oEPA
United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
DfRECTIVE NUMBER: 963o.6
TLE: FY-91 STATE UST PROGRAM GRANT GUIDANCE
APPROVAL DATE: March 30 199Q
EFFECTIVE DATE: March 30, 1990
ORIGINATING OFFICE:
13 FINAL
D DRAFT
STATUS:
REFERENCE (other documents):
Office of Underground
Storage Tanks (OUST)
OSWER OSWER OSWER
VE DIRECTIVE DIRECTIVE Dl
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&EPA
United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
DfRECTIVE NUMBER: 9630.6
TITLE: FY_9i STATE UST PROGRAM GRANT GUIDANCE
APPROVAL DATE: March 30>:-.1990
EFFECTIVE DATE: March 30, 1990
ORIGINATING OFFICE:
(3 FINAL
D DRAFT
STATUS:
REFERENCE (other documents):
°rc'' -f Underground
Storage Tanks (OUST)
OSWER OSWER OSWER
'E DIRECTIVE DIRECTIVE
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United States Environmental Protection Agency 1 QJ
SLCDA Washington, DC 20460
**trt\ OSWER Directive Initiation Request '
rective Number
)630.6
2. Originator Information
Jame of Contact Person Mail Code C
r.?rrottr ^larl- os-420
3. Title
FY-91 State Program Grant Guidance
)ffice Tetef
OSWER/OUST :
shone Code
582-7994
4. Summary of Directive (include brief statement of purpose)
Provides the criteria and procedures for allocation of grant funds
for State underground storage tank (UST) program activities in FY-91.
5. Keywords
Underground Storage Tanks, Grants
6a. Does This Directive Supersede Previous Directive(s)?
No
b. Does It Supplement Previous uirectrve(s)'.'
X No
7. Draft Level
A - Signed by AA/DAA X B - Signed by Office Director
X Yes What directive (number, title) OSWER
Directive
9 1- 1 f-n IT9T
Yes What directive (nun
C - For Review & Commen
9630.5 - FY 90
Grant Guidance
iber, title)
t D - In Development
8. Document to be distributed to States by Headquarters?
Yes
X
No
This Request Meets OSWER Directives System Format Standards.
9. Signature of Lead Office Directives Coordinator
» "" ' "* ^ t
Date
10. Name
Date
Rarhara
Hpniif-y Dirprt
EPATorm 1315-17 (Rev. 5-87) Previous editions are obsolete.
OUST
OSWER OSWER OSWER O
VE DIRECTIVE DIRECTIVE DIRECTIVE
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
MAR 3 0 1920
OFFICE OF
MEMORANDUM SOLID WASTE AND EMERGENCY RESPONSE
SUBJECT: Final FY 1991 Grant Guidance
FROM: Ron Brand, Director
Office of Underground Storage Tanks
TO: Regional Program Managers
Attached is the final version of the UST FY 1991 Grant
Guidance. This x. '_..,-- s nearly identical to last year's except
for a greater emphasis on State compliance and enforcement
activities since most States will have completed basic program
development activities. For additional information or
clarification please contact Garrette Clark (382-7994) of my staff.
Attachments
cc: OUST Management Team
Printed on Recycled Paper
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OSWER DIRECTIVE 9630.6
March 9, 1990
FY 1991 STATE UST PROGRAM GRANT GUIDANCE
I. PURPOSE OF GRANT GUIDANCE
This guidance provides the criteria and procedures for
allocation of grant funds for State underground storage tank (UST)
program activities in FY 91. As a supplement to the grant
regulations under 40 CFR Sections 31 and 35, this guidance is to
be used in developing and reviewing grant applications, awarding
grants, and monitoring grant activities. Regional offices are
responsible for negotiating grant agreements with States in
accordance with national guidance adapted to individual State
situations in order to stimulate and assist State program
development and implementation, monitor progress, and evaluate
grant fund expenditures.
Additional implementation guidance may be found in the "FY
1991 Agency Operating Guidance" (EPA, March 1990), in the OSWER
Directive 9610.5 -"FY 1989 - FY 1990 Transition Strategy for the
UST Program," OSWER Directive 9610.5-1 "Transition Tasks List," and
the "Policy on Performance-Based Assistance" (EPA 1985).
II. PURPOSE OF STATE UST PROGRAM GRANTS
The purpose of the UST grant program is to assist States in
developing and implementing effective State-run UST regulatory
programs for the prevention, detection, and correction of leaking
underground storage tanks containing petroleum and hazardous
substances.
It should be noted that Congress intended that Federal grant
funds in the UST program be used as "seed" money to assist States
with the development of State programs. Many States have already
developed or are developing mechanisms; i.e., tank fees, gas taxes,
etc., to provide a consistent State funding base for their
prevention programs.
In addition to State program grants, EPA is developing a
variety of implementation tools for use by States, and is providing
a forum for States to share information and experience concerning
UST programs. EPA is also providing Leaking Underground Storage
Tanks (LUST) Trust Fund monies to States to assist in cleaning up
leaking tanks. Under the LUST Trust Fund Cooperative Agreement
Guidelines States are expected to make reasonable progress during
FY 90 toward submitting a completed application to EPA for approval
of their UST prevention, corrective action, and financial
responsibility programs under Section 9004 of RCRA. A State's
success in making reasonable progress toward submitting a complete
application may be grounds for increasing State access to the Trust
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OSWER DIRECTIVE 9630.6
is for States to implement prevention programs which, over time,
will result in a drastic reduction in the number of leaking tanks.
The emphasis of EPA's program implementation is on the long
term, and the transition period will be characterized by the
continuing growth of a national UST program realized through the
building of State and local programs. It is EPA's objective to
focus Federal resources and efforts on improving existing programs
and facilitating the development of new State programs. In FY 91
a number of phased-in requirements will take effect. EPA will work
in tandem with States to improve performance and to promote Total
Quality Management in specific program areas such as enforcement,
inspections, site assessments, and corrective actions.
III. FY 91 NATIONAL PRIORITIES AND FUNDABLE TASKS
The following are fundable tasks for FY 91 grants. The
priority tasks have not been changed from FY 90 UST Program Grant
Guidance. EPA recognizes that completion of these tasks is a
process requiring a multi-year effort. For each task, specific
outputs for individual States will be determined by negotiations
between the States and the EPA Regional Office, taking into account
the nature and extent of program needs in that State and the
national priorities. (The activities listed after each priority
task are for illustration only, they are not required to be met in
order to accomplish the priority task. Required activities are
those actually negotiated between the Region and State.)
States do not have to conduct activities in all four fundable
task categories although that approach is encouraged. On the other
hand, a State should not exclusively be doing activities under, for
example, Task 3 and 4, if it has not previously conducted
activities under Tasks 1 or 2. It is anticipated that much of the
work under Task 1, State program development, will have been
completed during FY 90 and the focus of activities during FY 91
.will be on the remaining three tasks. Furthermore, EPA expects
that each State will engage in some compliance and enforcement
activities, such as participating in the Leak Detection Enforcement
Campaign. Regions may choose to focus on Region-specific
environmental priorities as well. For example, the Administrator's
call for Federal Facility environmental compliance for sites within
the Chesapeake Bay Watershed could be a priority in Region III.
Priority Tasks
Task 1: STATE PROGRAM DEVELOPMENT.
o Develop/revise State authorities and regulations
for the State UST program in order to meet Federal
standards.
o Investigate/develop mechanisms to fund the State
program
o Apply for a State UST program grant for FY 92
o Develop State authorities and procedures for an
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OSWER DIRECTIVE 9630.6
o Develop State authorities and procedures for an
adequate compliance monitoring and enforcement
program.
o Maintain an on-going tank notification program and
capability to report aggregate data derived from
the notification requirements to EPA on an annual
basis.
o Secure technical assistance and training for State
and local personnel for UST program implementation.
o Investigate/initiate development of a State fund to
help owners/operators meet financial responsibility
requirements.
Task 2: PROGRAM APPROVAL APPLICATION
o Develop draft and/or final application for State
program approval, and submit to the EPA Regional
Office.
Task 3: OUTREACH EFFORTS TO PROMOTE COMPLIANCE
o Promote compliance with Federal and State
requirements through outreach efforts designed to
disseminate regulatory and technical information to
local governments and the regulated community.
o Suggested priority areas include information on
standards for new tanks, leak detection, corrective
action, and closure.
Task 4: COMPLIANCE MONITORING AND ENFORCEMENT
o Identify, investigate and resolve violations of the
Federal regulations.
o Operate and enforce existing State UST programs
o .Suggested priority area is leak detection (such as
Leak Detection Enforcement Campaign activities.)
o Conduct transition tasks as specified in OSWER
Directive 9610.5-1.
IV. ALLOCATION OF STATE GRANT FUNDS
We expect the total FY 91 State grant allocation to be $9
million. (This figure is based on the President's budget currently
being considered by Congress.)
The grant funds will be allocated to the Regions at the rate
of $162.5 thousand per State (plus Puerto Rico and the District of
Columbia) and $137.5 thousand for the remaining territories.
Regions have the ability to move funds among their States and
territories.
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OSWER DIRECTIVE 9630.6
Regional Allotments for FY 91 State UST Program Grants
Region
Region
Region
Region
Region
Region
Region
Region
Region
Region
Total
1
2
3
4
5
6
7
8
9
10
$ 975K
625K
975K
1300K
975K
812. 5K
650K
975K
1062. 5K
650K
$9000K
V.
STATE MATCH
FY 1991 State UST program grants will require a minimum of 25%
grant match from the States. Of course, the State match can
include in-kind contributions. States are encouraged to provide
information on the size of their commitment of total resources to
ihe program, even when this exceeds 25%.
VI.
GRANT ADMINISTRATION
Grant application
The State or Region may initiate the grant process. A State
may submit a draft grant application to the Region, or the Region
may provide a draft work plan to its States for consideration.
Grant Negotiations
Specific activities funded under each State's grant work plan
will be determined through negotiations with the Region. In
accordance with the Agency's policy on performance-based grants,
each State will be expected to make specific task commitments as
part of it£ grant agreement. Commitments should reflect the
priorities stated in this guidance. In addition, for each major
task funded, the grant agreement must identify the resources
(dollars and FTEs) associated with that task, together with
quarterly work commitments. Regions should negotiate with States
to provide the information needed for all required reporting, with
particular attention to: (1) UST Closures - UST-4A1 & 4A2; (2)
Emergency Responses - UST 4C1 & 4C2; (3) Site Investigations - UST-
4D2 & 4D3, (4) removal of the Transition Requirements - UST -3, and
(5) an annual report of aggregate tank data derived from the State
notification data base. (See attachment)
Designated State agencies may enter into intergovernmental
agreements with substate or local government agencies and thereby
provide funds for the performance of specified tasks (40 CFR
Section 31.36). The designated State agency retains the ultimate
responsibility for ensuring that such funds are properly expended
in accordance with Federal requirements. Substate agencies that
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OSWER DIRECTIVE 9630.6
intend to contract out for services must comply with applicable
procurement requirements (40 CFR Part 31).
Grant Awards
All available grant funds should be obligated to the States
in FY 91. States should make every effort to use grant monies
during the allotted period. Otherwise, FY 90 carryover may be
awarded at the Regional Administrators' discretion to other high
priority UST activities.
UST program grant funds may only be used for eligible
activities, i.e., those which are: (1) necessary to develop and
implement an approvable State UST program, and (2) allowable for
funding (see OMB circular A-87 and CFR 31.22).
When a State does not seek program approval, the Regional
Administrator may use funds not awarded or committed to that State
to supplement awards to other States or to support a Federal
program cor :;lu <-:» . the absence of an acceptable State program.
Funds may not be diverted from Subtitle I or D to support Subtitle
C activities, nor visa versa.
Suggested Grant Award Schedule for FY 91 (May vary by Region)
April-June Develop draft FY 91 grant applications (Regions and
States)
July Regions begin grant negotiations with States
August States submit final grant applications
By Sept. 30 Regions have processed grant up to point of award
October Regions begin to award grants
Grant Oversight
In accordance with Agency policy, the Region must conduct at
least one on-site review. Regions should plan a mid-year and/or
end-of-year review with each State, and forward to OUST/HQ a copy
of each. State's performance evaluation final report. Regions may
arrange with States for more frequent reviews.
The comprehensive program review for each State should discuss
progress toward completion of funded tasks. Reviews should
identify:
1. areas of success including approaches that could be
shared with other States;
2. areas for improvement in the UST program;
3. areas where EPA assistance could be helpful, including
a plan for action;
4. areas where EPA or other Federal agencies are the cause
of the problems which should be addressed by EPA.
Copies of all State program evaluation reports and end-of-
year grant reports for FY 91 should be sent to Joe Retzer,
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OSWER DIRECTIVE 9630.6
Director, Implementation Division, OUST, within 30 days of
completion of the report.
State Reporting Requirements
All States should report in a timely and accurate fashion the
data needed for the quarterly activities report and the STARS
report for the EPA UST program. Regions will need to relay this
data to OUST/HQ within 10 working days of the end of each fiscal
quarter (QI, January 12; QII, April 13; QIII, July 13; QIV October
12) . Regions and States may develop reporting schedules that allow
them to meet these deadlines. Regions shall request that States
report annually on aggregate data from their notification data
systems.
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ATTACHMENT
OSWER DIRECTIVE 9630.6
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF UNDERGROUND STORAGE TANKS
FY 91 STARS REPORT
State
Region
Quarter
UST-1A States submitting complete
applications for State program approval.
UST-1B Number of States with
authorized programs.
UST-2A1 LUST cleanups initiated:
petroleum, (Responsible party lead).
UST-2A2 LUST cleanups initiated:
petroleum, (State lead with TF money).
UST-2A3 LUST cleanups initiated:
petroleum, (State lead with State money).
UST-2B1 Tank releases under control:
petroleum, (Responsible party lead).
UST-2B2 Tank releases under control:
petroleum, (State lead with TF money).
UST-2B3 Tank releases under control:
petroleum, (State lead with State money).
UST-2C1 Site cleanups completed:
petroleum, (Responsible party lead).
UST-2C2 Site cleanups completed:
petroleum, (State lead with TF money).
UST-2C3 Site cleanups completed:
petroleum, (State lead with State money).
Cumulative
last quarter
Actions this
quarter
Corrections to
previous data
Cumulative
total
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OSWER DIRECTIVE 9630.6
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF UNDERGROUND STORAGE TANKS
FY 91 QUARTERED ACTIVITIES REPORT
State
Region
Quarter
. UST-4A-1 Number of UST closures
reported. (Removals)
UST-4A-2 Number of UST closures
reported. (In situ)
UST-4B Number of reported confirmed
releases.
UST-4C-1 Number of emergency
responses taken using State funds.
UST-4C-2 Number of emergency
responses taken using federal funds.
UST-4D-1 Number of site investigations
completed by the responsible party.
UST-4D-2 Number of site investigations
completed by State using State funds.
UST-4D-3 Number of site investigations
completed by State using Federal funds.
UST-4E Number of sites where enforce-
ment actions taken to initiate or complete
corrective action.
Cumulative
last quarter
Actions this
quarter
Corrections to
previous data
Cumulative
total
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Exception Site Report
Please list cumulative activity and corrections n
previous quarters' information for any site whire
more than $100,000 of LUST Trust Fund money is
planned to be spent.
State:
Region:
Quarter:
Q
CO
O
When was expendi- Amount Amount Amount Judgments/ Costs
Site Name or Description ture planned? Planned Obligated Outlayed Settlements Recovered
For all Trust Fund sites, give total dollar
amount of all judgments and settlements.
For all Trust Fund sites, give total costs
recovered from all judgments and settlements.
Please list and describe any site where
innovative technology is being used.
Site Name or Description
Describe technology or method
Permanent
alternative
water supply?
Were citizens
relocated?
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