                                                              FY 92

cooperative agreement applicants through a base and formula funding system described
in sections V and V below.

       Sections "a" and V which follow address the enforcement cooperative agreement
budget minus the following:  a), $500,000 in funds for possible continuance of a Pesticide
Officials Pilot Program, location as yet undetermined; b) $1,000,000 for worker protection,
groundwater and endangered species  enforcement-related  activities; c) the $2,000,000
budget for worker protection  enforcement-related activities; d) $500,000 for addressing
some of the state laboratory-related needs, in consultation with the U.S. Department of
Agriculture, which has related activities underway in the area of food safety. The funds
specifically  set  aside for  laboratory-related  needs  wfll   be discussed   in  separate
correspondence  to  the  regions  and states,  who will be asked to  work.with EPA in
continuing this  effort;  and  e) approximately  $300,000  in funds set aside in  case
government-wide budget reductions are necessary in FY 92; rather than ask for the return
of funds in the event such government-wide  reductions occur, it seemed  prudent  instead
to set aside some funds up front to cover potential reductions.  If such reductions  are not
mandated in FY 92, the funds set aside will be redistributed to the states.

       The $2 million budget for worker protection enforcement is addressed separately
under  section 2, and the $1  million  budget for groundwater, endangered species  and
worker protection enforcement related activities  is discussed under section  4.

       A.  Base  Funding

             A base funding level is established for each state, territory and Indian tribe
             expected to participate in the cooperative agreement program.  For FY 92,
             the following base funding levels have been established:  $107,100 for each
             participating state, the District of Columbia and Puerto Rico  (51 entities);
             $56,700 for the  Virgin Islands; $42,600 for Guam;  $28,500 for American
             Samoa;  $28,500  for the Commonwealth of the Northern Mariana  Islands
             (CNMI); $22,300 for the Trust territories of the Pacific Islands; $140,500 for
             five Indian tribes in Region VIII;  $280,000 for the  Inter-tribal Council of
             Arizona and the nine Indian tribes under ITCA which receive enforcement
             funds; $81,500 for the Navajos; and $30,000 for the Shoshone-Bannock Indian
             tribe in Region X.

             Please note that the funding levels listed above for the Virgin Islands, Guam,
             American Samoa, CNMI, the Trust Territories and Indian tribes are  derived
             from both the core enforcement and worker protection enforcement budgets.
                                        65

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Pesticide Guidance                                                             FY 92

            The FY 92 enforcement base  funding level wfll continue at $107,100 per
            state.  We will continue to provide a $20,000 base for worker protection
            enforcement activities (with funds from the worker protection enforcement
            budget, discussed in section 2).

            For FY 92,  the guideline used in determining the base funding level for an
            enforcement cooperative agreement with a tribe is $30,000.  Budgets must
            be  submitted  and approved for all enforcement cooperative agreement
            programs.  Tribal programs requiring less than  the $30,000 guideline will
            receive funding based on approved budget submittal.  Any tribal program
            requesting  more  than the  base  funding level for FY 92  must submit a
            detailed budget to EPA  clearly justifying the need for the proposed  funding
            level, this budget must be approved by the EPA  regional office and OCM's
            Grants and  Evaluation Branch.   Funds have been set-aside for new tribal
            grantees which may apply for enforcement cooperative agreements in FY 92.
            These funds will be redistributed if applicationsare not received.

            The total base funding for the  basic enforcement program is $6,030,100.

            1.  Formula Funding

            Total formula  funding available is determined by subtracting the total base
            amounts from  the totaJ appropriation. The total amount of funds available
            for distribution by formula  in FY 92 is $5,551,500.  The formula funds for
            the enforcement base program will  be divided among 49 states, the District
            of Columbia and  Puerto Rico using the following factors and
            weights:

            January 7, 1991, Estimates  of Population, U.S.        20%
            Department of Census,  December 30, 1990.
            Number of Pesticide Producing Establishments       20%
            Per state - FIFRA and TSCA Enforcement
            System printout, March 4, 1991, OCM
            (Numbers do not include custom blenders.)

            Number of Certified Private Applicators             10%
            per state holding a valid certification on
            March 6, 1991, OPP
                                       66

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Pesticide Guidance                                                            FY 92

             Number of Certified Commercial Applicators         20%
             per state holding a valid certification on
             March 6, 1991, OPP. (Total number of
             individuals certified.)

             Estimated  number of Farms Per state-               20%
             Agricultural Statistics Board, national
             Agricultural Statistics Service, USDA
             Farm Numbers, August 1989

             Estimated  Farm Acreage Per state-      -           10%
             Agricultural Statistics Board, national
             Agricultural Statistics Service, USDA
             Farm Numbers, August 1989

             2. Allotment Schedule

             Allotments for regions and states are obtained by combining the appropriate
             base and formula funding levels  for each state.   The FY 92  Allotment
             Schedule for the pesticide  enforcement component is summarized on the
             chart at the end of this section.  More detailed information can be found in
             appendix XX.

      B.     Worker Protection Enforcement

      The Office of  Compliance  Monitoring expects to receive  $2,000,000  in FY 92
compliance cooperative agreement funds to help support worker protection enforcement
activities  in  FY 92.   Individual funding allotments  for worker  protection enforcement
activities were determined as described below.

             1. Base Funding

             A base funding level is established for  each participating  state for worker
             protection  enforcement activities  conducted under enforcement grants.
             (Territories and Indian tribes will  receive funds for worker  protection
             enforcement as previously discussed.) For FY 92, the base funding level  is
             $20,000 for each participating state.
                                        67

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Pesticide Guidance                                                             FY 92

            2. Formula Funding

            Total formula funding available for worker protection is determined  by
            subtracting the total base amounts from the total funding amount dedicated
            towards worker protection enforcement. The total amount of funds available
            for distribution by formula in FY 92 is $579,600.

            Formula funds for  the  worker protection  enforcement program will  be
            divided among the 50 states in the  program, the District of Columbia and
            Puerto Rico using the factors and weights described below.  These factors
            were selected based on the best available and appropriate data.

            Estimated number of Farm Laborers Per           25%
            state - Bureau of the Census, U.S. Dept
            of Commerce, 1982 Census of Agriculture.
            (Most  recent data compiled state by state.)

            Estimated number of Farms Per state -             25%
            Agricultural Statistics Board, national
            Agricultural Statistics Service, USDA
            Farm Numbers, August  1989.

            Estimated number of nursery and greenhouse       25%
            sites Per state - Bureau  of the Census, U.S/
            Dept. of Commerce, 1982 Census of Agriculture.
            (Most  recent data compiled state by state.)

            Number of Certified Private Applicators            10%
            per state holding a valid certification on
            March 6, 1991, OPP.
                                                                    
            Number of Certified Commercial Applicators       15%
            per state holding a valid certification on
            March 6, 1991,*.OPP.  (Total number of
            individuals certified.)

            3. Allotment Schedule

            Allotments for regions and states are obtained by combining the appropriate
            base and formula funding levels for each state. The FY 92  Allotment
                                       68

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Pesticide Guidance                                                              FY 92

             Schedule for the worker protection enforcement component is provided at
             the end of this section.
             Adjustments to Initial Allotments
Regions should not award funds based solely on a state's/tribe's initial allotment, but rather
based on the negotiated need  of the applicant.  The region will base final state/tribal
funding decisions  for applications on the initial  allotment,  the demonstrated pesticide
enforcement program needs of the applicant, and the exceptional nature of a program.

The Regional Administrator may modify any allotment for an applicant, as necessary, as
long as  total funding for all states/tribes does not exceed the regional allotment.  40 CFR
Pan 3S.155(a) states that the Administrator or the Regional Administrator may use funds
not awarded or committed to an applicant for supplementing awards to other applicants
within the same program.

OCM will contact the regions at midyear to determine the status of available grant funds.
An evaluation of  the information obtained in this survey will be made by  OCM.   A
reallotment  of funds between regions will be  made if it  is determined that some regions
do not need their entire initial allotment while states in other regions demonstrate a need
for additional funding.
       D.    jRegional Allotments  for  State  Worker  Protection. Groundwater and/or
             Endangered Species Enforcement-Related Activities

One million dollars is included in the President's FY 92 budget for state worker protection,
groundwater, and endangered species enforcement-related activities.

These  funds are allocated to the  regions based on the formula for  distribution of the
program grants for the aforementioned initiatives.  The formula allocation is outlined in
appendix XXL

The resulting distribution per region is as follows:

       Region I:    $73,900                         Region VI:  $96,400
             H:    $52,900                                VH:  $93,800
             ffl:    $87,600                                VIE: $90,700
             TV:    $201,300                              DC:   $95,600
             V:    $149,000                              X:   $58,800


                                        69

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Pesticide Guidance                                                                FY 92
      The  regions  wfll  have discretion  in allocating these  funds to  the states  for
enforcement-related  activities   addressing   worker  protection,   groundwater   and/or
endangered species.

      Given the above, we wfll  not initiate an FY 92 process for national enforcement
special projects.
                                          70

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              Frdcrnl Rrfcislrr  / Vol. 46.  No. 90 / Monday. May 11. 1901  / Rulr*  nnd Regulations
 ENVIRONMENTAL PROTECTION
 AGENCY

 40 CFR Part 173

 (Etf-fRl 1750-5]

 Procedure; Governing the Rescission
 ?f Stale Primary Enforcement
 Responsibility lor Pesticide UM
1 Violations

 AGENCY: Environmental Protection
 Agency (EPA).
 ACTION: Final rule.

 SUMMARY: Sections 26 and 27 of the
  "ecerai Insecticide. Fungicide, and
  ^odemicids Act authorize EPA to grant
  oa qualifying State the r-imary
  jnJotxement responsibility for pesticide
  lie vioia'ions. and  to rescind surh
  responsibility if the Slate's pesticide
  enforcement program is inadequate.
  Tnis rule sets forth  procedures designed
  to ensure that rescission proceedings are
  conducted in an orderly and uniform
  manner.
  EFFECTIVE DATE: This rule will not take
 effect before the end of 60 calendar days
 of continuous session of Congress after
 the date of publication. EPA will publish
 a notice of the actual effective date of
 this rule. See supplementary information
 for further details.
 FOR FURTHER INFORMATION CONTACT:
 Laura Campbell (EN-342), Pesticidek
 and Toxic Substances Enforcement
  Division. U.S. Environmental Protection
 Agency. 401 M Street SW., Washington.
  D.C 3460. (202) 755-0970. ,
 SUPPLEMENTARY INFORMATION:

 Background
   The 1078 Amendments to the Federal
 Insecticide, Fungicide and Rodenticidj
Act (FIFRA) require Slatei to be
accorded the primnry responsibility for
the enforcement of pmticide use
violation* within the State in certain
situations. States can obtain primacy if
thpy enter into a cooperative agreement
with the Environmental Protection
Agency (EPA) under section 23 of FIFRA
or if their use enforcement programs are
found by the Administrator of EPA to be
adequate under section 26(a).
  Section 27(b) of FIFRA authorizes
EPA to rescind a State's primacy if the
Administrator determines that the State
is not adequately discharging Its use
enforcement-responsibilities. Under
section 27(b). whenever the
Administrator makes such a
determination he must send  a notice to
the State specifying the deficiencies in
the State's use enforcement program. If
after ninety days from receipt of a notice
by a Stale the Administrator finds that
the State has not corrected the
deficiencies set forth in the notice, the
Administrator may rescind, in whole or
in part, the State's primary enforcement
responsibility for pesticide use
violations.
  On  October S, 1980 these procedures
were proposed in the Federal Register
(45 FR 65633) and comments were
requested by December 2.1980. After
consideration of the comments received,
EPA has decided not to change section
173. The significant comments are
discussed below.
Comments Received
  Five comments were submitied in
response to the proposal of the
rescission procedures. Environmental
groups submitted two of the cosam-nts
and a pesticide company,  State
Department of Agriculture and a
pesticide trade association each
submitted one. None of the comments
received suggested any substantive
changes in the regulation s proposed.
Several of the commentors urged EPA to
adopt the proposed procedures and use
them  where appropriate. One
commentor suggested that inf rmal
procedures should be available to
resolve disputes about the adequacy of
a State's pesticide use enforcement
program. Section 173.4 of the regulation
as proposed set forth an informal
mechanism for resolving such dispute*.
The remaining comments were
insubstantial or irrelevant
Initiation of Rescission Proceedings
  The rule promulgated today provides
the procedures by which EPA intends to
effectuate rescission where  appropriate.
A rescission proceeding is initiated by
the issuance of a notice of intent to
rescind. Before such  formal step is
 taken, however, (he Administrator, as a
 matter of policy, will confer with the
 Slate und attempt to resolve the matter
 through informal negotiations.
   The Administrator will issue a notice
 of intent to rescind if he determines, on
 the basis of information gathered by the
 Agency or submitted to EPA by other
 reliable sources, and after consultation
 with the appropriate Regional
 Administrator, that the Stale is not
 carrying out, or cannot carry out due to 
 the lack of adequate legal authority, its
 use enforcement responsibility. (Further
 discussion of the criteria for making this
 determination will be contained in an
 interpretive rule which will soon be
 proposed for comment). The notice of v
 intent to rescind will list the deficiencies
 that the Administrator has found in the
 State program. The notice will also
 detail the basis for each of the findings.
 State Response to Motto of latent To
 Rescind
   States can respond to the receipt of 
 notice of intent to rescind in one of
 several ways. First, a State can correct
 the deficiencies specified in the notice.
 Second, the State car. present evidence
 to the Administrator at an informal
 conference which shows that the
 determinations made in the notice are
 unfounded. Third, the State and EPA
 can agree the I the State will take  the
 steps necessary to remedy the
 deficiencies in the State program
 according to en agreed upon time
 schedule. This agreement would then be
 embodied in a written and signed
 document. Finally, the State, within 00
 days of the issuance of the notice, could
 request a public hearing on the
 Administrator's determination to
 rescind its primary enforcement
 responsibility for pesticide use
 violations.
   If the State corrects the deficiencies in
 its program, agrees to do so in a written
 settlement agreement, or convinces the
 Administrator that the findings made in
 the notice are not supported by the
 facts, the Administrator will issue an
 order withdrawing the notice of intent to
 rescind and terminating the proceeding.
 If sixty days elapse from the date of
 notice of intent was served upon the
 State without the Administrator issuing
 such an order, the notice of intent to
 rescind will be published in the Federal
 Register. The public may submit
 comments-on the matters discussed in
 the notice of intent to rescind.
 Hearings
   Upon request of the State within sixty j
 (60) days of the issuance of the notice of
 intent to rescind, a hearing will be

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             Fedrnl Rrplstrr /  Vol.  4n. No. 90 / Mondny, Mny 11. IfBl  / Rules  *nd Regulations       2f>059
che duled and the date for the hearing
will be published along with the notice
ot Intent to rescind. Parlies, fur purposes
of proceedings have been defined in the
definitions sections as the State and the
Agency's Office of Enforcement.
However, ot the hearing, representatives
from the State. EPA. and the public will
be able to present evidence relating to
the adequacy of the State's pesticide use
enforcement program. A presiding
officer will preside over the hearing and
upon its termination will make a
recommended decision on the adequacy
of the State's pesticide use enforcement
program. The Presiding Officer has the
option to recommend that the
Administrator (1) find that the State hat
corrected, or agreed to correct, the
deficiencies in its program. [2] find that
the Slate has shown that the
determinations  made in the notice of
intent to rescind were unfounded, or (3)
rescind the State's primary enforcement
responsibility for pesticide use
violations in whole or in part.
Agency Derision
  The recommended decision of the
Presiding Officer will become final 45
days after it is issued unless either of
the parties appeal the i.iitisl decision to
the Administrator or unless the
Administrator elects to review the
decision on his  own initiative (sua
tponte). After an appeal o: sua sponte
review, the Administrator will issue a
final order which adopts, modifies, or
sets aside the recommendations made In
the Presiding Officer's decision.
  The Agency believes that the
procedures promulgated today will
encourage State's  and EPA to cooperate
In resolving any problems in a State's
use enforcement program.
Effective Data *
  On December 17,1980. President
Carter signed the  Federal Insecticide,
Fungicide and Rodenticide Act
Extension Bill (Pub. L 06-539). This bill
mended several  sections of FIFRA
including section 25 on ruiemaking.
Section 4 of the Extension Act adds a
new paragraph  to FIFRA. section 25(e),
which requires EPA to submit final
regulations to Congress for review
before the regulation becomes effective.
In' accordance with this requirement.
copies of this rule have been transmitted
to the appropriate offices In both Houses
of Congress. The rule will not take effect
before the end of 60 calendar days of
continuous session of Congress after the
date of its publication in the Federal
Register. Because the length of this
waiting period may be affected by
Congressional action, it is not possible,
t this time, to specify a data on which
this regulation will become effective.
EPA will publish a notice in the Federal
RegiMer announcing the end of this
"report and wait"  period to notify the
public of the actual effective date of this
regulation.
Compliance With the Regulatory
Flexibility Act
  I hereby certify that this rule will not
have a significant  economic impact on
small entities. The rule only affects
States, which are not small entities
under the Regulatory Flexibility Act 5
U.S.C. sec. Wletseq.
Compliance With Executive Order 12291
  Under Executive Order 12291. EPA
must judge whether a regulation is
"Major" and therefore subject to the
requirement of a Regulatory Impact
Analysis. This regulation is not Major
because it is entirely procedural in
nature, and thus
  (1] Does not have an annual effect on
the economy of SlOO million or more;
  (2) Will not increase costs to
consumers. Industry, or government: and
  (3) Will not have a significant adverse
effect on competition, employment
investment, productivity, or innovation.
  This regulation was submitted to the
Office cf Management and Budget for
review as required by Executive Order
12291.
  Accordingly, under the authority of
sections 25(a) and 2?lb) of the Federal
insecticide. Fungicide, and Rcdenticide
Act the new Part 173 set forth below is
hereby added to 40 CFR.
  Dited  April 8.1881.
Walter CBarte.
Acting Admiiu'stmtor.

PART 173PROCEDURES
GOVERNING THE RESCISSION OF
STATE PRIMARY ENFORCEMENT
RESPONSIBILITY FOR PESTICIDE USE
VIOLATIONS

fee
173:1 AppUcabiHtT.               . -
173.2 Definition*.
1734 Initiation of rescission proceedings.
173.4 Informal conference and settlement.
173.6 Request for hearing.
1734 Publication of the notice: scheduling
    the bearing.
173J Hearing and recommended decision.
1734 Final order.
1734 Judicial Mvtew.
Authority: Sees. 25(a] and 27(b) of fh Federal
    Insecticide. Fungicide, and Radenticid*
    Act  (7 U.S.C. 136w and Ww-2).

117X1   AppfcabOty.       *
  These procedures govern any
proceeding to rescind a State's primary
enforcement responsibility for pesticide
use violations conducted under section
27(b) of the Federal Insecticide.
Fungicide, and Rodonticide Act. as
amended IFIFRA), 7 U.S.C. 130 e/seo.

1173.2 DetMUons.
  For purposes of this part:
  (a) "Administrator" means the
Administrator of the United States
Environmental Protection Agency or his
delegate.'
  (b) "Notice of intent to rescind"
means a notice to a  State issued under
{ 173.3 which initiates a proceeding to
rescind the State's primary enforcement
responsibility for pesticide use
violations.
  (c) "State" means the agency or
agencies primarily responsible for  .
enforcing pesticide use laws or
regulations within the State or
Jurisdiction undergoing rescission
proceedings.
  (d) "Party to the proceeding" shall
mean the State or the Agency's Office of
Enforcement
  (e) "Presiding Officer" means an
attorney appointed by the Administrator
to conduct the rescission proceeding.
The Presiding Officer shall be an
employee or representative  of the
Agency and shall not harp had prior
direct connection with the specific
proceeding except in circumstances
where subsequent hearings  are in order.

(173.3  Inltfatton of resctoslon
proceedings.
  (a) Whenever the Administrator
determines that a State having primary
enforcement responsibility for pesticide
use violations is not carrying out such
responsibility, or cannot carry out sucn
responsibility due to the lack of
adequate legal authority, the
Administrator shall notify the State in
writing of his intent to rescind its
primary enforcement responsibility, in
whole or in part, by serving upon the
State a notice of intent to rescind.
  (b] The notice of intent to rescind
ffrall-
  (1) Specify those aspects of the State's
pesticide use enforcement program
determined to be inadequate:
  (2) Specify the facts which underlie
the findings contained in the rescission
notice;
  (3) Have attached thereto cop-es of
any relevant documents discoverable -
under the Federal Rules of Civil
Procedure and the Freedom of
Information Act which contain  data  
relied upon by the Administrator in
making his decision to issue the notice:
  (4) Have attached thereto a copy of
Ibis Part: and
  (5) Be sent to the State by certified
mail return receipt requested.

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             Federal Rccister / Vol. 46. No. 90 / Monday. Mny  11. 1P.ni / Rulrs  and
  (r.) The Slate may respond in writing
to (he finding specified in the notice of
Intrnt to rescind.

{1734  Informal confertnc* and
settlement
  (e) After receipt of  notice of intent
to rescind, (he State may request that an
informal conference be held between
appropriate State and EPA officials to
discuss the findings made in the notice
of intent to rescind. The informal
conference shall  then be held in the
State. If the Administrator finds, on the
basis of information submitted by the
Slate at the conference, that the
deficiencies specified in the notice did
not exist or were corrected by the State.
the Administrator shall issue an order
withdrawing the  notice of intent to
rescind and terminating the rescission
proceeding.
  (b) At any time after receipt of 
notice of intent to rescind and before the
issuance of a final order, the State and
EPA may resolve the issues raised in the
notice by agreement. Any settlement
agreement shall be in writing and signed
by the parties and shall:
  (1) Detail the deficiencies found in the
State program;
  (2) Specify the  steps the State has
ta*en o: will take to remedy the
deficiencies; and
  (3) Set forth a precise schedule for
each remedial  action yet to be initiated.
  (c) If a written  agreement is signed by
the parties, the Adirinistrator shall issue
an order withdrawing the notice of
intent to rescind  and terminating the
rescission proceeding. If the State doe*
no! comply wilh the terms of the
settlement agreement, the Administrator
may reissue the notice of intent to
rescind.

1173.5  Request tor heerino.
  A State may request a hearing before
a Presiding Officer not later than sixty
(60) days after receipt of a notice of
intent to rescind.

{1716   Publication of ttwnotto*
scheduling th hearing
  (a] If the Administrator hat not Issued
an order terminating the rescission
proceeding within sixty (60) days after
service of the notice of intent to rescind
upon the State, the Administrator shall
publish  the notice of intent to rescind in
the Federal Register. The Administrator
may modify the original notice of intent
to rescind before Its publication by   .
deleting those deficiencies listed in the
original notice which have been
corrected or which were shown oot to 
have existed. The public may submit
 comments upon the matters specified in
 the published notice of intent lo rescind  ,
 within the time specified therein.
   (b) Concurrently with thr publication
 of ihu notice of intent to rescind, the
 Administrator shall schedule a hearing
 in the State if one has been requested by
 the State. The date. time, and location of
 the hearing shall be published in the
 Federal Register along wilh the notice of
 intent to rescind.
   (c) If a hearing is requested and the
 Administrator has not issued an order
 terminating the rescission proceeding,
 the Administrator shall provide for a
 hearing as scheduled. Representatives of
 the State. EPA. and the public may
 present evidence at the hearing. The
 Administrator shall appoint a Presiding  '
 Officer who shall preside over the
 hearing and make a recommended
 decision regarding the adequacy of the
 State's pesticide use enforcement
 program. The Administrator, after
 consultation with the State, may
 prescribe additional procedures
 governing the conduct of the hearing.
   (d) If a termination order is issued or
 the hearing is rescheduled after the
 notice of intent to rescind is published in
 the Federal Register, such order or
 notice rescheduling the hearing shall
 also be published in the Federal
 Register.

 { 1717  Hearing and recommended
 decision.
   (a] The Presiding Officer shall:
   (1) Conduct e fair and impartial
 hearing, without unnecessary delay:
   (2) Ensure that the facts are fuQy
 elicited; and
   (3) Consider all evidence, comment,
 and argument which is submitted  by
 persons who will be affected by the
 outcome of the proceeding and which is
 not irrelevant, immaterial, unduly
 repetitious, or otherwise unreliable or of
 little probative value. The Presiding
 Officer may require any prospective
 witness to make available, in advance
 of the hearing, a brief summary of his or_.
 her testimony.
.   (b) If. following the close of the
 bearing, the Presiding Officer finds that
 the State has corrected, or has agreed in
 writing to correct the deficiencies
 specified in the notice of intent to
 rescind or has shown that such
 deficiencies do not exist, the Presiding
 Officer shall issue a decision
 recommending that the notice of intent
 lo rescind be withdrawn and that the
 rescission proceeding be terminated
   (c) If, following the close of the
 hearing, the Presiding Officer finds that
 the State has not corrected the
 deficiencies in its program, the Presiding
 Officer shult issue a decision
 rer.omricndirvg that the Stoic's
 enforrrmrnt rrsponBihility for
 use violations be rescinded in whole or
 in part.
   (d) The recommended decision of the
 Presiding Officer shall become final
 Agency action forty-five (45) days after
 its service upon the parties and without
 further proceedings unless (1) an appeal
 to the Administrator is taken from it by
 a party to the proceeding, or (2) the
 Administrator elects, sua  sponte. to
 review the recommended decision.

 {173.1 Final order.
   (a) If the State does not request a
 hearing within the sixty-day time period
 and the Administrator has not issued an
 order withdrawing the notice of intent to
 rescind, the Administrator shall issue 
 final order as soon as practicable after
 the time for public comment on the
 notice of intent to rescind has elapsed.
' The final order shall either withdraw  the
 notice of intent to rescind and terminate
 the proceeding or rescind, in whole or in
 part, the State's primary enforcement
 responsibility for pesticide use
 violations.
   (b) If a bearing has been held and the
 Presiding Officer has made a
 recommended decision, then either I
 Office of Enforcement or the State :
 appeal the recommended decision to
 Administrator or the  Administrator ma?
 elect to review the recommended
 decision on bis own initiative.
   (c) After as  appeal or sue eponte
 review the Administrator shall issue 
 final order terminating the rescission
 proceeding or  rescinding, in whole or in
 part the State's primary enforcement
 responsibility  for pesticide use
 violations.                         
   (d) In no event may the Administrator .
 issue bis final  decision sooner than
 ninety (90) days after service of the
 notice of intent to rescind on a State.
   (e) Any final order, or a recommended
 decision which becomes a final order
 under  { 173.7(c), shall be published in
 the Federal Register.

 fins) Judicial review.
   The State may appeal an order
 rescinding, in whole or in part Its
 primary enforcement responsibility Tor
 pesticide use violations to the
 appropriate federal court pursuant lo
 section 16 of FIFRA.
       coot

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404       Federal Register / Vol. 4&  No. 3 / Wednesday, January 3. 1983 / Rules and Regulations
                                ENVIRONMENTAL PROTECTION
                                AGENCY

                                40 CFR Part 173

                                (OP 00159; PH-fWL 2215-31

                                Federal Insecticide, Fungicide, and
                                RodenUclde Act, State Primary
                                Enforcement ResponeibllltJea

                                AGINCY: Environmental Protection
                                Agency (EPA).
                                ACTTOH: Fir.aJ interpretive rule.	

                                JUMMAPV: Ttos rule states EPA's
                                interpretation of several of the key
                                provisions In sections 28 and 27 of the
                                Federal Insecticide. Fungicide, and
                                Rodentiride Act (FTFRA). but does not
                                impose substantive reqoiteraents on the
                                States. Sections 20 and Z7 established a
                                standard and procedure for according
                                States the primary enforcement
                                responsibility for pesticide use
                                violations {primacy). The rule also
                                provides operational substance to the
                                criteria used by EPA for primacy related
                                decisionmaking. and ensures that such
                                decsionmaxicg is consistent throughout
                                the regions.
                                trncrm DATC: This role will not take
                                effect before the end of 60 calendar days
                                of continuous session of Congress after

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trie djte of publicaiion. EPA will putliih
 notice of Lie actual e.Tec'jve dale of
this rale. See IUP.MITY
MFOAUATIOM For further deUili.
ron nwTHta INFORMATION COMTACT:
Laura Campbell Prslicidei and Toxic
Substances Enfarorreal D;v-*ion (N-
342). OfLce of PestJcidts and Tox.c
Substaaces. Eavirormentd Protertion
Agocy. Ra. M-:a24. 401 M Su SW.
            ac aaea
Background
  In 1878. Congress erected Pub. L 05-
336 which contained numerous revisions
to the Federal lasectiade. Fungicide,
and Rodcaticide Act (7 U.S.C. 130 et
tfq.}. One cf the change* added two
new sectiona to FIFRA, sections Z8 acd
27. U^C 13Sw-i end 13flw-4 wfcxh
together established  standard aad
procedure for according SUtea the
primary eRforcemeal jtupoavibiliqr for
pesticide eae riolatioas (primacy^.
  Section 28 provide* three soethods by
wfcxi  SUts can obtain prtatcy.
Section 2S(aJ requires  State to be
eccsrdid primary if the AdaJaaaratar
firds that the State baa (1 1 adopted
adequate u&e laws. (2) adopted
adequate procedures for bapksssSrej
those law*, aad (3) agreed to kzop euca
recordi aad rr-aitr each report* u the
Administrator may require by
regulation Section Z5(b) cilovrs a State
(3 cbUin prigmcy if (he State has  sa
approved section 4 csrdficatian p'n
thai nccU lite criteria set fcrth io
sec'Jcr. 26[aJ. cr if a Slate ester* into a
cooperative sgreer-.eal fcr fee
enforeesws of pesticide sse rrstrictioni
under MC&CD 23.
  Sectics 7 aaticrttej the
Adzunistrstcir to override or rescind a
gram cT (d^acy n certnia (iruattasx .
Section 2T(a) requires (he Adaioistratcr
to refer t^rcart allegarkca of
pesticide BM violaaocs to (he States. If
a State dees not coc.-T.enca appropriate
enforcement actioa within 30 days of
such referral. EPA may bh la own
enforcement arHnn.
  Section 27tb) autfcoriiCJ the
AdmLnist-ator to retcind the primary
enf Qrcemtal recpoxisibiliry of a Slate if
ahe Cnds that the State is not cvryiag
out such responsibility. Tka
Adcunittratar Irtitlatet a resciuion
proceeding by noti/i-ircl the State of
Close aspects of the State'a petickis we
enforcement n--ogram rbicb tbe
AcjninJstrator has foend to be
Inadequate. If (he State does not correct
the deficiencies io Its progress within 90
days, the Administrator may rescl.id the
SUtes's primary enforcement
resDonsibiiity in whole or In part EPA
hus p'nmulgaled procedures
govern '..:s conduct of a proccdL-.q to
reicintl S:*;e pr.-nacv. Tbeie procedures
were puUJ>heJ io th* Fcde/aJ Cegistar
of May 11 19&1 (48 FR :eOS8J. (40 CFR
Part 17J).
  S-c;ion 27[c) authorizes the
Administrator to (ak immediate action
to aliutu an emergency tiluatioa herc
(Jic Sijfe is enable or unwiiliag to
respond to the crisis.
  Ai in evidacJ from the above
description. severaJ  of the operative
terms in sections 23 and 27 require
fui (her definition. This rule clariLe* the
meaning of such words as "adeqoate"
and "appropriate" which FIFRA *eXs
forth as the criteria for mod of die
decisions which will be dude vH*>
these two ectiocs. Th role also sets
         to be oxcd by EPA
that such dgernnnrrLilrirg
by liisiUng. aJthmigh not *
Agency discretioa in the pnmacy area.
  Specifically, this rale addresses the
t. Pr
           res EPA wffl folsw bea
refeaiAg aflesatioas of pesticide us*
violations to Ov Stats
                            (s
State rccpoases to these
Unit i Sobdhisiaa A bcsowV
  & The mcarirg of "appropnate
enforceaeai actioa" {see Uoii 1.
Subdjvistaa 8}.
  3. ClanficAtioo of w^ea a State wiJj b
deeded to have (1 j adopted adajoaia
pesticide use laws aad repilaMnr.s. aad
(2) jff
for lb eiifuti^.'ug! of eei laws aad
regulaoocs (se Unit OJ.
  4. T3 criirva the Adsncstralo? will
use to determine %-faether a State is
adequately carrying out its prtsarjr
enforcesieci tT*-^ii'-iiit'b'''i^y far pexticde
use violatioes (s Unit III).
  S. Toe tadcrt whicb cooctitule a
emergency siruatica. and the  .
circuas^nce* wtich require EPA to
defer to the State fcr a respcsse la the
crisis (sec L'ait IVJ.
Comments Received
  Four castnerts were receh'ed In
response to the proposal of the
Interpretive Role. {47 FH 16799. April 20.
1932).
  In the proposed rale, a dcter=iaatico
of the gravity of violation was based on
two factors: (1) risk associated with th
vlofau've actioa. aad (2) rifik associated
with the pesticide, Some of cae
comments stated that EPA should
determine the gravity of each violation
based on whether ectaal barn occurred
as a result of the violation. If the Agency
were to determine the seriousness of a
violation based oa the actual ham
which occurred (n a particular caae.
 pesticide users would be encouMe^d :a
 take the nsk of misusing o pesi;cide.
 wi:h the hope thai no tclual harm would
 result from their unlawful act Confess
 chorged EPA vvith regvla!ins pe.stic:de
 u.ie in a mrruier w>Job will prevert
 unrasoaable  risi of pesticide e\poture
 to man  or the environment.
 Congressional Intent would nut be
 carried  out if EPA encouraged pesticide
 users to esgage ia unsafe activities 07
 not charging violations In cases when
 no actual harm occurred. For this'
 reason, the fisaJ rule retains tfae
 language of the proposed rule.
  Two comments concerning the
 imposition of criminal penalties far
 pesticide misuse were received One
 comment stated that Congress mteaded
 cruruival sanctions to be applied only ia
 caars mvojving ualawful maaolacSsre of
 pesticides. Nothing ia FIFRA r its
 legislative' history so Umits the se of
'crimaial penalties. Toe ooly cri^rioo in
 the statute for the iopositioa of crinuaal
 penallies is  thai a riots lisa is
 "knowing". The language referil^ to
 pfitnifial pn!ii jjj fag pTOpaxad rBK
 has been targety retaiaed ia the fe<<
 role.
  Another onmmmt exprened the
 concern that imposLng core stangeoi  .
 sanctloas where viola u'ons are found to
 be "Vacwiag" peaazes persons who
 are infansed about the law. .Vr.rioa 14
 of JTFHA etatfij thai "koowicg"
 violations are subject io criainal
 peaaJties. Kaowleds of the violator U  
 velid criterion to use In determiniag
 gravity  because of a "kaowing"
 violatioa shows a disregard fcr the law.
  One CTmtaent stated %at no Stare
 with nore stnrsnt pesticide ce lows
 than the Federal law thodd be graared
 primacy. Althocgti EPA caanet require  a
 Stare to enact a pest side use law that is
 mere etricssct than FIFRA, there U no
 prohibition against grantiag privacy to a
 Slau whose pesticde use law id core
 stringent.
  One comment suggested a chsage ia
 the requtTKcenl that State laboratories
 conducting sample analysis perticipate
 la EPA's check wcrpie progna. The
 comment slated that the National
 Enfcrccingjt fnvwtigahon Center
 (NQQ check sample program should be
 coordinated wrtb rhe Aracrtcan
 Association of Pnt Contro] OfRnala
 (AAPCO). The NE1C check sample
 program Is currently coordinated with
 the AAPCO check sample program. The
 rule has been changed to reflect this
 comment.

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 Further Inform*tioa on Effective Oat* of
 This Rule
   On December 17. 1930. the Federal
 Insecticide. Fungicide, tod Rodenticlde
 Act extension bill (Pub. L 96-W9)
    ima law. This bill amended teverat
    ions of FTFRA. Including section 25
 w.i rulemaJdng. Section 4 of lie
 Extension  Act addt i new paragraph,
 section Z5(e), to FIFRA which requires
 EPA to rubmit final regulations to
 Cordless for revtow before tin
 regulations become effective. Copies of
 thit rule have been transmitted to
 appropriate officei la both Houiei of
 Congress.                   	
   Under section 4 of the 1380 FIFRA
 Exte.-uica  Act this rule will not take
 effect before the end of 60 calendar dap
 of continuous session of Congress after
 the date of publication of this rule. Since
 the actual  length cf this waiting period
 cay be affected by Cor.gres5io.iaJ
 action. It is cot possible, at this line, to
 specify a data on which this regulation
 will become effective. Therefore, at the
 appropriate time EPA will publish a
 cotes eer.cuacirg the end of the
 lesislative-review period and notifying
 the publicTjf the actual effective date cf
.this regulation.

 Compliance With the Regulatory
 Flexibility Act
   I hereby certify that this rule will not
 have a sigr.ifkar.t economic Impact en
 snail entitles. The rule affects only
      pesticide ccntrol agencies, which
      3t scall er.tilies under the
 .   w-!3tcry nexibllity Act. S U.S.C. 60!
 et seq.
 Compliance With Executive Order 12231
   Urder Executive Order 12291, EPA
 oust fudge whether a regulation is
 "Major" arsd therefore subject to the
 requirement cf a Regulatory Impact
 Analysis. This regulation I* not Major
 sir.se It is Interpretive in nature and
 docs not contain  new substantive
 requirements. The regulation:
   1. Does not have an annual effect on
 the economy of S100 million or more.
   2. Will not substantially Increase
 costs to consumers, industry, or
 government.
   3. Will not have a significant adverse
 effect on competition, employment.
 Investment, productivity, or innovation.
   Thit regulation was submitted to the   '
 Office of Management and Budget for
 review as required by Executive Order
 12291. (Sec. 25(a){1) (7 U.S.C. 138w)).
 [Note: This rule will not appear in the
 Code of Federal Regulations.)

 L Appropriate Enforcement Action
   A. Procedures Governing Referrals. 1.
 Ce.-7c.-o/. Section 27la) requires EPA to
refer to the States any Information it
receives indicating a significant
violation of pesticide use laws. If a Slate
has not commenced appropriate
enforcement action within 30 days. EPA
nay act on the information.
  "Given current resource limitations,
EPA Is not In  position to monitor Slate
responses to every allegation of
pesticide misuse referred by the Agency.
Rather, tha Agency will focus its   .
oversight activities oa evaluating tha
overall success of State pesticide
enforcement programs, and will trade.
on a case-by-case basil, only those
allegations Involving particularly serious
violations. Such "significant" allegations
will be formally referred to the States
and tracked by EPA. while ether less
serious complaints will ba forwarded to
the States for Information purposes cniy.
  2. Cfitoria for tignificant coses. To
determine which alleged violations arc
sufficiently significant to warrant formal
referral and trading, the regions will go
through a two step process. First, tha
regions, in consultation with each State.
will identify priority areas for referral.
These priority areas will consist of those
pesticide activities in tha State which
present the greatest potential for harm
to health or tha environment (e.g. the
application of a pesticide by a certain
method to a particular crop, such as
ground application of endrtn to apple
trees). The selection of these priority
areas will depend primarily ca the
resells of pes'Jdde enforcement program
evaluations conducted by the States e.-.d
the regions. The priority areas will be
revised oa an annual  basis based cpon
the effectiveness of the  program in
reducing the harm associated with
pesticide use.
  Thereafter EPA will determine on a
case-by'case basis which allegations in
these priority areas Involve sufficiently
"significant" violations to be formally
referred to the State and tracked. If a
complaint received by EPA alleges a
minor infraction which dearly presents
little or no danger to health or the
environment or If the information
contains patently spurious allegations,
such as those from sources which have
repeatedly proved unreliable, the matter
will be forwarded to the State for
information purposes only.
  3. The 30-day time period. The Acency
interprets the term "commence
appropriate enforcement action" in
sectioa 27fa) to require Stales  to initiate.
a judicial or adninistiative action in the
nature of an enforcement proceeding, if
one is warranted. Starting an
investigation of the matter would not be
sufficient. If the State does not
commence an appropriate
administrative, civil, or criminal
- enforcement mponsa. EPA would then
 b permitted, although not required to
 bring Its own enforcement action.
   Although section 2?(a] permits EPA to
 ad if the Slate has not commenced an
 enforcement action wiLafnTO days, tha
 Agency recognlus that Slates may not
 be able to complete their Investigation
 of many formal referrals in so short  a
 time. Tha time  needed to Investigate a
 possible use violation will vary widely.
 depending upon the nature of the
 referral A referral which simply
 conveys an unsubstantiated allegation
 will usually require more investigation
 than a referral  which partially or fully.
 documents a pesticide use violation.
 Consequently,  the Agency wishes to.
 develop o flexible approach towards the
 tracking of referrals.
   To accomplish this objective. EPA is
 adopting a system In which the referral
 process Is broken down into two stages.
 investigation and prosecution.
   4.  Tha investigctjon stage. Following
 the formal written referral of an
 allegation of a  sigruflcant  pesticide use
 violation, the appropriate regional
 pesticide official will contact the State
 to learn the results of the investigation
 and the State's intended enforcement
 response to the violation.  If the State
 has not conducted an adequate
 investigation of the alleged violation, the
 region nay choose to pursue Its own
 investigation or enforcement action  after
 notice to the State. As  a general rule.
 however, the regional office will attempt
 to correct any deficiencies In the
 investigation through informal
 communication with the State.
   An investigation will be considered
 adequate if the State has (1) followed
 proper  sampling aad other evidence- -
 gathering techniques. (2) responded
 expediUOusly to the referral, so that
 evidence is preserved to the extent
 possible, and (3) documented all
 inculpatory or exculpatory events or
 information.
   5. Tho proseaittOn $ta$e. After
 completion of the Investigation, the
 State will have 30 days, the prosecution
 stage, to commence the enforcement
 action,  if one Is warranted. An
 appropriate enforcement response may
 consist of required training in proper
 pesticide use, Issuance of a warning
 letter, assessment of an administrative
 civil  penalty, referral of the case to a
 pesticide control  board or State's
 Attorney for action, or other similar
 enforcement remedy available under
 Stale law. The  30-day period may be
 extended when necessitated by the
 procedural characteristics of a Slate's '
 regulatory structure (see Unit V.A.
 Hypothetical 1).

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            Federal Register  /  Vol  48,  No. 3 / Wednesday. January 5. 19^3 /  Rules and Rev
                                                         ivuiauons
                                                                                                                 4U7
   If. after consultation with the Slule.
 EPA determines that the Slate'*
 intended enforcement response to the
 violation is inappropriate (tea
 subdivision B), EPA may bring itg own
 action after notica to the State.  Regional
 atlomeyi will not. however, initiate an
 enforcement proceeding looner than 30
 days after the natter was referred to the
 State.
   At timea. a Slate may find that (he
 particular enforcement remedy  it viewi
 as the appropriate response to a use
 violation it not available under  the
 Slate'* pesticide control laws. Therefore
 the  S:ale may, at any time,  request EPA
 to act upon a violation utilizing  remedies
 available ur.der FIFRA. la these
 instances, of courte, EPA will
 Immedjately pursue its own action, if
 one is "warranted.
   To illustrate better the proposed
 referral system, two hypothetical
' situations  are described in  Unit V. A.
   B. Appropriate Enforcement Action. 1.
 General. After the Agency learns of the
 enforcement action, if any.  the State
 proposes to bring against the  violator.
 the  EPA regional pesticide cflke will
 consider. La consultation with the Sute,
 whether the proposed action Is
 "appropriate", relative to the  remedies
 available to the State under its pesticide
 control legislation. EPA interpret* the
 codiHer "appropriate" la section 27(a)
 of FTRA to require that the seventy of
 the  proposed enforcement action
 correlate lo the gravity of the violation.
   (t is not possible in this Interpretive
 Rule to prescribe the spedfle
 enforcement action which will constitute
 en appropriate response to  a particular
 violation. There ar. '.<.o ^-^.j vi:ial!es
 which will influence the treatment of a
 use  violation, including the  disparity
 between the types of enforcement
 remedies available under the various
 Slate pesticide control statutes.  This'
 dccuzient can. however, establish
 criteria to be ecployed in evaluating the
 appropriateness of a proposed State
 enforcement action. More detailed
 guidance on ev iluatiag relative  gravity
 is contained in EPA's "Guidelines for
 the  Assessment of Civil Penalties under
 Section 14(a) of the Federal Insecticide.
 Fungicide, and Roder.ticide Act a*
 amended", published In the Federal
 Register of July 31.1974 (39 FR 27711).
 The Guidelines establish dollar  amounts
 to be applied under the Federal  statute
 to use violations in civil penalty
 proceedings. Regional personnel can use
 these figures as a guide in evaluating the
 gravity of a particular violation. The
 Agency will not require that a State
 response lo a violation have a monetary
 Impact equivalent to that of a dvtl
 penalty which EPA would Impose under
the Guidelines. Ralher. the dollar
amounts contained In the penalty
matrices can be used by regional
personnel to define the relative gravity
of a violation by comparing the figures
applicable to different violations.
  2. Gravity of the violation. The
Agency believes that the gravity of a
pesticide use violation Is dependent
upon the risk the violation poses to
human health and the environment The
factors which determine the degree of
risk presented by a use violation can be
divided into (wo categories: factors
related to the particular action which
constituted the violation and factors
related lo ihe pesticide involved in the
incident
  a. Risk associated with th* vialatiw
action. The circumstances surrounding
the vlolative action partially determine
(he risk the violation presents to human
health or the environment To assess the
degree of such risk. State acd  regional
personnel should ask such questions as:
  L Did the viola don occur is a highly
populated area, or near residences.
schools, churches, shopping centers.
public parks or public roads, so that
health was endangered?
  U. Did the violation occur near an
environmentally sensitive area, such as
a lake or stream which provides
drinking water to the surrounding
community, a wildlife sanctuary, a
commercial fishery,  or other natural
areas?          >
  Ui. Did a structural application
threaten to contaminate  food cr food
sen-ice equipment?
  iv. Did the violation have the potential
lo affect a large or a small area?
  .-. 'Alia: was the actual harm which
resulted from the violation?
  vl. Was the nature of the violation
such that serious consequences were
likely to result?
  This  lest question is designed to take
Into account the variation la the
Inherent risk associated  with different
categories of use violations. For
example, a drift violation resulting from
improper aerial application generally
presents a greater risk of harm than a
storage violation, since the latter
infraction does net necf ssarily involve
the improper exposure of the pesticide
to the environment
  b. Ri*k astociated with the pesticide.
The factors which will be crudal in
evaluating the risk associated with the
pesticide itself Include:
  L The acute  toxicity of the pesticide or
pesticides involved in the incident The
toxicity of a pesticide will be indicated
by the "human hazard signal word" on
the labels (see 40 CFR 102.10). "Danger"
or "Poison" are indicators of a highly
toxic pesticide while 'Warning" and
"Caution" signify successively less toxic
substances.
  ii. The chronic effects associated with
the pesticide, if known.
  ui. The amoustf^rT'ine pesticide
involved in the Incident relative to Ihe
manner of application (e.g.. aerial versus
structural).
  Iv. Other dale concerning the harm a
pesticide may cause to human health or
(he environment such es data
concerning persistence or residue
capability.
  An analysis of the interrelationship
between these two categories of risk
fectcrs should yield a notion of the
relative gravity of the violation and the
severity of the action wbJc.'i should be 
taken in response.
  X Category of applicator, size of
business, and history of prior violation.
Gravity is cot the only factor which EPA
will lake into account in evaluating the
propriety of an enforcement action.
Section 14 of FIFRA requires that
distinctions In the severity of aa
enforcement response be made between
the categories of persona who commit
use violations. The Intent of Congress,
as expressed In section 14. is that
commercial pesticide.applicaton who
violate use requirements will be subject
to more stringent penalties that other
persons who violate use restrictions.
Congress also envisioned that the size of
the violator's business will be a factor in
detcmir.ing the severity of ihe peaalty.
la addition, section 14 distinguishes
between violators who have ccsucitted
previous Infractions and those who are,  .
font offenders. Thus, the issuance of a
warning letter by a State to a person or
firm who has been repeatedly waned In
the past about a certain violation would
not generally be considered en
appropriate response to the violation.
  4. Knowing violations; criminal
penalties. The state.of mind of the
violator Is another important'
consideration. In extreme circumstance*
where the civil penalty remedy is
Inappropriate, it is the Agency's policy
to pursue a criminal action against
persons who knowingly violate a
provision of FTFRA EPA will be
particularly interested in pursuing
criminal prosecution for those violations
which involve a death or serious bodily
injury or la which the violator has
demonstrated a reckless or wanton
disregard for human aafety.
environmental values or the terms of the
statute. To be appropriate, a State's
response to a knowing violation under
the circumstances indicated above must
be similarly severe.
  5. Deterrence. It should be noted that
the appropriateness of an enforcement

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 408
Register /  Vol. 48.  No. 3  / Wednesday.  January 5.  1983 /  Rules and regulations
 action it  dynamic rather than  static,
 concept Became it I* dynamic.
 penalties must be priodicalJy
 evaluated. If a certain violation ia
 xcurrfng nor* frequently, (ha leniency
 jf the remedies which hava been
 applied to this infraction to the pad
 should be questioned. Consequently.
 wLai ia appropriate la oca year may ba
 viewed as an inadequate response in tiie
 next.
  The factors described above, together
 with the aforementioned Guideline*.
 thodd help to clarify the A^ecey'i
                    definition o/ "appropriate enforcement
                    action." To and en land better how the
                    criteria described above can ba uaed U>
                    evaluate whether  proposed Stale
                    enforcement action i appropriate, the
                    reader 1* referred to the hypothetical
                    fact tituaUoni in Appendix B.

                    D. Criteria Governing Grants of Primacy

                      Section a of PIFRA teti forth the
                    general criteria which appjy to EPA'i
                    decision whether to grant primacy to a
                    State*
  "(i) For ih* purposes at (hit Act. I Siue shall havr primary enforcement
 mponsibuiif lot pttcicid* use violations during any period for hich ihe Ad-
 mirjuuiar deternu.-.ri ttut iucii Si;e
        "(I) has adopted adequate pruiciile use \svn and reiuhtiom; Pro-
      vided, Thai the Administrator may not require  Stale to fta pesticide
      uve li that art more smngr-n than this Ac::
        "(2) hat adopted and is implementing  adequate procedure* for the
      enforcement of such State la%t and reflations; and
        "(3) *il keep such records and make such rtporu showing com-
     pliance wiih  paragraphs (1) and  C) of  ifcu subsv:ipri as ihe Ad-
     ministrator may require by regulation.
  "(M Noiithuanding the provisions of tubwiion (a) of (hit tea ion, any
 State ihJi e.itert ir.to a cooperative ajrttment with trie Administrator under
 setiion 2J  of tbii Act for  (he enforcement of pesticide u%e  rwiriciions shall
 have the pnmary enforcement reipon%ib elopment  procedures and the
mMinter.ance  of proper case files.
  Instruction  in these techniques should
take (he form of both on-the-job training
ar.d the use of prepared training
materials. The Avency also considers a
continuing eHur.a'ion program to be a
crvrial training procedure, so that
enlargement personnel can be kept
abreiisl of legal developments and
technological advances.

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           Federal  Register / Vol. 49. .\'0.  3 / Wednesday. January S.  19fl3 / Rulca  and  Regulations        409
  2. Sampling technique* and
laboratory capability. Request! for
primacy should also show that the Slate
i* technologically capable of conducting
a uie enforcement program. Slates muil
have ready access to tho equipment
necessary to perform sampling and
laboratory analyiis. and should
Implement a quality assurance program
to train laboratory personnel and
protect the integrity of analytical data.
Laboratories conducting sample
analyses must also agree to participate
in EPA (NE1C) Check Sample programs
which are designed to ensure minimum
standards of analytical capability. (Such
i prcgrara is already operational for
formulation samples, and a residue
sample program is also under
consideration). The EPA Check Sample
program Is coordinated with the
Association of American Pesticide
Cogtrol Officials (AAPCO) to reduce
unnecessary duplication of effort. The
EPA will be guided in evaluating the
adequacy of State analytical procedure*
by official compilations of approved
analytical methods, such as the Food
a'=d Drug Administration's (FDA)
Pesticide Analytical Manual, the CPAC
(Collaborative Interriational Pesticides
Analytical Council] Handbook, the EPA
Manuel of Chemical Methods for
Pes'.icidev and Official Analytical
Chemists Analytical Procedures. For
additional guidar.se on  adequate
sampling techniques. Stales should   .  
co.-suit E?A's F1FRA Inspectors Manual
or ccatact the appropriate regional
office.
  3. Processing ccmplaiau. Since a
significant portion of pesticida use
violations are identified through reports
from outside EPA or the State lead
agency, the State must impleaenl a
system for quickly processing and
reacting to complaints or other
information Indicating a violation. An
adequate referral system should contain:
  a. A method for funneling complaints
to a central organizational unit for
review.
  b. A logging system to record tho
receipt of the complaint and to track the
stages of the follow-up investigation.
  c. A mechanism for referring the
complaint to the appropriate
Investigative personnel
  d. A system for allowing a rapid
determination of the status of the case.
  e. A procedure for notifying citizens of
 the ultimate disposition of their
 complaints.
  4. Compliance monitoring and
 enforcement. Along with the above
 described enforcement procedures.
 Slates must provide assurance that
 sufficient manpower and financial
 resources are available to conduct a
 compliance monitoring program. I.e..
 either planned or responsive use
 inspections. In addition. States must
 Implement  procedures to pursue
 enforcement actions expeditiously
 against violators identified through
 compliance monitoring activities.
  The Agency also believes lhat
 program planning and the establishment
 of enforcement priorities is an integral
 part of an adequate enforcement
 program. Such planning, taking Into
 account the naticnal program priorities
 as manifested through the grant
 negotiation process, as wefl as the
 priorities specific to the Individual State.
 will help assure that compliance
  monitoring and enforcement resources
  are properly allocated.  .
   5. Education. Slates should implement
  a program to inform their constituencies
  of applicable pesticide use restrictions
  and responsibilities Examples of
  education methods Include
  disseminating compliance Information
  through cooperative extension services.
  seminars, publications similar to the
  Federal Register, newspapers, and
  public assistance offices where persona
  can call to ask questions or report
  violations. Such an educational program
  will promote voluntary compliance and
  Is essential to effective enforcement.
  Stales should also develop procedures
  for soliciting Input from the  public
  regarding the administration of the
  pesticide use enforcement program.
  HI. Criteria Governing Rescission of
  Primacy Under Section 27(b)
   Section 27(b) authorizes the
  Administrator to rescind primacy from a
  State  In certain situations:
  "(b> Whenever th Administrator determines lhat a State having primary
enforcement rcNpontibiiity for peuicide UK violations is not carrying out (or
cannot carry out due to (he lack cf adequate legal authority) such rnpontibili*
ly.  the Administrator shall notify the  State. Such notice snail specify those
aspects of .(he administration of the State program that tie determined ID be
inadequate. The Siaie shall have ninety day* after receipt of the notice to cor-
rect any deficiencies. If after that  time the Administrator determine? thai the
State program remains inadequate, the Administrator may rescind, in whole
or in pan, the State's primary enforcement responsibility for pesticide uie
violation*.
  In deciding whether a State is not
carrying out cr cannot carry out. its use
enforcement responsibilities, the
Administrator will apply the criteria for
an adequate program set forth in Unit 0
to the ptrfonr.ar.ee of the jtatc during
the time the State had primacy.
  A. Adequate Lawi. The legal authority
can conduct an adequate use
enforcement program is a criterion
which affects both the decision to grant
primacy and the decision to rescind it
Within the context of rescission, the
Administrator wilt assess the Impact of
any amendments or supplements to the
Sta e's pesticide use laws and
regulations. If legislative changes have
adversely affected the State's ability to
collect information or bring enforcement
actions, the State may be subject to a
rescission action on grounds of
inadequate laws.
  B. Adequate Procedures. In
determining whether a State which has
adequate legal tools is carrying out Its
use enforcement obligations, the Agency
will examine the efficacy of the
 procedures adopted by the State to
 Implement its pesticide laws. The
 Agency will be particularly interested in
 the remedies the State has actually
 applied to the various use violations.
 fhe lack of sufficient correlation
 between the gravity of a use violation
 and the severity of the enforcement
 response would be evidence that the
 State's arsenal of remedies Is not beir.g
 applied In a flexible manner.
   In addition. EPA will evaluate each
 program element listed in Unit Q.B.. in
 light of the performance of the State
 during the period the  State had primary
 use enforcement responsibility.
   1. Training. The Administrator wlU
 note whether any difficulties
 encountered by the Slate in enforcing
 pesticide use restrictions have resulted
 from a lack of adequate training of State
 enforcement personnel
   2. Sampling techniques and
 laboratory capability. The
 Administrator will consider whether the
 State's sampling techniques end

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analytical capability* are enhancing or
hjnderuxg tha Stale's ability to unearth
and prosecute raccessfuQy persons who
nlsose pesticide!. Another Important
consideration will be the degree to
   'ch Slate lsbcralo/7 and samplir.g
   .edures have kept poca with
...velcpments in analytical technology.
  3. Procsitiag coa^laint*. Tha
Air.'.nistratar will examine whether
complaints  have bccfi processed Quickly
nd efiideritly. The degree to which
citizens alJejiog  use violation seek
redress from EPA  aftr first directing
their canplaim to the Slate will ba
considered. In addition, the
Administrator wi'.l take Into account tha
perforea.'KS cf tho State to respondiij
to allegationsreferred to theSUte by
EPA under  section 27{a) of FTFRA.
  4. Ca.-xpUc.ice mor.Horirs and
enforcement. Under this element, the
Administrator will compare the State's
level cf compliance monitortr.g activities
xviih that cf other comparable States.
The EPA will review State case files to
determiss whether tho State has
a:sressive!y Investigated a case bcfsn
deciding on the disposition of the
nailer. The EPA will also tnvestifcsie'
whether a State's  Attorney General's
office cr other prcsecutcrial authorities
have devastated a willingness to
pursue cases referred by the Stair's
pesticide control lead egs.-.cy.
  The Agsacy will exenine whether
Cive eafcxer.ent resources have been
    ted '.swards the sort eisrjficant
    rcezeat problem areas, and
whether enforcement priorities have
beea reevaluated  as the demands of an
adequate program change over time.
  S. Education. The Administrator will
evaluate whether the State's education
program it  encouraging voluntary   -
compliance with pesticide use
restrictions. As part of this process, tha
Administrator will note (hose use
violations which are at  least partially
attributable to the violator's, lack of
farr.iliarity  with applicable laws aed
regulations. The Administrator w5U  also
review State procedures for facilitating
public participation  in the enforcement
program.
  These catena are indices of the
adequacy of a Slate's use enforcement
program, but they do not conclusively
determine whether a State ia  discharging
its primacy responsibilities. Since the
Agency's goal is to protect the public
from the risks associated with
pesticides;  ooe of EPA'k central in^uin.'S
wiil be whether the Stale'* primacy
program assures complianre with
pesticide ue restrictions. F.PA. In
e\3luatin? State program adequacy, will
consider both the deficiencies of the
program and the success of the program
In achieving compliance.

IV. Eouffgancy Rspaasa>
  NorwitnaUadins; other provision* of
sections 28 and 27. the Administrator
may, fUr notification to the Slate. Lake
Immediate action to abate emergency
situations i(tha Stale Is "unwilling or
unable adequately  to respond to the
emergency."
  FTFKA doe not daCna "emergency
conditoox" Other EPA-admlrtislered
statute*, however, characterize
etsersecciej La fairly consistent !onrs.
The consezuuj a/ these statuses Is that
an cmergeoci' presenis a risk of Lara to 
human health or the eavlroosKct that is
both serious and imminent, and that
requires immediate abatement auica.
  Ft^f !:. cf use-related emergency
situations ore:
  1. Contaainatioa of a buildup by a
highly toxic pesticide.
  2. Hospitaiizalions, de-aths. or other
severe health effects resulting from use
of a pesticide.
  a. A geographically cpedf.c patten of
ose or misuse wt.ich present]
unnsaocable risk of advene eflecn to
health or sensitive natural areas. This
situation may occur, for exacple. if 
basaniouj pesticide u con*istendy
misused in a ptrtcolar arcs so that e
net effect (s the creation of nbstantiaJ
endangenr.ent to the environaent. such
as nmoff info a water supply.
  A. "U.-.tnUinj-. XVbea EPA learns  cf '
BB esnersency situation. Ageacr
representatives nr^st notify the affected
State. Thau repreaeataUvea will try to .
obtaia a CBCifiitment &oaa tfce State  ag
to (a) wtat th State U capable of doing
tn response to the situab'oa. acd (b)
wtea the Stale intends tz. respond to the
crisis.
  EmergejUe*. by cature. require the
quickeat possible response, la most
case. due to proximity, tfae State will
have the opportunity to be first on the
scene. If the State manifests an
unwillingness to respond rapidly to the
situation, or if the State cannot give
assurances that ft will respond more
quickly than EPA could respond.'Agsncy
emergency response teams will be
activated.
  B. "Unable-. The EPA will
Immediately take action to abate an
emc*8onry if lh State is unable to rio
so. The Ager.cy interprets "unable" to
mean thai othrr the State dpi not have
the authority to adequately respond  or
lh.it  the State Is incapable of nolvma the
prohim due to tre lack of tec.hnolcjzy or.
resources.
  1. Authority. The EPA can utilize its
auiror-.ty in section 16(c) of K1FRA to
seek, in conjunction with  the
Department of Justice, a district court
order preventing or restraining misuse of
a pntlcida. Slates should also be able to
address a use-related emergency In this
manner or by the rapid issuance of an
enforceable stop-use order or other
similar means. If the Slate lacks this
authority and the emergency conditions
warrant a legal response in the nature of
specific enforcement or equitable relief.
EPA may Initiate its own action after
notice to the State,
  2. Technical capability. Some
emergency situations may present
problems which the States are
technologically incapable of solving. In
these instances, if EPA possesses the
requisite technology or equipment the
Agency will immediately respond to the
crisis. For example, where a dissolved
organic pesticide has contaminated a
surface water system. EPA would
activate its portable advanced waste
treatment unit, a resource that is not
generally available to the States.  
  The EPA will  also take action if th
State cannot rapidly commit the
necessary manpower to the ene--;erxy
situation. In most cases EPA will not
however, initiate a response oa this
basis U the State has developed an
emergency respor.se plan detailing the
procedures to be followed in 
counteracting a pesticide emergeccy.
V. Hypothetical Sltoatlaos
  In reading the bypotheticals b Units
A and B. arrjne that the cases
dJsnssed faH under priority referral
areas discussed In Unit LA.2.
  A. Action by Citizen. Hypothetic! 1.
EPA refers to the Slate a citizen's
allegation mat an aerial applicator has
allowed pesticides to drift over his,
property. After 25 day*, the EPA Region
obtains the results of State's
Investigation and !eams thai the Stata
plans to Issue a warning  letter to the
applicator. The EPA advocates a more
fira response and. after discussion, tha
Stale agrees to suspend the applicator's
certification. The Stale certification
board does not meet, however, until two
months later. In this instance. i'.,e Region
may decide to extend the normal 30 day
prosecution stage to accommodate the
schedule cf the board.
  Hypothetical 2. A citizen calls EPA
*i:h information concerning a fish kill
wh.ch occurred in a stream near his
residence. The citizen claims that he
reprned his  information  to the State, but
Stale officials have nol responded lo his
carvpUirt. T>e HP.Vs Regional official
ru!U the Suie. and learns that the Slate
did indeed kr.ow of the problem, bul has
not yet had (he opportunity to
investigate the allegation. The Regional

-------
official, believing the allegation lo be
unificanl. formally refers the complain!
lo Iht Stile. and the Slate agrv* lhat
  e matter ihould be invest.$8trd within
   days. After 20 days, the Region leems
     -\e St*te btt not yet bun ill
      gaiion. lo Irus case, the Region
     .egin ill own inquiry into the
eiat!er. and may commence its own
enforcement action, after ootice to the
State, provided that 30 day* have
elepted Cram tho dole of the referral.
  EL Action by State. In both of these
bypolheticalA. wiurae thai the State hoi
chosen  Warning Letter ai the
appropriate enforcement response.
  Hypothetical 1. Mr. Smith operates a
or-e-rnan crop dusting company. Smith L
hired to iprsy Herbicide A over a power
ccr.pa.-.y' lengthy right-of-wey. The
right-of-way L bounded on one tide by
* residential development and oa th0
other by > wooded area. Smith perfcrraj
the aerial applicaUcn amidst high
swiriias wind* La confraventicn of the
InsS-jc'Jora oa the  herbicide'* label. A
sigrafica::! portion of the herbicide dnfu
csto ihe weeded area. Herbicide A.
which ccntaicj ths hazard word
"daxge;" oa iu lacd, is a highly toxic
s.-.d persistent restricted uit pestkids.
S-1'J has is record cf prior pcstieide-
reletcd vxjlaiicsj with gaver^aecJ
pes::cida ccstrd cfOcM.
  The Agency would corjider tha
issuance of a warning letter to b* ea
    Pprcpriate response to thij vfolaL'ca.
    " ;tA cssctislsd with !f:e vio.'aiite
       "crti-.stely In this tss!as:a. th
       .1 did net mult to dazzs8 to
hasians or sensitive envirencestal
areas, Eal at s time the violates was
cosr-Jtted, 'e rtik that bara wo-JJ
rvs-Jt Iron tha r.;stae was quite
sigruHcar.'. given the bigh twirling
wir.ds cr.d the proximity of a residential
neighbcrhood. Only chance prevented
the herbicide from drtftfr^ teto aaN
irJ-.abited area. Th risk of ham waa
also increased by the fail thai a great
deal of land was subject to drift given
the length cf the target area.
  b. Risk essofiated witfi the pesticide.
Herbicide A I* labelled "danger" end Is
therefore an acutely loJc Category I
pesticide order <0 CD.lAlia The harci
that would resuJl from exposure to thij
persiifent sabstanea Is lubatantlaJ.
regardless of whether chronic effect! or
residue properties have been ascribed to
it. In addition, a large amount of
herbicide A waa involved in the
violation.
  c. Other facun. Smith Ii 	
commercial applicator cnder FIFRA and
would ba subject to the maximum
?nalry. As a mitigating factor, however,
Smith could point lo (he absence of prior
F1FRA violations.
  In summary, since Smith's actions
were highly likely to result in Mhous
harm to hum.tn hualth. hit dnfl violation
warrants a severe enforcement
responte. men AS assessing a fine or
suspending his certification. Despite
Smith's clean record, a warning letter
would no! be deemed "appropriate
en/urcetneiit action."
  Hypothetical 2. A small foud
procrsjing firm which markets frozen
TV dinners uul.zes company
maintenance personnel to accomplish ill
pest control needs. No particular
traininj it provided for such employees
but they are instructed to read acd
follow the label directions. They are
provided all appropriate application
equipment acd protec'Jve clothing. A
company employee applied a ooo-
peraistcfit general-ess (Category IV)
pesticide which was registered for
structural peu coolrol lo combat 
particularly serious cockroach
tr-'eitatica. Despite label liutrucCos*
requiring the  user to avoid
contamir.jting food, food  containers, cr
cooking utensils,  the eaployee applied
the pesticide directly upon and below
counter topi and related surface* la the
roe.-a where food cockicg rackj ar
stored. The applicaUoa look place Uta
Friday eflenooa. The cooking racks
were cot utilized again until Monday
morning. AD Inspection toek place oa
Monday ocrn.'=g. Thl* was the third
pesticide UM inspection which the State
bad conducted at the Una la tha Laat
four years. N'cae  of the priar bspecticas
had revealed a psa'Jcids-related
violation. Residue taaple* taken
KJo.-.day ccrclzg reveaJed no trace
residue cf the pesticide ca the treated
surfaces.
  State the violation constitutes  first
offense by na "other penon" under
lect.'on 14(a)(2] of FIfRA, the naxmna
federal enforcecent response would be
a Notice of '.Vamir.g. Accordingly, the
Werr.ing Letter Issued by the Stite
would consUrute an approprUta
enforcement action.
  a. Risk associated with the vt'ofat/va
action. The direct application of any
pestldde to a cooldr.g rack la  food
processma establishjient poses aose
risk of exposure to humans. Although
the pesticide used In this case waa not
applied In great amounts or over large
areas, the inherent risk associated with.
tha violation U relatively high, since
violation result* In the Introduction of
the pesticide Into non-target surfaces
with the likelihood of human exposure.
  b. Risk atsociated with the pesticide.
In this Instance, the risk associated with
tV pesticide itself Is relatively small.
This Category IV pesticide ( not acutely
toxic or r enistent. and Is not known to
cause *ny chronic r 'fe( I*. S-m; le
analysis reveu'ed no (IHCC ni ih*t
product al the (i-ie ihr .>[ oi>J cooking
racks were to b< used.
  c. Olhtr factors. Under FIFRA.  the
Issuance of 
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       i
       3     UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                         WASHINGTON, D.C. 20460


                            OCT2
                                                          OFFICE OF
                                                   PESTICIDES ANO TOXIC SUBSTANCE?
MEMORANDUM

SUBJECT:  FIFRA 26 and 27 and SPMS Measures

FROM:     A., E. Conroy II, Director
          Office of Compliance Monitoring

TO:       Addressees
     On July 3, 1985, Jim Vickery of the Office of Enforcement
and Compliance Monitoring (OECM) transmitted by electronic
mail a memorandum on the proposed Strategic Planning and
Management System (SPMS) measures for FY 1986.  The major
revision dealt with reporting Significant Non-Compl iers (SNC).
The package on SPMS measures redefined "Significant Violator"
as any violator which meets the criteria for significant cases
set forth in 40 CFR 173 and the Interpretive Rule governing
FIFRA 26 and 27 referrals.

     In reviewing how the Regions have implemented FIFRA 26
and 27, the Office of Compliance Monitoring (OCM) has noted
that some Regions do a good job, e.g., Region IX in Hawaii.
Others are not following the procedures set forth in the
Interpretive Rule and the Procedures on Rescission of Primacy.
Because'the SPMS measures are mandatory now, I am sending you
the attached document which contains the requirements currently
found in the Interpretive Rule and 40 Part 173.  In conjunction
with the SPMS operation, Dr. Jake Mackenzie, Western Regional
Compliance Director, OCM, will be reviewing FIFRA  26 and
27.  He will use the SPMS data generated to evaluate and assess
the need for changes to  26 and 27.

     In order to facilitate the transition to the new SPMS
measures, John Seitz, Chief Executive Officer, OCM, plans
to visit each of the Regions within the next four weeks to
discuss the new measures and any problems which you may be
having with them.  He will be contacting you individually
to set up a specific date.

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     In addition, I  would welcome any comments you have on
the attached FIFRA 26 and 27 document.  Please send your
comments to Phyllis  Flaherty, Chief, Policy and Analysis
Branch.  If you have any questions on the document, she can
be reached at FTS 382-7826.

Attachment

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                          STATE  OVERSIGHT

                         FIFRA 26  AND 27
BACKGROUND
   FIFRA 26 and 27 establish  a  standard  and  procedure  for
   giving States primacy.   Section  27  authorizes  the  Admini-
   strator to override or  rescind  a grant  of  primacy  in
   certai n situations.

   Three documents currently govern how we oversee  the  States
   and what happens  if the State  fails to  take appropriate
   actions for the enforcement  of  the  use  provisions  of  the
   Act.   These documents  are:

   FIFRA State Primary Enforcement  Responsibilities:  Final
   Interpretive Rule.  Published  at 48 FR  404  on  January 5,
   1983.

   Procedures Governing the Rescission of  State Primary
   Enforcement Responsibility for  Pesticide Use Violations,
   40 CFR Part 173.

   Annual State Cooperative Enforcement Agreement Guidance.

   Section 27(c) authorizes the Administrator  to  take immediate
   action to abate an emergency situation  where the State is
   unable or unwilling to  respond  to the crisis.

   EPA is not in a position to  monitor State  responses  to every
   allegation of pesticide misuse  referred by  the Agency.
   Rather, the Agency will focus  on oversight  activities on
   evaluating the overall  success  of State pesticide  enforcement
   actions, and will track, on  a  case  by case  basis,  only those
   allegations involving  particularly  serious  violations, i.e.,
   those agreed to in advance.

   Such  significant  allegations will be formally  referred to
   the State while other  less serious  complaints  will be
   forwarded for Information purposes  only.

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PROCEDURES FOR EPA TO'TAKE ACTION FOR  USE  VIOLATIONS
Authority	

0  Section 27 authorizes EPA to bring its  own  action  if  the
   State does not commence appropriate enforcement  action
   within 30 days of'such referral.

Prior to EPA Taking Action	
I.   Prior to Referral
0  The Region, in consultation with each  State,  identifies
   priority areas for referral.

   Priority areas should be those which  present  the greatest
   potential  for harm and depend on the  results  of pesticide
   enforcement evaluations conducted by  the Regions and  States.
   This is to be done prior to a formal  referral.

0  After identifying priority areas, the  Region  determines  on
   a case by  case basis which allegations in the priority areas
   involve sufficiently significant violations  to  be formally
   referred and tracked.

0  After a referral  is formally made, the determination  as  to
   whether a  State commences appropriate  action  involves a
   two phase  determination regarding the  :   1)  investigation
   stage and  2) the  enforcement response  stage.        .      ,
II.  'Investigation Stage
   For formal  referrals only, the Region contacts the State
   to learn the results of the investigation and the State's
   intended enforcement response.
       
   If the State has not conducted an adequate investigation,
   the.Region  should attempt to correct any deficiencies in
   the investigation through informal  communication with the
   State.

   An investigation is adequate if the State followed proper
   sampling and other evidence gathering techniques and
   responded expeditiously to the referral  and documented
   the facts of the case.

-------
0  If after discussions  with  the  State,  no  agreement  is  reached
   on correcting the deficiencies  in  a  specific  case,  the
   Region can act after  30  days.   Concurrence  from  Headquarters
   is recommended.  Please  note that  these  procedures  do not
   apply to referrals or requests  from  the  State for  EPA to
   inspect.

0  In those cases where  the Region encounters  a  pattern  of
   inadequate investigations, the  Region  should  discuss  this
   with the State during evaluations  and  grant  negotiations
   and work towards  resolving the  problem.   Solutions  may  .
   include providing additional  training  or equipment.


III.   Enforcement Response  Stage
   For formal  referrals,  the  Region  contacts  the  State  regarding
   the State's  intended  enforcement  response.

   The Region  reviews  the intended  response  to  determine  if  it
   is  appropriate.   Although  appropriate  responses  cover  a wide
   range  of  possible responses,  the  Region  reviews  the  intended
   State  action  in  the context  of the  specific  case.

   This review  must also  take into  account  the  actions  available
   under  State  law, as reviewed  during the  orig-inal  granting  of
   primacy.

   If  the Region finds that  the  State's intended  action  is
   inapprooriate, the  Region  should  discuss  this  with the State.
   If  agreement  is  reached,  the  State  has 30  days to  initiate
   the action.

   If  no  agreement  is  reached on the specific  case  after  the
   State  is  informed of  EPA's disagreement,  the Region  notifies
   the State in  writing  that  it  has  30 days  to  correct  the
   situation or  EPA will  take the enforcement  action.

   In  those  cases where  no agreement has  been  reached,  upper
   level  management should be involved in the  negotiations
   prior  to  formally notifying  the  State  that  EPA plans  to
   take action  unless  the situation  is corrected.

   EPA will  take action  only  on  those  cases  identified  as a
   priority  with the State and  as a  significant violation
   and which has been  formally  referred and  tracked.

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HISTORY OF INADEQUATE ACTION


Cases Not Identified as Formal  Referrals
0  The Region should discuss such cases during State midyear
   and' end of the year evaluations.

0  In situations where there appears to be a  significant
   problem in a particular area,  the Region should  attempt  to
   resolve this problem through a number of mechanisms.
   These mechanisms include:  addressing the  problem through
   specific reference in the next year's grant narrative,
   providing additional training  if  appropriate, and
   identifying the problem area as a priority area  for
   which formal referrals will  be made and tracked.

Cases Which Are Formal Referrals	

0  The Region should try to resolve  problems  as they arise
   on a case by case basis in the context of  consultations
   prior to the State's enforcement  actions.   However, when
   this has failed, and the Region has informally and formally
   discussed and documented problems and the  State  has a
   pattern of inadequate action,  the Region needs to correct
   the situation.

0  As for cases which are not formal referrals, the Region
   should work with the State during midyear  and end of
   the year evaluations as well as during negotiations con-
   cerning specific cases being tracked.

0  The Region should address such problems through  training,
   specific grant guidance language, and continued  tracking
   of priority areas.

0  If the Region has documented a history of  inadequate
   enforcement of the use provisions of the statute and
   has exhausted all other avenues of resolution, the
   Region should consider rescission of primacy.

0  Procedures for the rescission  of  State primary enforcement
   responsibility for pesticide use  violations are  explained
   in 40 CFR 173.

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RESCISSION OF PRIMACY

Initiation of Rescission Proceedings
0  Rescission of primacy requires written notification  by
   the Administrator to the State of those aspects of the
   State's pesticide use enforcement program which have
   been found to be inadequate.  The CFR delineates the
   specific information which should be in the notification.

Informal  Conference and Settlement	

0  After receipt of the notification, the State may request
   an informal  conference between the State and EPA officials
   to discuss the find ings.

0  If the Administrator finds, based on the conference, that
   the deficiencies did not exist or were corrected by  the
   State, the Administrator shall issue an order withdrawing
   thenoticeofintenttorescind.

0  At any time prior to issuance of a final order, the  State
   and EPA may resolve the issues raised.  Any settlement
   agreement shall  be in writing and signed by both parties.

0  If an  agreement  is signed, the Admimistrator shall issue
   an order withdrawing the notice of intent to rescind.

Request for Heari ng	

0  A State may request a hearing before a Presiding Officer
   within 60 days of receipt of notice of intent to rescind.

Publication of the  Notice and Hearing	

0  Within 60 days after service of notice, the Administrator
   shall  publish in the Federal Register, the notice of
   intent to rescind.

0  At the same time, the Administrator shall schedule a hearing
   in th2 State if  a hearing has been requested by the State.

0  Representatives  of the State, the public, and EPA may
   present evidence.

-------
                               - 6 -
Hearing and Recommended Decision	
0  Decision may b'e an order to rescind primacy in whole or
   in part or to withdraw notice of, intent to rescind.
0  Decision becomes final within 45 days.unless an appeal
   to the Administrator is taken or the Administrator reviews
   sua sponte.
Final Order	  '	
0  Final  Orders shall be published in the Federal Regi ster.
Judicial  Review	
0  A State may appeal an order rescinding, in whole or in
   part,  its primacy to the appropriate federal court.

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     Ol-'fHJt: OP I'liSTiCU
       Program'Area;  Pesticides Enforcement
                          MEASURE
                                                                                                   SPMS CODE
Achieve and maintain a high
level of compliance (con't).
0 addressed after exceeding specitied  time  cranes  (Includes
  extensions granted to states)

Significant: Violator  (EPA Cases) Dynamic base*

For use violations reterred tran the states to EPA tor action
or tor use cases based on Kt>A  inspections report:

0 nunber of actions addressed  within M days ot  state reterral
  or conpletion ot EPA inspection:

0 nuniber not addressed withxn  specie ied time frames.

0 addressed after exceeding specified  timeframes.
*Regionai quarterly targets will lie set  for  this measure.
                                                                                                      : - 4
,A -1,4
                                                                           Ol'l-S-5

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                                       OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
                                         Program Area:   Pesticides Enforcement
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Achieve and maintain a high
level of compliance.
Inspections for Significant Activities

Specify the number of State inspections conducted in
'the following categories identified on EPA form 5700-3311
and the number of EPA inspections in comparable categories:*

o agricultural use and follow-up
o nonagricultural use and follow up
o restricted use pesticide dealers

Compliance Rates for Significant Activities

Report on number of actionable state inspections for the
following categories identified on EPA Form 5700-3311.*

o agricultural use and follow-up
o nonagricultural use and follow-up
o restricted use pesticide dealers

Significant Violator (State Primacy)-r>i>namic Base

For referrals under Section 27 designated as significant in
accordance with the procedures set forth in 40 CFR 173 (pro-
cedures governing referrals)  EPA Regions report:

o number of referrals addressed within specified timeframes
  (30 days investigation; 30 days prosecution)(Timeframes
  should not include extensions granted to States.)

o not addressed within specified timeframes
                                  * All  Federal data will be  reported quarterly  in real time.
                                   All  state data will be reported quarterly, one quarter out
                                   of phase.   	'	
                                                                                                  P/E - 1
                                                                                                  P/E - 2
                                                                                                  P/E - 3
            0 1,2,3,4
            0 1.2.3,4
            O 1,2,3,4

-------
                            tinned Slates
                            Environmental Protection
                            Agency
                            0ice of
                            Public Affairs iA-107)
                            Washington DC 2W60
                            Rcvsed May 1985
vvEPA
The  Federal
Insecticide,  Fungicide,
and  Rodenticide Act
as  Amended
                             7 USC IM.|


                             n sin. in'.
                              7 USC I.Un
                              7USC" 1)61)
                              7 USC IM


                              7 USC IMf




                              7 USC IMt
                               P.L.
                               fj Sut. 1)7.
               "SEC. It. STATE PRIMARY ENFORCEMENT RESPONSIBILITY.

                 "(a) For th purposes of this Act. a Stale shall have primary enforcement
               responsibility for pesticide use violations during any period for which (he Ad-
               ministrator determines that  such Stale
                      "(1) has adopted adequate pesticide use laws and regulations; Pro-,
                     vided. That the Administrator may not require a State to have pesticide!
                     use laws that are more stringent than this Act;
                      "(2) has adopted and is implementing adequate procedures for the
                     enforcement of such State laws and regulations; and                j
                      "(3) will keep such records and make such  reports showing com-
                     pliance with  paragraphs (I)  and (2) of this subsection as the Ad-
                     ministrator may require by regulation.
                 (b) Notwithstanding the provisions of subsection (a) of this section, any
               State  that enters into a cooperative agreement with the Admimsirator under
               section 23 of this Act for the enforcement of pesticide use restrictions shall
               have the primary enforcement responsibility for pesticide use violations. Any
               State that has a plan approved by the Administrator in accordance with the re-
               quirements of section 4 of  this Act that the Administrator determines meets
               the criteria set out in subsection (a) of this section shall have the primary en-
               forcement responsibility for pesticide use violations. The Administrator shall
               make such determinations with respect to State plans under Section 4 of this
               Act in effect on September  30, 1978 not later than March3l. 1979.
                 "(c) the Administrator shall have primary enforcement respoiuibility  for
               those States that do not have primary enforcement responsibility  under this
               Act. Notwithstanding the provisions of section 2(e) (I) of this Act rlu-in-  -/
               period when the Administrator has such enforcement responsioility. section
               8(b) of this Act shall apply to the books and records of commercial applicators
               and to any applicator  who holds or applies pesticides, or use dilutions of
               pesticides, only to provide a service of controlling pests without delivering any
               unapplied pesticide to any person so served, and section 9(a) of this Act shall
               apply to the establishment  or other place where pesticides or devices are held
                for application by such persons with respect to pesticides or devices held for
                such  application.
                t'SEC. 27. FAILURE BY THE STATE  O ASSURE ENFORCEMENT OF
                STATE PESTICIDE USE REGULATIONS.

                  "(a) Upon receipt of any complaint or  other information alleging or in^
                dicating a significant violation of the pesticide use provisions of this Act. the
                Administrator shall refer the matter to the appropriate State officials for their
                investigation of the matter consistent with the requirements of this Act. if,
                within thirty days, the State has not commenced appropriate enforcement ac-
                tion, the Administrator may act upon the complaint or information to the ex-
                tent authorized under this Act.                             .
                  "(b) Whenever the Administrator determines that-a State having primary
                enforcement responsibility for pwticide use violations is not  carrying out (or
                cannot carry out due to the lack of adequate legal minority) such responsibili-
                ty the Administrator shall notify the State. Such notice shall specify those
                aspect! Of the administration of the State program that are determined to be
                inadequate. The State shall have ninety days after receipt of the notice to cor-
                rect any deficiencies. If after that time the  Administrator determines ihat the
                Slate program remains inadequate, the Administrator may rescind, ini who*
                or in pejt,  tht State's primary enforcement responsibility for pesticide use

                ?c)Neiiher section 26 of this Act nor this section shall limit the authority
                of the Administrator to enforce this  Act. where the Adminstraior *""**
                that emergency conditions exist that  require immediate action on ih*P*n '
                thi ^dmi^is^rtor and the Slate Minority is unwilling or unable adequately to
                respond to  the emergency.

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                                          Index

The documents in this index are referenced by the Compendium subject/volume abbreviation and the date
of the document.  However, FIFRA Compliance Program Policy Compendium documents are referenced
by the subject/volume abbreviation and the document number.  The abbreviations for the subject/volumes
in this index are as follows:

              TG - Technical Guidance (Volume  1);
              SRG - State-Related Guidance (Volume 2);
              ES - Enforcement Strategies (Volume 3);
              ERP - Enforcement Response Policies (Volume 4); and
              FCPP - FIFRA Compliance Program Policy Compendium (Volume 5)
Agricultural use only, FCPP 25.1
Alar. See Daminozide
Aldicarb
     stop sale, ES 04-30-90
Aldrin, TG 02-00-90
Aluminum Phosphide products, FCPP 3.3
Amitraz, TG 02-00-90
Antifouling paints, ES 04-21-83
Antimicrobial pesticide, TG 05-28-86
Application review procedures, SRG 06-13-89
Arsenic Trioxide, ES 06-06-89, TG 02-00-90
Basic registrations, FCPP 3.9
Benomyl, TG 02-00-90
BHC, TG 02-00-90
Bithionol, TG 02-00-90
Books and records. See Recordkeeping and reporting
Bromoxynil, TG 02-00-90
     conditional registration and cancellation of certain
     products, ES 07-06-89
Bromoxynil Butyrate, TG 02-00-90
Bulk shipments, TG 07-11-77
Cadmium, TG 02-00-90
Calcium Arsenate. See Wood Preservatives
Cancellation order, TG 08-21-90
Captafol, TG 02-00-90
Captan, TG 02-00-90
FIFRA Compliance/Enforcement                                           Guidance Manual
Policy Compendium                                                         September 1992

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Carbon Tetrachloride, TG 02-00-90
     cancellation, ES 07-11-87
Cedar Chemical Company, ES 06-15-88
Certification plan, FCPP 26.1
Certified applicators, TG 11-29-83, TG 04-25-84, FCPP 2.3,
 FCPP 12.4
Chemigation, FCPP 12.7
Child-resistant packaging, ES 06-08-81, FCPP 25.1
Chloranil, TG 02-00-90
Chlordane/heptachlor, TG 02-00-90
     corn use, ES 08-27-76
     suspension, ES 01-15-76, ES 01-22-76, ES 02-19-76,
     ES 11-23-76
           enforcement strategy, ES 3-23-76
     termiticides
           cancellation and suspension, ES 04-13-88
           revised compliance strategy, ES 04-13-88
Chlord'imeform, TG 02-00-90
     cancellation strategy, ES 06-19-89
     existing stocks, ES 02-09-89, ES  06-19-89
     recall, ES 06-19-89
Chlorobenzilate, TG 02-00-90
Civil compliance, TG 01-16-80
Civil liability, TG 10-22-81
Civil penalties, TG 07-12-79, SRG 02-24-81
Civil penalty
     assessment, TG 01-17-80
     calculation, ERP 07-02-90
     matrix, ERP 02-10-86
Commercial applicator, FCPP 2.3
Communications strategy
     FIFRA and TSCA GLPs, ES 04-25-90
Compliance monitoring inspection, ES  06-15-88
Compound 1080, ES 07-25-86, TG 02-00-90
Confidentiality, FCPP 10.1
Conservation Reserve Program (CRP), FCPP 3.7
Contract manufacturing, FCPP 3.2
Cooperative agreement,  SRG 07-31-89, FCPP 26.1
     application requirements, SRG 06-13-89
     funds, SRG 06-13-89
     implementation, ES 11-22-83
Copper Arsenate, TG 02-00-90
Credentials, SRG  12-18-80
Creosote, ES 10-23-86, TG 02-00-90
Criminal penalties, TG 07-12-79
Crop rotation restrictions, FCPP 3.7
FIFRA Compliance/Enforcement                                            Guidance Manual
Policy Compendium                                                         September 1992

-------
Cropland, FCPP 3.7
Custom blenders, FCPP 3.4, FCPP 7.1
Cyanazine, TG 02-00-90
Cyhexatin, TG 02-00-90
Daminozide (Alar), TG 02-00-90
     agreement to halt sales, ES 06-14-89
     final compliance monitoring strategy, ES 10-20-86
Data call-in requirements, ES 09-13-85
DBCP, TG 02-00-90
     suspension order, ES 11-07-79
DDD (TDE), TG 02-00-90
Dealer, FCPP 12.4
Dealer/distributor, ES 02-09-89
Diallate, TG 02-00-90
Dibromochloropropane. See DBCP
Dicofol, TG 02-00-90
Dieldrin. See Aldrin
Diluent, FCPP 12.5
Dimethoate, TG 02-00-90
Dinoseb, TG  02-00-90, ES 04-17-87, ES 03-14-88, ES 06-15-
     amendment to suspension, ES 04-02-87
     cancellation, ES 03-28-88, ES 06-15-88, ES 03-03-89
     emergency suspension, ES 10-07-86
     exemption requirements, ES 04-02-87
     stipulated order, ES 03-28-88
     suspension order, 04-17-87
Direct supervision, FCPP 2.3
Disinfectants, TG 02-00-90
Distributor registrations,  FCPP 3.2
District court injunction,  ES 03-28-88
Drinking water, TG 08-30-75, ES 10-00-80
EBDC, TG 02-00-90
     compliance strategy, ES 03-12-90(a), ES 03-12-90(b)
EDB, TG 02-00-90
     grain uses, ES 02-03-84, ES 02-06-84(a), ES 02-06-84(b)
     soil fumigation use, ES 10-06-83
     suspension, ES 10-06-83, ES 02-03-84, 02-06-84(a)
Electronic mosquito repelling devices, TG 02-00-90
Emergency exemptions, ES 03-14-88
Enclosed cabs, TG 02-00-90, FCPP 12.6
Endangered species, TG 02-01-88, SRG 06-13-89, SRG 07-31-89
Endrin, TG 02-00-90
FIFRA Compliance/Enforcement                                            Guidance Manual
Policy Compendium                                                        September 1992

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Enforcement, FCPP 12.7
Enforcement actions, TG 08-30-75, TG 12-19-79
Enforcement responsibility, primary. See Primacy
Engineering controls, FCPP 12.6
EPN, TG 02-00-90
Establish competency, FCPP 4.1
Establishment registration, ERP 02-10-86, FCPP 3.5, FCPP 7.1,
 FCPP 10.1
Ethylene bisdithiocarbamate. See EBDC
Ethylene dibromide. See EDB
Evidence, FCPP 26.1
Executive agencies, TG 01-16-80
Exemptions, FCPP 3.1
Experimental use permit (EUP), FCPP 12.1
Exporting
     unregistered pesticides, TG 07-28-80
Existing stocks, TG 08-21-90
     chlordimeform, ES 02-09-89, ES 06-19-89
Exports.  See Imports and exports
Federal facilities, TG 01-16-80
Fertilizer
     pesticide mixture(s), FCPP 2.1, FCPP 3.4
Financial status, TG 10-17-80
Fish and Wildlife Service (FWS), ES 07-25-80
Fluoroacetamide, TG 02-00-90
Foreign trade zones, FCPP 17.1
Form 10-K. See 10-K Statements
Free ports, FCPP 17.1
Fumigants, ES 04-21-83
Fumigation, FCPP 3.3
Good Laboratory Practices (GLPs)
     and data audits, ES 11-22-83, ES 01-15-85
     notification plan, ES 04-25-90
     question and answer document, TG 05-12-92
Good Laboratory Practice (GLP) Standards
     agreement
           interagency; Department of Health and Human Services,
           National Toxicology Program, ES 01-15-85
           memorandum of; for conduct of laboratory inspections and
           data  audits, ES 01-15-85
     equipment, ES 11-29-83, ES 01-15-85
     inspections,  ES 01-15-85

FiFKA Compliance/Enforcement                                           Guidance Manual
Policy Compendium                                                         September 1992

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Good Laboratory Practice (GLP) Standards (continued)
     organization and personnel, ES 11-29-83, ES 01-15-85
     quality assurance unit, TG 08-17-89
     records and reports, ES  11-29-83, TG 08-17-89, ES 01-15-85
     regulations, ES 01-15-85
     standard operating procedures, TG 08-17-89
     testing, ES 11-29-83, 01-15-85
     testing facilities, ES 11-29-83, ES 01-15-85, TG 08-17-89
Government agency
     state or local, SRG 02-24-81
Grain uses
     EDB,  ES 02-03-84, ES 02-06-84(a), ES 02-06-84(b)
Grant application forms, SRG 06-13-89
Ground water, SRG 07-31-89, SRG 06-13-89
Heptachlor. See Chlordane/heptachlor
HTLV-III/LAV, TG 05-28-86
Imports, FCPP 17.2
     and exports, TG 11-19-76
Indemnification claims, ES 10-06-83
Inorganic arsenicals, ES 10-23-86, ES 06-06-89
Inspections, FCPP 12.3
     establishment, TG 01-24-77
     Good Laboratory Practice Standards, ES 01-15-85
     labeling, ES 04-21-83
     pesticide use, TG 01-24-77, SRG 12-18-80
Intrastate use, FCPP 24.1
Kepone, TG 02-00-90
Knowledge expert, FCPP 2.1
Label Improvement Program (LIP), ES 04-21-83
Labeling, TG 10-22-81, TG 05-28-86, TG 02-00-90, SRG 09-01-92, FCPP 2.2,
     FCPP 3.3, FCPP 24.1, FCPP 25.1
     changes, TG 02-21-88
     requirements for exported pesticides, devices, and pesticide
      active ingredients, TG 07-28-80
Lead Arsenate.  See Wood Preservatives
Level of action, ERP 07-02-90
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Lindane, TG 02-00-90
     compliance monitoring strategy, ES 04-25-85
     notice of intent to cancel, ES 07-10-86
LIP Notice. See Label Improvement Program
Livestock protection (LP) collars, ES 07-25-86
Love v. Thomas, ES 03-28-88
Low volume applications, FCPP 12.5
Maintenance fees
     registration, TG 08-21-90
Make available for use, FCPP 12.4
Manufacturing use only, FCPP 3.8
Mercury, TG 02-00-90
     cancellation, ES 10-28-76
     settlement, ES 01-06-77
     biocides, registration, ES 09-12-90
     phenylmercuric acetate, cancellation, ES 09-12-90
Methyl Bromide
     California Fact Sheet, FCPP 3.10
     Label Revision, SRG 09-01-92
Metaldehyde, TG 02-00-90
Mirex, TG 02-00-90
Misuse, FCPP 2.1, FCPP 12.3, FCPP 26.2
Monocrotophos, TG 02-00-90
Multi-use products, FCPP 17.2
OMPA, TG 02-00-90
Oxyfluorfen, TG 02-00-90
Neutral administrative inspection scheme, ES 09-03-85
NOIC, ES 06-15-88
Noncertified applicator-, FCPP 2.3
Noncropland, FCPP 3.7
Notice of arrival, FCPP 17.2
Notice of intent to suspend (NOITS), ES 09-03-85
Outer containers, FCPP 2.2
Parathion, TG 02-00-90
PCBs, TG 02-00-90
PCNB, TG 02-00-90
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Penalties
     civil. See Civil penalties
     criminal. See Criminal penalties
Pentachlorophenol.  (See also Wood Preservatives), ES 10-23-80
PEPS (Pesticide Enforcement Policy Statements), TG 04-01-76,
 TG 07-08-76, TG 06-08-79
     institution of, TG 05-05-75
Permissible Exposure Limitation (PEL) Program, ES 10-23-86
Personal protective equipment, FCPP 12.2, FCPP  12.6
Personal use, FCPP 3.8
Pest control
     devices, TG  11-19-76
          electromagnetic, TG 02-00-90
          nonhazardous, TG 12-19-79
          preventive, TG 07-08-76
     nonstructural, TG 06-08-79
     structural, TG 06-08-79
Pesticide
     cancellation,  TG 02-00-90
     restricted use, TG 02-00-90
     suspension, TG 02-00-90
Pesticide dealer, FCPP 2.3
Pesticide Enforcement Policy Statements.  See PEPS
Pesticide use
     at less than label dosage rate, TG 06-08-79
     by veterinarians, TG 11-01-79
     control of pests not named on the label, TG 06-08-79 (See
      also Pest control - nonstructural)
          control of unnamed target pests, TG 06-08-79
     enforcement, TG 01-24-77
     uses which do not appear on label, advocacy of, TG 10-22-81,
      TG 05-28-86
Phenarsazine Chloride, TG 02-00-90
Phosphine gas, FCPP 3.3
Polychlorinated Biphenyls. See PCBs
Polychlorinated Terphenyls, TG 02-00-90
PR Notice 87-1, FCPP 12.7
Primacy, SRG 05-11-81, SRG 01-05-83, SRG 10-02-85, FCPP 26.1,
 FCPP 26.2
     rescission of, ES 11-22-83
Private applicator, SRG 02-24-81, FCPP 2.3
     certification,  FCPP 4.1
Processing, FCPP 17.1
Producer, ERP 02-10-86
Product labeling, ES 04-21-83
Product registration, FCPP 3.5, FCPP 3.8

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Production data, FCPP 10.1
Program oversight
     evaluation and reporting, SRG 06-13-89
Pronamide, TG 02-00-90
Purifiers. See water purification devices
Quaternary Ammonium Compounds, TG 02-00-90
Rail cars, FCPP 3.3
Recall
     chlordimeform, ES 06-19-89
     dinoseb, ES 03-14-88
Recordkeeping and reporting, TG 11-19-76, TG 11-29-83,
 TG 04-25-84
Referrals, SRG 10-02-85
Registered use pesticides, TG 11-01-79, SRG 02-24-81
Registrant
     reporting requirements, TG 08-23-78
Registrant/distributor liability, FCPP 3.9
Registration, FCPP 3.4, FCPP 17.1
     of establishments, TG 11-19-76
Repackaging, FCPP 3.2, FCPP 17.1
Reporting. See also Recordkeeping and reporting, ERP 02-10-86,
 FCPP 7.1
Reporting requirements
     study and experimental data, TG 07-12-79
Request procedures
     large numbers of samples or investigations, TG 07-30-80
     procedures complaint followup, TG 07-30-80
     sample or label, TG 07-30-80
Rescission proceedings,  SRG 05-11-81
Respirators, FCPP 12.6
Restricted use pesticides (RUP), TG 02-00-90, FCPP 12.4
Rhone-Poulenc, ES 07-06-89, ES 04-30-90
Safrole, TG 02-00-90
Salt water emesis, ES 04-21-83
Seed treatments, TG 02-00-90
Shipment, FCPP 3.1
Shipping containers, FCPP 2.2
Silvex.  See 2,4,5-T and Silvex
Sodium Arsenate.  See Wood Preservatives
Sodium Arsenite.  See Wood Preservatives
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Sodium Cyanide, TG 02-00-90
Sodium Fluoride, TG 02-00-90
Sodium Monofluoroacetate. See Compound 1080
Soil fumigation use
     EDB, ES 10-06-83
Special local need, FCPP 24.1
Special packaging. See Child-resistant packaging
Spot fumigation, ES 02-06-84(a), ES 02-06-84(b)
Spot treatment, FCPP 3.7
State authority, FCPP 26.1, FCPP 26.2
Stop Sale, Use, or Removal Order, TG 12-19-79, TG 08-21-90,
 ES 09-03-85,
     aldicarb, ES 04-30-90
     dinoseb, ES 03-14-88, ES 06-15-88
Strategic Planning and Measurement System (SPMS), SRG 10-02-85
Strobane, TG 02-00-90
Strychnine, TG 02-00-90
Supplemental registrations, FCPP 3.2, FCPP 3.9
Suspensions, ES 09-03-85
Target pest, FCPP 2.1
10-K statements, TG 10-17-80
Termiticides, ES 04-21-83
Thallium Sulfate, TG 02-00-90
TOK, TG 02-00-90
Toxaphene, TG 02-00-90
     cancellation, ES 01-01-83
Toxic collar. See Livestock Protection Collars
Transfer, TG 07-11-77
Tributyltin, TG 02-00-90
Trifluralin, TG 02-00-90
Truck fumigation, FCPP 3.3
2,4-D, TG 02-00-90
2,4,5-T  and Silvex, TG 02-00-90
     cancellation, ES 03-07-79
     suspension, ES 04-05-79, ES 08-20-79
2,4,5-TCP, TG 02-00-90
Ultra-low volume application, FCPP 12.5
Unregistred pesticides, FCPP 3.1
Use enforcement, FCPP 26.1
Use inconsistent with the labeling, FCPP 2.1
Use inspections, FCPP 12.3
Use recommendations, FCPP 2.1, FCPP 12.1

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Vegetable oil diluent, FCPP 12.5
Velsicol Chemical Corporation, ES 04-13-88
Vinyl Chloride, TG 02-00-90
Violation history, TG 10-17-80
Water purification devices, TG 08-30-75, TG 03-15-76, ES 10-00-80
Wood Preservatives, ES 10-23-86, TG 02-00-90
Worker protection program, SRG 06-13-89, SRG 07-31-89
Worker protection statements, TG 02-00-90
Written examinations, FCPP 4.1
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