FIFRA PROJECT OFFICER'S MANUAL
STATE/EPA COOPERATIVE PROGRAM MANAGEMENT
U. S. Environmental Protection Agency
Office of Compliance Monitoring
and
Office of Pesticide Programs
401 M Street, S.W.
Washington, D.C. 20420
September, 1991
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TABLE OF CONTENTS
CHAPTER ONE 1
INTRODUCTION 1
EPA Headquarters/Regional Relationship 1
Project Officer Roles and Responsibilities .... 2
CHAPTER TWO 4
AUTHORITY , - > 4
Program 4
FIFRA 4
40 C.F.R. PARTS 150 TO 189 4
Grants Administration 5
40 C.F.R. PARTS 7, 30, 31, 32, 33, & 35 and
OMB CIRCULARS A-87,A-102, & A-110 and
EPA Order 1000.25 5
CHAPTER THREE . . 7
GUIDANCE DOCUMENTS 7
Consolidated Pesticide Cooperative Agreement
Guidance 7
Other Guidance 8
CHAPTER FOUR 9
PROJECT OFFICER TRAINING 9
CHAPTER FIVE 12
GRANTS ADMINISTRATION 12
Application Kit For state and Local Governments . . 13
Application Kit For Institutes of Higher Education
and Nonprofit Organizations 14
CHAPTER SIX 15
PREPARING A GRANT OR COOPERATIVE AGREEMENT 15
Authority to Receive Award 15
State vs. Federal Fiscal Years 15
Funding 16
Method of Payment 17
Record Keeping 17
Audits 18
Application 18
CHAPTER SEVEN 22
DAY-TO-DAY ACTIVITIES 22
Certification Grants 22
Meeting Participation 22
Monitoring Training Programs 22
Reviewing and Approving Exams 22
Enforcement Cooperative Agreements 23
Quality Assurance Plans .... 24
Quality Assurance Program Plan (QAPP) . . 24
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Quality Assurance Project Plan (QAPjP) . 25
Enforcement Response Policy 25
Oversight Inspections 26
Training State Inspectors 26
Accompany State Inspectors 26
FIFRA Section 26 and 27 Referrals 27
Tracking System 29
Other Ongoing Activities 29
Obtaining Federal Credentials 29
Priority Setting and Targeting
Inspections 30
Meeting Participation 30
Laboratory Oversight 30
Case Review . 31
Negotiating changes 31
Liaison 32
Regulatory and Policy Interpretations . . 32
Obtaining Labels 32
Section 18 and 24(c) Applications .... 33
Compliance Strategies 33
State Training 33
Pesticide Programs Cooperative Agreements 33
Groundwater 34
Endangered Species 34
Worker Protection 35
Other 35
CHAPTER EIGHT 36
MIDYEAR AND END-OF-YEAR EVALUATIONS 36
Planning the Evaluations 36
Conducting the Review 37
Certification "... 37
Quantitative 37
Qualitative 38
Enforcement 39
Quantitative 39
Qualitative 39
Program Activities 40
Closing Discussions 40
Reporting the Evaluation 41
Problem Resolution 41
CHAPTER NINE 44
HOW TO CONTINUE FROM YEAR TO YEAR 44
Prenegotiation Strategy 44
Negotiating with the State Lead Agency 45
Amending State Plans 46
Working with the Regional SFIREG 46
GLOSSARY 48
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FOREWORD
This manual has been designed as a companion to EPA's Pesticides.
Inspection Manual and follows the same loose leaf format that
allows easy changes and provides for the addition of Region
specific guidance. This manual is intended to provide a basis
for new and experienced project officers. Available resources
within the Region may dictate that more or less is done within
that Region. Some portions, such as grant guidance, will have to
be replaced annually. It is meant to be used! Your comments and
suggestions will be appreciated and should be sent to the Chief
of the Grants and Evaluation Branch, OCM, or Certification and
Training Branch, OCM.
Work group members from EPA Headquarters and Regional
Offices developed the manual. They included the following:
David A. Ramsey, Chairman, Region VII
Mary Ellen Podniesinski, Project Coordinator, OCM
Pamela Ringhoff, Region I
Carlton Layne, Region IV
Richard Parkin, Region X
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the annual Consolidated Pesticides Cooperative Agreement
Guidance.
The Project Officer communicates regularly with OPP and OCM
for advice and recommendations in the management of state
cooperative agreements and to provide feedback on the
implementation of the National Program. Exhibit 1-1 is a
functional directory describing the organization and
responsibilities of OPP and OCM. This directory lists
Headquarters staff by organizational office and by function.
OPMO handles the administrative tasks of the Office of the
Assistant Administrator of OPTS. OTS develops national
policies, rules and regulations to implement the Toxics
Substances Control Act.
II. Project Officer Roles and Responsibilities
The roles and responsibilities listed below fulfill the
oversight responsibility of the Regions. They are all
referred to as Project Officer roles and responsibilities in
this manual. Project Officers have a management team and
often many technical specialists supporting them; therefore,
the exact division of responsibilities may vary among the
Regions. Project Officers are responsible for being
knowledgeable about the pesticides programs in their
assigned states. They try to balance the many and sometimes
differing priorities of Headquarters, Regions, and the
states throughout the year through continuing negotiations.
The Project Officer tries to ensure the needs of the state
and the standards of the national program are being met.
In many instances the Project Officer may not be the actual
EPA employee providing the advice, assistance, training, or
evaluations described below. In some Regions these duties
are divided among a number of different individuals, e.g.,
specific individuals may be responsible for groundwater or
worker protection. In those cases the designated Project
Officer must coordinate the input of the specialists. The
functions of the Project Officer are to:
1. Provide advice and assistance to states in the
development and management of the state's pesticide
program;
2. Maintain a working knowledge of the state's entire
pesticide program, and promote an effective state
program, including activities outside the immediate
scope of the cooperative agreement;
3. Negotiate cooperative agreements with states and
provide liaison assistance between the state and the
Region's Grants Administration Program;
4. Review proposed expenditures in the state's budget to
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CHAPTER ONE
INTRODUCTION
The U. S. Environmental Protection Agency (EPA) is authorized by
the Federal Insecticide, Fungicide, and Rodenticide Act, as
amended (FIFRA), to enter into cooperative agreements with states
and Indian tribes. The purpose of this manual is to delineate
the overall regional oversight responsibilities in managing those
pesticide agreements. In most Regions the oversight
responsibilities described in this manual are performed by the
Project Officer, and these duties are referred to consistently in
the manual as Project Officer responsibilities, duties, function,
activities, etc. However, in some Regions these responsibilities
may be assigned to a number of different program specialists,
inspectors, etc. In those Regions, the Project Officer must
coordinate the input of those other people.
This manual emphasizes Pesticide Program oversight
responsibilities in the Region. It briefly addresses the Grants
Administration function because the Project Officer generally
serves as a liaison between Grants Administration and grantees.
Adherence to this manual should result in an acceptable oversight
program. The manual is meant to address minimum requirements and
allow for differences among Regions.
FIFRA regulates the manufacture, distribution, and use of
pesticides. Pesticide devices are also regulated under FIFRA.
The Act provides for national standards concerning pesticides and
promotes state programs for enforcement activities and
certification of pesticide applicators. Funds from EPA can
assist those state programs and their unique needs while
promoting Federal initiatives and protecting health and the
environment.
I. EPA Headquarters/Regional Relationship
The Office of Pesticides and Toxic Substances (OPTS) is
responsible, in part, for implementing FIFRA. OPTS is
divided into the following four Offices:
1. Office of Pesticide Programs (OPP);
2. Office of Compliance Monitoring (OCM); and,
3. Office of Program Management Operations (OPMO);
4. Office of Toxic Substances (OTS).
OPP develops national policies, rules and regulations which
control the registration, use, manufacture, distribution,
etc., of pesticides. Program initiatives such as pesticides
in groundwater, worker protection, and endangered species
protection are also developed by OPP. OCM is the
enforcement arm of OPTS. OCM develops national compliance
monitoring and enforcement policies, priorities, and
strategies for FIFRA. OPP and OCM work together to develop
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verify expenses are reasonable, based on the Project
Officer's knowledge of the state program's size and
complexity. Grants Administration specialists may be
contacted for advice on financial issues, such as
procurement of vehicles, photocopiers, computers, etc.
They will determine if proposed purchases are allowable
under the terms of the agreement and federal
regulations. They may also provide a detailed review
of the financial aspects of a state's application;
5. Review the agreement guidance for the upcoming year
with the state to determine whether the projected
accomplishments proposed by the states are sufficient;
6. Track the state's activities throughout the year to
verify that cooperative agreement commitments are being
met ;
7. Provide for training to the state in all programs
(enforcement, certification, pesticide programs, etc.);
8. Conduct complete formal evaluations at the midyear and
end-of-year review. Informal evaluations continue
throughout the year. The evaluation role of the
Project Officer requires tact and diplomacy. At the
time of the formal review there should be no surprises
to the Project Officer or to the state if the Project
Officer has been successful in his/her efforts;
9. Represent the states' views to the Region and
Headquarters to ensure an understanding of the needs
and position of the states. Once final decisions on
policy or resources are determined the Project Officer
must represent the EPA position;
10. Call upon other resources within or outside of EPA to
support any of the above functions;
11. Keep their management teams and technical specialists
informed of the status of each state's pesticide
program, grant, and cooperative agreement; and
12. Maintain complete and accurate files of all phases of
the project.
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i a-
Provide advice, assistance and
t r a i n ing
Maintain working knowledge of
and help promote effective
state pesticide program
Negotiate cooperative agreements
Review proposed expenditures in
State's budget
Review agreement guidance for
sufficiency
Track state's activites
throughout year
Provide training to state in all
programs
Support any of these functions
with resources
Complete periodic formal
evaluations
Represent States views and needs
to Region and Headquarters
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CHAPTER TWO
AUTHORITY
I. Program
A. FIFRA
FIFRA and 40 Code of Federal Regulations (C.F.R.) Parts 150
to 189 provide the basic authority for our pesticide
programs. The following sections of FIFRA and the rules
promulgated under its authority are discussed because they
are of special importance to Project Officers.
1. Section 11. This section explains state plans for
certification of pesticide applicators and requires
separate standards for commercial and private
applicators.
2. Section 23. This section specifically authorizes EPA
to enter into cooperative agreements with states and
Indian tribes for pesticide enforcement and to assist
in training and certifying applicators. The Federal
share of funding is limited to 50 percent for
certification and training programs. No limitation is
specified for enforcement or pesticide programs. EPA
usually sets the Federal share for the latter programs
at a maximum of 85 percent). Contracts with federal,
state, or Indian tribal agencies for encouraging
applicator training are also authorized. The state
Cooperative Extension Services are identified as the
primary educators for pesticide use information.
3. Section 26. This section stipulates under what
conditions states shall have primary enforcement
responsibility for pesticide use violations (primacy).
4. Section 27. This section requires EPA to refer
complaints and other information concerning pesticide
misuse to states. It also provides the authority for
the EPA Administrator to rescind primacy in certain
situations.
B. 40 C.F.R. PARTS 150 TO 189
The Project Officer should keep a current copy of these
regulations on hand for reference and have a general
knowledge of their contents. Project Officers managing
certification grants must be very familiar with Part 171 -
Certification of Pesticide Applicators.
Part 173, Procedures Governing The Rescission of State
Primary Enforcement Responsibility for Pesticide Use
Violations (Exhibit 2-1), was published subsequent to FIFRA
Sections 26 and 27. It was followed by an interpretive rule
(Exhibit 2-2) which defined "State Primary Enforcement
Responsibilities." Specifically, the rule addresses the
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following issues:
1. Procedures EPA will follow when referring allegations
of pesticide use violations to the states and tracking
state responses to those referrals;
2. The meaning of "appropriate enforcement action;11
3. Clarification of when a state will be deemed to have
adopted adequate pesticide use laws and regulations and
implemented adequate procedures for the enforcement of
such laws and regulations;
4. The criteria the Administrator will use to determine
whether a state is adequately carrying out its primary
enforcement responsibility of pesticide use violations;
and
5. The factors which constitute an emergency situation and
the circumstances which require EPA to defer to a state
for a response to the crisis.
Many of the requirements in the Annual Consolidated Pesticide
Cooperative Agreement Guidance and the midyear and end-of-year
Evaluation Protocol stem from the Interpretive Rule, e.g.,
priority setting, legislative update, enforcement response
policies, case tracking, etc.
A Project Officer should be familiar with FIFRA, the regulations
and the Interpretive Rule. The rule does not detail the
specifics of various program requirements, but it does provide a
good source of background material and a sense of what should be
included in a program. For example, it states an adequate refer-
ral system should contain:
.#
1. A method for funneling complaints to a central
organizational unit for review;
2. A logging system to record the receipt of the complaint
and to track the stages of the follow-up investigation;
3. A mechanism for referring the complaint to the
appropriate investigative personnel;
4. A system for allowing a rapid determination of the
status of the case; and
5. A procedure for notifying citizens of the ultimate
disposition of the complaints.
The rule requires methods, systems, mechanisms and procedures for
adequate referral systems. The Project Officer should be
prepared to assist the state in establishing these requirements.
II. Grants Administration
A. 40 C.F.R. PARTS 7, 30, 31, 32, 33, & 35 and OMB
CIRCULARS A-87,A-102, & A-110 and EPA Order 1000.25
Grants Administration personnel in Regional Offices of Policy and
Management keep abreast of various federal regulations, Office of
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Management and Budget (OMB) circulars, executive orders, and
other directives affecting EPA awards. Chapter Five of this
manual refers to an application kit which includes some of those
documents. Project Officers are usually the first point of
contact for States and therefore should be familiar with grant
procedures and requirements. The following highlights should be
helpful to the Project Officer. Copies of OMB documents and EPA
orders can usually be obtained from the Regional Grants
Administration offices.
1. 40 CFR Part 7. Nondiscrimination in Programs Receiving
Federal Assistance from the Environmental Protection
Agency implements statutes which prohibit discrim-
ination on the grounds of race, color, national origin,
sex, and handicap.
2. Part 30. General Regulation for Assistance Programs
includes assistance requirements mandated by statute or
OMB Circulars which are necessary for effective program
management. It tells how to request and manage an EPA
project, describes EPA involvement in the process, and
identifies the recipients' responsibilities.
3. Part 31. Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local
Governments ("The Common Rule") establishes consistency
and uniformity among Federal agencies in the
administration of grants and cooperative agreements to
state, local, and Indian tribal governments.
4. Part 32. Debarment and^Suspension Under EPA Assistance.
Loan, and Benefit Programs implements Section three of
Executive Order 12549, which requires rules for
debarment and suspension, and adopts additions to "The
Common Rule".
5. Part 3 3. Procurement Under Assistance Agreements
establishes procurement guidance.
6. Part 35. State and Local Assistance establishes
uniform administrative requirements for EPA programs
providing financial assistance to State and local agen-
cies for continuing environmental activities. It also
contains assistance provisions unique to the pesticide
programs.
7. OMB Circular A-87. Cost Principles for State and Local
Governments provides principles for determining the
allowable costs of programs administered under
agreements with the Federal government. Discussions
about cognizant agencies and indirect costs are of
special interest. Revisions to this Circular were
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proposed on October 14, 1988, but have not been
finalized.
8. OMB Circular A-102. revised. Grants and Cooperative
Agreements with state and Local Governments provides
guidance to Federal agencies on businesslike management
of grant programs and other matters not covered in "the
Common Rule". It mandates the use of Financial Status
Reports and provides some distinction among grants,
cooperative agreements and contracts.
9. OMB Circular A-110. Grants and Agreements with
Institutions of Higher Education. Hospitals, and Other
Nonprofit Organizations promulgates standards for
obtaining consistency and uniformity among Federal
agencies in the administration of grants and
agreements with the groups named. Most of the document
deals with procurement.
10. EPA Order 1000.25 requires award recipients to use
recycled paper for all reports which are prepared as a
part of the assistance agreement and delivered to the
Agency.
CHAPTER THREE
GUIDANCE DOCUMENTS
I. Consolidated Pesticide Cooperative Agreement Guidance
This guidance document (Exhibit 3-1) is issued annually by the
Office of Compliance Monitoring (OCM) and the Office of
Pesticide Programs (OPP). It is directed to EPA regional
offices and states and provides national guidance which
supplements financial assistance regulations. It covers all
pesticide activities for which financial aid will be
available, including but not limited to: 1) enforcement; 2)
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certification of pesticide applicators; 3) groundwater
program; 4) endangered species; and 5) worker protection.
THE PROJECT OFFICER 18 ADVISED TO REPLACE EXHIBIT 3-1 WITH THE
CURRENT FINAL DOCUMENT EACH YEAR.
II. Other Guidance
Policies, strategies, and guidance for programs on Indian
reservations are sometimes developed separate from other
guidance documents to states (Exhibits 3-2, 3-3, and 3-4).
Project Officers should work closely with the Indian
Coordinator in their Region.
Various directives which influence the grant process may be
received from Headquarters and regional supervisors at any
time (e.g., see Barnes memo and attachment, Exhibit 3-5) .
They should be added to this chapter.
Regions may develop and provide states with region-specific
or state-specific guidance. These documents are intended to
supplement or enhance National Guidance, not replace it.
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CHAPTER FOUR
PROJECT OFFICER TRAINING
FIFRA Project Officer training should include the following:
1. Thorough study and review of this manual, the Act, 40
CFR, new program guidance and the cooperative agreement
guidance for the specific fiscal year;
2. Attendance and participation in any formal EPA
Project Officers training program;
3. Attendance and participation in annual FIFRA Project
Officers meetings;
4. On-the-job training with other more experienced
Project Officers and Compliance Officers;
5. Personal protection and safety;
6. Training that addresses national priorities and
initiatives; and
7. Attendance and participation in any state inspector
workshops, or other training opportunities provided by
regions and states.
It is also recommended that Project Officers meet the inspector
training curriculum requirements of Agency Order 3500.1 (Exhibit
4-1) . This order establishes the basic framework for training and
development of Agency personnel who conduct compliance inspections
and field investigations. Any Project Officer assuming the lead in
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an investigation or participating in a joint inspection with the
state would be required to have met requirements of the Order. A
Project Officer may take the lead when training a new state
inspector or when the state requests that EPA take the lead.
Project Officers who only accompany state inspectors on
investigations and inspections are not subject to the Order but are
still encouraged to fulfill the requirements of the Order.
The Project Officer must become knowledgeable about pesticide
manufacturing, distribution and use in his/her states and all
aspects of federal and state pesticide programs. This includes
knowledge of crops, pests, important pesticides, agricultural
practices, institutional infrastructure, worker protection program
requirements, groundwater requirements, endangered species
requirements, state and federal registration programs, and
enforcement activities. Experience may be the best source of this
knowledge. Project Officers should make every effort to observe
and become familiar with the above activities in field situations.
Another valuable source of training on these subjects is the
state's certification training programs. Project Officers are
encouraged to obtain copies of a state's certification training
materials, study them, and take all of the category examinations.
Project Officers should attend the Certified Applicator training
programs provided in their state. This training will also
familiarize Project Officers with the state's training process and
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prepare the Project Officers for evaluating the state's Certified
Applicator program.
It is suggested that each Project Officer also complete training in
basic first aid, CPR, and defensive driving.
A general understanding of other EPA Regional programs, for
example, Resource Conservation and Recovery Act, Clean Water Act,
Clean Air Act, and the Toxic Substances Control Act, is also
desirable.
Regions may consider other kinds of training to further Project
Officer development such as the OCM Case Development Training,
classes at colleges and universities related to law enforcement,
agricultural practices, integrated pest management, etc.
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CHAPTER FIVE
GRANTS ADMINISTRATION
Each EPA Regional Office has Grants Administration personnel, or
Grant Specialists, in its Office of Policy and Management. They
serve as counterparts to the award recipients' business office and
are responsible for all business aspects associated with the
review, negotiation, award and administration of grants through
audit resolution and final close out (Exhibit 5-1).
The Project Officer is a liaison between Grants Administration and
the state agencies. He/she may not be an expert in the
administration and financial requirements of the assistance
process, but he/she must be able to identify situations which
require in-house coordination and support from Grants
Administration. As trust and rapport build between the Project
Officer and his/her state Lead Agency counterparts and as the
Project Officer's knowledge of grants administration increases,
he/she may become the primary regional voice in administering the
pesticide cooperative agreements.
The Grants Administration regulations are complex and detailed.
Project Officers should refer questions about those rules to Grant
Specialists. The consequences of not adhering to those regulations
can be serious for the state. Audits have resulted in state
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pesticide programs returning money to EPA because the regulations
were not followed.
Project Officers should develop a close working relationship with
their Grant Specialists. They must rely on the Grant Specialists
to interpret regulations. The Grant Specialists depend upon the
Project Officers' judgement concerning funding requests and other
program needs.
Grant Specialists prepare "kits" of information for distribution
to persons interested in obtaining aid from EPA. The kits should
contain all forms and instructions necessary for submitting an
application. Listed below are the forms and instructions normally
included in grants application kits and usually available at the
Regional grants administration offices.
I. Application Kit For state and Local Governments
1. General instructions
2. Application for Federal assistance (Standard form 424)
3. Key people list
4. Quality assurance plan
5. Applicant assurance of compliance with 40 C.F.R.Part 7
6. Recipient certification of drug-free work place
7. MBE/WBE fair share objective
8. Information regarding the anti-lobbying act
9. Recipient certification anti-lobbying act
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10. Disclosure of lobbying activities (Standard form 111)
11. Certification regarding debarment, suspension, and
other responsibility matters (EPA form 5700-49)
12. 40 C.F.R. Part 7
13. 40 C.F.R. Part 31
14. 40 C.F.R. Part 32
15. 40 C.F.R. Part 35
16. OMB Circular A-87
17. OMB government-wide implementation of drug-free work
place act of 1988
II. Application Kit For Institutes of Higher Education and
Nonprofit Organizations. Contents are essentially the same
as above, except the procurement regulations differ. The
following additional documents are usually included in this
kit.
1. General instructions
2. 40 C.F.R. Part 30
3. 40 C.F.R. Part 33
4. OMB Circular A-110
5. EPA form 5700-48
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CHAPTER SIX
PREPARING A GRANT OR COOPERATIVE AGREEMENT
Negotiated grants or cooperative agreements between EPA and a state
usually result from the need to expand a program or implement a new
one. Either agency may initiate negotiations. The project's
proposal must address environmental benefits. A draft workplan and
budget for the project must be developed and both parties engage in
informal discussions held prior to formal submission of the
proposal. Both parties' statutory authorities and limitations that
might affect completion of the proposed workplan must be addressed.
The following topics must be addressed:
I. Authority to Receive Award
The state must have written authority to enter into
cooperative agreements with the Federal government. If the
grant is for the certification of pesticide applicators, the
Governor must designate a State Lead Agency responsible for
developing and implementing a state plan.
II. State vs. Federal Fiscal Years
The state fiscal year is a twelve month budget period set
by the state. Common state fiscal years are January -
December, July - June, and October - September. The Federal
fiscal year has been designated by Congress to be from
October - September.
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EPA prefers that grants and agreements conform to the
Federal fiscal year. That timetable simplifies funding and
reporting. However, awards may be made to correlate to a
differing state fiscal year.
III. Funding
The following is a schematic of the funding process:
EPA is limited to 50 percent funding of programs for the
certification and training of pesticide applicators, states
must provide the other 50 percent of the total program
costs. For example, if EPA provides $50,000, the state must
provide $50,000 for a total project cost of $100,000.
EPA funding of enforcement programs is not limited by
statute but has been set at 85 percent of program costs.
Consolidated agreements which include funding for program
initiatives such as groundwater, worker protection, and
endangered species also utilize the 85/15 ratio. For
example, if EPA provides $100,000, the state must provide
$17,647 for a total project cost of $117,647.
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6
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The state share, or match, is often provided as "in kind
contribution" rather than being expressed as cash. This
essentially means that the state is using the work of their
existing staff as match.
IV. Method of Payment
Each assistance agreement specifies a method of payment.
Recipients are paid by advance, letter of credit, or
reimbursement. Appropriate forms and instructions are sent
with the assistance agreement (Exhibits 6-1 and 6-2).
V. Record Keeping
Recipients must comply with 40 C.F.R. Part 31 concerning
accounting records. In general, they must expend and
account for funds from EPA in accordance with state laws and
procedures that control their own funds. Program officials
are encouraged to develop personnel time cards and daily
activity records which are easy to use and distinguish
between various pesticide program activities (e.g.,
certification, enforcement, and program initiatives).
When two grants are used to share the cost of a piece of
equipment, it is mandatory to keep accurate records on the
use of the equipment under both programs. It is not
recommended that equipment be purchased under two grants if
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the matching funds differ (e.g., 15 percent vs. 50 percent)
because of the complexity of the record keeping.
The grantee must file an end-of-year Financial Status
Report (Exhibit 6-3) to report the status of program funds.
If actual expenditures of grant monies differed from
projections in the grant application, the Financial Status
Report should be accompanied by an amended budget page and
appropriate justification. Object cost categories,. for
example, personnel, fringe benefits, travel, equipment,
supplies, contractual, construction, other, may vary up to
10 percent without requiring EPA approval and grant
amendments. States are encouraged to submit their Financial
Status Reports as soon as possible to the Regions but no
later than 90 days after the end of the project period.
VI. Audits
Grant recipients must arrange for their own "single audits"
to be completed annually. Those audits will address
financial statements, internal controls, and whether money
was spent in accordance with the award agreements. A copy
of the audit report with any misappropriation or
irregularities will be submitted to EPA. Costs for
performing the audit may be charged to the grant.
VII. Application
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The appropriate application kit (see Chapter 5) should be
provided to the prospective grantee. The Project Officer
should offer to assist in completion of the necessary forms
and provide a copy of the current Consolidated Pesticide
Cooperative Agreement Guidance (see Chapter 3).
The agency preparing the application should submit a draft
workplan and budget to the Project Officer 90 days before
the target date for the grant to start. That allows 30 days
for negotiated review, comment, and preparation of a final
package for submittal to the Regional Office. The workplan
should address the requirements of the current Consolidated
Pesticide Cooperative Agreement Guidance. The Cooperative
Agreement Guidance includes a checklist which the Project
Officer can use to verify that all the information required
is present. The Project Officer needs to assure that the
technical quality of the proposed program meets national and
regional requirements.
The completed application package must be submitted to the
Regional Administrator 60 days before the award date.
Copies should be distributed for comment to:
The Project Officer,
Grants Administration,
Regional Counsel,
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Office of Pesticides Programs (Field Operations
Division),
Office of Compliance Monitoring,
or in accordance with established Regional procedures. The
Section Chief should set time limits for receipt of
comments.
The Project Officer will consolidate comments and request
any necessary changes. It is preferred that changes be made
via amended pages to the application package rather than by
conditions to the award. Conditions to the award are placed
by Grants Administration, while amendments to the award are
under the control of pesticide program personnel. The
Project Officer can go to Grants Administration and ask for
specific conditions to be placed on awards; however, this is
usually done only when negotiations with the state have
failed.
When pesticide program personnel are satisfied with the
completed application, they issue a funding request to
Grants Administration. The request may include necessary
conditions to be placed on the award. As a rule specific
terms of any conditions are explained in a cover memo
attached to the funding request. Grants Administration
prepares an EPA Assistance Agreement/Amendment form for
signature by the Regional Administrator. The
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Agreement/Amendment is then forwarded to the state for
signature. Once the award has been signed by the Regional
Administrator, the state cannot make any further changes to
that particular package. From that point, changes have to
be made through grant amendments.
Copies of the signed award form, EPA Form 5700-20A
(Exhibit 6-4), should be distributed to the State Agency
Director, State Division Director, State Program Chief, EPA
Section Chief and Project Officer.
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CHAPTER SEVEN
DAY-TO-DAY ACTIVITIES
I. Certification Grants - For established certification
programs the Project Officer should participate as follows:
A. Meeting Participation
Project Officers should participate in joint State Lead
Agency and Cooperative Extension Service planning
meetings for certification and recertification training.
They also may assist as speakers in applicator training
programs.
B. Monitoring Training Programs
Project Officers must annually monitor pesticide
applicator training programs for certification and
recertification. Both private and commercial applicator
programs should be evaluated, including Cooperative
Extension Service and industry sponsored programs.
Evaluation forms similar to Exhibits 7-1 and 7-2 should
be used to document reviews. Follow-up letters to the
State Lead Agency, with copies to the Cooperative
Extension Service, should point out strengths and
weaknesses of the programs monitored.
C. Reviewing and Approving Exams
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Each year, the Project Officer should evaluate about one
third of the core and category examinations used by the
State Lead Agency for certifying applicators. A written
evaluation method is suggested (Exhibit 7-3) and should
assure that all competency standards of 40 CFR Part 171
and the state's Cooperative Agreement are addressed.
When examinations do not meet these standards, the
Project Officer should point out discrepancies to the
State Lead Agency and negotiate acceptable revisions.
Each examination which has been reviewed and approved by
the Project Officer should be identified to verify that
it has been approved and that only approved versions are
in use.
The Project Officer is not expected to be an expert in
the technical aspects of all categories of pesticide
application. In many cases, the role of the Project
Officer will be to consult with his/her colleagues and
coordinate the expertise available in the Region,
Headquarters, or through other agencies.
II. Enforcement Cooperative Agreements
Project Officers take an active role in management of these
agreements. The Project Officer may not necessarily be
expert in every aspect of enforcement programs. The
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following subjects involve Project Officers and/or other
specialists to assure adequate oversight:
A. Quality Assurance Plans.
EPA Order 5360.1 (Exhibit 7-4) establishes policy and
program requirements for quality assurance of
environmentally related measurements performed by or for
EPA. That Order is supported by a Quality Assurance (QA)
rule at 40 C.F.R. Part 31.45. Guidance for development of QA
program and project plans is available from regional Quality
Assurance/Quality Control (QA/QC) personnel. Quality
assurance ensures data or results of sufficient precision
and accuracy to meet the objectives of the program. See
"Definitions" for distinguishing between the two plans.
1. Quality Assurance Program Plan (QAPP). This is a formal
documentation of the recipient's commitment to QA and
should be formally approved for implementation by the
granting authority; usually, the Regional Administrator.
*
Once approved, this document is only updated when major
changes in management policies, objectives, principles,
and procedures occur. A general guidance for evaluating
a Quality Assurance Program Plan is shown as Exhibit
7-5.
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2. Quality Assurance Project Plan (QAPlP). This plan is
less formal than the Program plan described above. It
is approved by regional QA/QC personnel. The Project
Plan is an organization's written procedures which
delineate how it produces quality data for a specific
project or measurement method, for example sampling
methods for pesticide residues in soil. An organization
has only one program plan but could have multiple
project plans. Project plans should be reviewed
annually by the state and Project Officer and updated as
necessary. Project plans emphasize quality control and
standard operating procedures which allow line workers
to achieve and maintain a desired level of quality
established by management. A general guidance for
evaluating a Quality Assurance Project Plan is shown as
Exhibit 7-6.
B. Enforcement Response Policy
This written document, also called a Level of Action Policy,
is required for each applicant conducting enforcement
activities under a FIFRA agreement. Minimum recommendations
are stated in the Consolidated Pesticide Cooperative
Agreement Guidance. Project Officers should work with the
State Lead Agency and provide all necessary assistance in
development of the policy.
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I
/rSiigSSMS.i;
urn !t iiuiferffEStt iiitEttE N 15=
List of violations
encountered
to be
Mechanism for determining I
of gravity for each type of
violation
e v e I
List of enforcement remedies
available for each type and
level of violation (include
both state/tribal and federal
action
Escalation
second and
violations
of penalties for
subsequent
Consideration of potent
pol lution prevention
enforcement penal
in settlement of
cases
i a I
ties and /or
enforcement
Timetable which the state/
tribe will
the timely
comp I a i nts
Issuance of e
actions when
detected
follow to insure
investigation of
and the timely
nforcement
violations are
-------
The purposes of the Enforcement Response Policy are to
provide a mechanism for evaluating the gravity of each
violation encountered and responding in a predictable,
uniform, and timely manner with an appropriate enforcement
action.
C. Oversight Inspections
Project Officers should be trained in the proper techniques
for conducting all of the types of inspections listed on EPA
form 5700-33H (see Chapter 8) . Only inspectors with that
training can properly oversee state inspections. The
Project Officer should supply his/her own safety equipment
and supplies when accompanying state inspectors. Trip
reports should be completed to document all oversight
inspections.
Reasons for oversight inspections:
1. Training State Inspectors. The Project Officer will
often take the lead when training a new state inspector
or when training an experienced state inspector to do a
new type inspection (e.g., export). In this case the
Project Officer is the teacher and must set a good
example and adhere to directives in the Pesticides
Inspection Manual.
2. Accompany State Inspectors. The Project Officer should
periodically accompany each state inspector on each type
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of routine inspection. The purposes are to evaluate the
inspector's performance and to offer constructive
criticism. Even veteran state inspectors can benefit
from this association with the Project Officer.
In addition to evaluations, joint inspections provide
other benefits. Complicated or extensive investigations
are sometimes best accomplished through joint
inspections in which Project Officers take a more active
role. This also helps the Project Officer to maintain
proficiency as well as develop and maintain rapport and
credibility with state personnel.
D. FIFRA Section 26 and 27 Referrals.
The Consolidated Pesticide Cooperative Agreement Guidance
provides a good discussion concerning referral and tracking
of significant allegations of pesticide use violations.
However, it does not describe a mechanism for documenting,
evaluating, referring, and tracking complaints. It is up to
regional discretion how that should be done. An example of
an effective system follows:
I. Tips and complaints called into the EPA Regional
Office are documented and evaluated on printed
forms (Exhibit 7-7) ;
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2. Those scoring less than 100 points are telephoned
to the. state solely for informational purposes.
Copies of the completed forms are sent to the
state and kept by the appropriate Project Officer.
3. Those scoring 100 points or more (considered
"significant" by both the state and EPA) are given
a referral number, e.g., 91-MO10, and telephoned to
the state. The completed forms and a letter from
the Branch Chief (Exhibit 7-8) are sent by
certified mail to the state. Copies of those
documents are kept by the Project Officer.
4. The Project Officer completes a FIFRA and TSCA
Tracking System tracking form (Exhibit 7-9) so the
referral is logged into the Regional computer
system. A copy is retained by the Project Officer
and used to keep FIFRA and TSCA Tracking System
updated until the case is closed.
5. The state contacts the Project Officer when an
enforcement action is proposed and obtains
concurrence relative to the remedies available to
the state under its enforcement response policy
and pesticide control legislation.
Please refer to Chapter 2, page 2-2, for information
about referrals and the Interpretive Rule.
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E. Tracking System.
The state lead agency needs to utilize a management system
for tracking inspections, violations found, and enforcement
actions. The Interpretive Rule, which covers processing
complaints, requires "a system for allowing a rapid
determination of [a] case". The Cooperative Agreement
Guidance has adopted this requirement to encompass all
projected inspections included in the workplan. Project
Officers should review the state's system to assure it meets
the requirements and is workable.
F. Other Ongoing Activities
The Project Officer serves as a support person to the states
in many of their activities and is often their initial
contact with EPA. The following are some of the varied
activities in which Project Officers may be involved:
1. Obtaining Federal Credentials. Some state inspectors
need Federal credentials (Exhibit 7-10) to conduct
certain inspections, such as, Federal facilities.
Project Officers can assist in providing those by
getting forms from OCM, obtaining Regional Administrator
signatures, and assuring the filing of credential
acknowledgement statements (Exhibit 7-11). It is also
their responsibility to collect those credentials when
the state no longer needs them.
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Date of inspection
Reason for inspection
(routine. complaint)
Name of person or firm
inspected
Violation found
Summary of past compliance
history (or reference to an
appropriate case file number)
Enforcement action taken
Date of enforcement actions
Disposition of action
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2. Priority Setting and Targeting Inspections. The
cooperative Agreement Guidance requires states to
develop priority setting mechanisms. Inspections are
usually targeted according to these mechanisms. In some
cases, Project Officers may request states to perform
inspections that do not fall within the priority setting
mechanisms, such as requests for investigations from
other regions or headquarters. Project Officers may
also provide other inspection targets to states
including producer establishment inspections from
regional neutral based schemes, exports, and imports.
3. Meeting Participation. Project Officers are encouraged
to participate in state inspector staff meetings.
Attendance may also be warranted at meetings with
industry, growers, environmental groups, state and
federal government groups, legislative committees and
others. The level of participation may vary from
strictly observing the meeting to being an active
participant.
4. Laboratory Oversight. Laboratories conducting analyses
of state pesticide samples should be visited by Project
Officers at least during midyear or end-of-year
evaluations to assure that they are following their QA
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plans. At other times, Project Officers may provide
guidance concerning training, analysis problems, etc.
The Project Officer can refer to the regional QA
officer, NEIC, grants administration, or the State Lead
Agency for technical assistance.
5. Case Review. In addition to the cases reviewed at the
State Lead Agency, Project Officers should review cases
referred to the Regional office for action to assure
they are complete, properly assembled and of sufficient
quality to document violations, as specified in the
negotiated workplan. Forms such as those suggested in
Chapter 8, Exhibit 8-2, or the equivalent, may be used
by the Project Officer to document the completeness and
quality of the case file. The forms can be compiled for
use in the evaluation process. Cases may consist of
producer establishment inspections, exports, imports,
EPA requests, and some state initiated inspections.
Project Officers may also be asked to assist the State
Lead Agency in reviewing complicated or sensitive cases.
6. Negotiating changes. Unexpected changes in projected
outputs or program directions may require negotiated
amendments to the cooperative agreement. The Project
Officer is expected to coordinate those changes with the
State Lead Agency and Grants Administration. Some
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shortfalls may be explained rather than changing commit-
ments. For example, if the State Lead Agency didn't
meet their projected outputs for follow-up
investigations but conducted extra PEIs in response to
OCM strategies or Regional requests, the shortfall would
be acceptable. If the state lost employees early in the
year .and could not rehire, renegotiation would be
reasonable, but if employees left late in the year, an
explanation might suffice.
7. Liaison. Project Officers may play an important
communication role in establishing and maintaining
mutual understanding between the State Lead Agency,
other state agencies, and Federal agencies or divisions
thereof.
8. Regulatory and Policy Interpretations. State employees
frequently ask Project Officers to interpret EPA
regulations and policies. When those interpretations
are not readily available, Project Officers should refer
the question to their supervisor for interpretation,
attaching any available background information.
9. Obtaining Labels. The Project Officer may assist the
state in obtaining pesticide product labels from EPA
Headquarters.
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10. Section 18 and 24fc) Applications. Project Officers
should be aware of emergency exemptions and special
local need registrations in the states they oversee.
They may also participate in the state's and EPA's
decisions as to the validity of requests for those
exemptions and registrations.
11. Compliance Strategies. Periodically, throughout the
year OCM distributes compliance strategies to the
regions. The Project Officer should work with the state
to accommodate these strategies into the overall work
load. This may require renegotiation of commitments and
an amendment to an agreement as described in 6 above.
12. State Training. Project Officers should assess the
states training needs, including that training requested
by the state,' e.g., annual inspector training,
interviewing, photography, and report writing.
III. Pesticide Programs Cooperative Agreements
The Consolidated Pesticide Cooperative Agreement Guidance
makes a clear distinction among pesticide activities for
which financial aid is available. Besides certification of
applicators and all enforcement activities, there are
program activities. They are also managed by Project
Officers who may be different or the same person(s)
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overseeing the other pesticide activities. Concurrent
agreements may be granted to other state agencies to conduct
activities that will support the State Lead Agency's
program. The State Lead Agency must be included when
negotiating those other agreements and memoranda of
understanding between the agencies are recommended. Current
programs are as follows:
A. Groundwater
The groundwater issue involves many environmental agencies
and persons. Pesticides in groundwater is only a portion of
the issue. Since State Lead Agencies for pesticides may
differ from state agencies designated as "Leads" on overall
water quality, the first hurdle to be accomplished may be
the development of a coordinated program plan. That will
set the stage for constructing an implementation plan
followed by generic and chemical-specific State Management
plans in accordance with EPA Strategies and guidance
documents. Outreach activities must be encouraged.
B. Endangered Species
Project Officers should encourage SLAs to enroll in pilot
programs or develop state initiated plans for protecting
threatened and endangered species. Activities should also
include coordination among various state and Federal
agencies and outreach to pesticide users and the public.
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Each State Lead Agency should take an active role in
reviewing habitat maps.
C. Worker Protection
To better distinguish between worker protection program and
enforcement activities, the Project Officer may assist the
state by outlining those activities (Exhibit 7-12). All of
the major activities are listed. The State Lead Agency
should be encouraged to acquaint themselves with state OSHA
or Labor Department personnel and advocacy groups.
IV. Other
Project Officers may also be involved in the management of
special projects and contracts, for example, endangered
species pilot programs, development of state disinfectant
analytical capabilities, inspector sampling manuals, and
state container disposal efforts. Contract Officer training
for contracts administration is necessary but is beyond the
scope of this manual.
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CHAPTER EIGHT
MIDYEAR AND END-OF-YEAR EVALUATIONS
Midyear and end-of-year evaluations are required by the
Consolidated Pesticide Cooperative Agreement Guidance and should be
acknowledged in the cooperative agreement or grant. Headquarter's
and regional protocols, if available, provide guidance for the
evaluation of the state and for the state to evaluate EPA's
performance. It is important to note that midyear evaluations
allow time for correcting problems and redirecting activities.
Evaluations are necessary for the following reasons:
1. Assure that state pesticide programs are following the
intent of FIFRA.
2. Assure that agreement projections- and conditions are being
met.
3. Identify and correct problems in the programs.
4. Collect data for the Qualitative Assessment Report.
I. Planning the Evaluations.
The target dates for the evaluations are within 45 days
after the end of the second and fourth quarters of the award
period. Therefore, the Project Officer should contact the
grantee about one or two weeks before the end of each of
those quarters and negotiate the actual dates. All EPA
personnel to be involved in the on-site review should be
identified. The Cooperative Extension Service and the state
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or contract laboratory may also be notified depending upon
regional guidance and practices. The Project Officer should
review previous evaluation reports to identify prior
strengths and weaknesses.
II. Conducting the Review.
Ideally, the grantee will reserve a meeting room or other
area in which the review team can work. Participants from
both agencies should introduce themselves and all should be
made aware of the applicable protocols (national protocols
for conducting midyear and end-of-year reviews are attached
to the annual Consolidated Pesticide Cooperative Agreement
Guidance). This initial meeting is a good time to identify
which state person will supply information on topics in the
protocol. It is also a good time to discuss previously
identified weaknesses and recommendations and steps taken to
correct problems. Program management, legislative
activities and program needs should also be discussed while
the maximum number of participants are present.
Participants should then separate according to the
activities to be reviewed.
A. Certification
1. Quantitative. Project Officers must review the
certification and accomplishments reported on EPA
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form 5700-33H (Exhibit 8-1). (NOTE: Certification
grants which are not set up on the FFY also require
completion of the last two lines of the form as of
September 30, even if it is not an end-of-year
report.)
Project Officers should also note the examinations
revised and reviewed; discuss the meetings between
the State Lead Agency and Cooperative Extension
Services; record when and where examinations were
offered; and report on the number of persons
attending certification and recertification
programs.
Qualitative. The State Lead Agency's methods for
informing the public about their program is
important and should be discussed. Training
programs must be discussed, training materials
which are new and unique should be recorded, and
any training material needs addressed. Monitoring
of training programs should be discussed and
evaluation reports reviewed (see Chapter 7,
Exhibits 7-1, 7-2 and 7-3). If the state has
written requirements for training programs, they
should be reviewed (if not, they should be
developed). The quality and contents of
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examinations should be discussed if that hasn't
been ongoing or if problems were noted. Any
amendments necessary to the State Plan should be
planned for and discussed.
B. Enforcement
1. Quantitative. Previous quarterly reports should be
combined to determine the current status of
accomplishments compared to projections.
Shortfalls must be addressed and, if identified at
midyear, plans must be made to rectify them or
amend the agreement.
2. Qualitative. This is the hardest and most time
consuming part of the evaluations because
inspection reports and case jackets must be
reviewed. Reviews conducted through the year will
reduce the time required for evaluations as
discussed in Chapter 7. Reports should be selected
and reviewed in accordance with directive protocols
and must include files from each category of
inspectional activity. Forms for recording and
summarizing comments on each case reviewed are
recommended (Exhibit 8-2). The Project Officer
should ensure that the state's enforcement actions
are consistent with it's Enforcement Response
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Policy. states must be encouraged to produce high
quality inspection reports with complete
documentation that will support appropriate
enforcement actions. The Project Officer should
determine whether the state performed functions in
relation to their own state priorities. The quality
of other parts of the enforcement program
identified in evaluation protocols should also be
reviewed and reported.
C. Program Activities.
In reviewing program activities such as pesticides in
groundwater, endangered species protection, and worker
protection, Project Officers should follow national and
regional protocols. They should also verify that
milestones established during the negotiation of the
cooperative agreement or grant are being met, or
document the reasons why the state has not been able to
meet the previous commitments. The program review area
is one in which individuals with more program specific
expertise from the regional office may need to become
involved.
D. Closing Discussions.
A closing discussion among review participants should be
held upon completion of the evaluation. Findings and
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recommendations will be discussed, including any
unresolved problems identified in prior evaluations.
Reports and cases with special concerns should be
brought forward. Performance by both EPA and the state
should be candidly addressed. An adequate closing
discussion will prevent surprise disclosures in the
evaluation report.
III. Reporting the Evaluation
A written evaluation report must be submitted to the state
consistent with the Consolidated Pesticide Cooperative
Agreement Guidance. It should be organized to follow an
outline of the guidance protocol(s). All information
requested by Headquarters for national summaries should be
included. A summary sheet pointing out the grantees'
strengths, weaknesses, and accomplishments as well as the
Project Officer's recommendations is suggested.
IV. Problem Resolution
Problems within a pesticide program may be disruptive to
cooperation between the state and EPA. Minor problems may
be easily resolved by the Project Officer; perhaps in such
a way as to enhance the program. Major problems, on the
other hand, if unresolved, may jeopardize the program. As
a first step, the Project Officer may want to consult with
more experienced Project Officers for advice. It is
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important for the Project Officer to maintain complete and
accurate files of all phases of the project. In the
instance of noncompliance it is important that the Project
Officer keep all notes, memos, and forms, related to
noncompliance issues in the file from the time noncompliance
is identified through resolution.
When the Project Officer perceives a major program problem
that he/she can't resolve, it should be elevated to the
program management. Examples of major program problems
include not taking appropriate or timely enforcement actions
and inappropriate use of funds. Management will decide if
the issue should be further elevated. The problem should be
discussed openly to determine its effect on the total
program. If the problem cannot be resolved, various
remedies are available to the region. They include:
A. Placing conditions on the agreement
B. Withholding funds
C. Canceling agreements
D. Withdrawing primacy
Single audits may disclose accounting problems that will be
reported to Regional Grants Administration. Grant
Specialists work directly with the award recipients to
correct those problems, but Project Officers need to be kept
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informed of those actions. A Disputes Decision Official
will issue a determination letter sustaining the audit
report and requesting reimbursement for unallowable costs or
overpayment. When problems are detected as a result of
audits it is important for the Project Officer to keep all
notes, memos, and forms related to noncompliance issues in
the file from the time noncompliance is identified through
resolution.
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CHAPTER NINE
HOW TO CONTINUE FROM YEAR TO YEAR
Certification grants and continuing environmental programs, e.g.,
enforcement agreements and repetitive projects, may be renegotiated
annually for many years. The Project Officer has a major
responsibility in the continual growth and development of those
enterprises. Planning usually includes at least three fiscal
years: the year just completed, the current year, and the next
year. It is common to have uncompleted activities and unused money
carried over to the next year. Both long and short term goals must
be established.
The following activities will assure maintenance of continuing
programs and projects:
I. Prenegotiation Strategy
• The midyear review is a good time to prepare a
^renegotiation strategy for the next year's activities. The
Project Officer should develop a brief status of each of
his/her grants and agreements that should be followed by a
listing of items and goals to be planned for the next year.
The listing should include new requirements called for in
the most recent Consolidated Pesticide Cooperative Agreement
Guidance, regional initiatives, special requests, pending
activities, state needs, and so on.
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The prenegotiation strategy can be a written document
reviewed by program managers as appropriate. It forms the
basis for negotiations with the State Lead Agency.
II. Negotiating with the State Lead Agency
Project Officers should begin negotiating the next year's
agreements with the State Lead Agency about one month after
the midyear review. Initial discussions may be by telephone
and should concern the targets identified in the
prenegotiation strategy. The state should be reminded to
submit their draft applications to the Project Officer 90
days prior to the procurement date of the award; April 1st
for awards beginning July 1st, and July 1st for awards
beginning October 1st. This requirement allows time for the
Project Officer to review the draft and provide written
comments back to the state, and for the state to amend the
draft and submit the application 60 days prior to the
procurement date. Assistance in completing the applications
should also be offered.
During the preparation of the cooperative agreement the
Project Officer may need to negotiate specific items with
the state, including inspection target projections and
timelines for adjustments to the program, e.g., amending the
Quality Assurance Plan, the State Plan for Certified
Applicators, needed regulation changes.
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During the project period, Project Officers while addressing
major and minor problems normally negotiate adjustments or
modifications to procedures and workplans in the cooperative
agreement.
III. Amending State Plans
State Plans for Certification of Commercial and Private
Applicators require annual review by Project Officers to
assure they reflect current state conditions. Changes in
programs may necessitate working with the state to amend the
State Plan. EPA policy and procedural details for Federal
Register publication of amendments to State Plans were set
by EPA Headquarters in a memorandum dated June 16, 1988
(Exhibit 9-1). It is the Project Officer's responsibility
to negotiate changes in State Plans, assure submittal of
amended plans, and follow the above policy and procedures.
IV. Working with the Regional SFIREG
The State FIFRA Issues Research and Evaluation Group
(SFIREG) (Exhibit 9-2) consists of state representatives
from each EPA region who identify, analyze and recommend
courses of action to EPA concerning various pesticide
concerns. The Project Officer should know the SFIREG member
for his/her region and participate in pre-SFIREG meetings
within the region. He/she should encourage states to be
actively involved in those meetings and exchange information
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about state pesticide issues. Regions participate at
national SFIREG meetings. Active participation at the
regional level by Project Officer staff will strengthen the
process. It will allow the Project Officer to be informed
of' the Regional SFIREG position and inform headquarters of
the proposed action item.
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GLOSSARY
The following terms are commonly used by Grants Specialists and
Project Officers. A mutual understanding of what the terms mean is
necessary for proper dialogue. Their definitions are scattered
through the literature so we have made this compilation.
Advance. The method by which a Federal agency makes payments to
grantees and subgrantees, provided they maintain or demonstrate the
willingness and ability to maintain procedures to minimize the time
elapsing between the transfer of the funds and their disbursement
by the grantee or subgrantee.
Applicant. Any entity that files an application or unsolicited
proposal for EPA financial assistance.
Assistance agreement. The legal instrument EPA uses to transfer
money, property, services, or anything of value to a recipient to
accomplish a public purpose.
Award. Federal funds made available for obligation and expenditure
by a recipient. A grant is considered awarded when an EPA award
official signs an assistance agreement.
Budget period. The length of time EPA specifies in an assistance
agreement during which the recipient may expend or obligate Federal
funds.
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Carryover. The amount of grantee unobligated balances available
for subsequent grant periods at the discretion of the region.
Cognizant agency. The federal agency which, on behalf of all
federal agencies, is responsible for reviewing and approving cost
allocation plans or indirect cost proposals submitted by applicants
for cooperative agreements or grants, (i.e., USDA, HHS,etc.)
Continuation award. An assistance agreement after the initial
award, for a project which has more than one budget period in its
approved project period.
Continuing environmental program. EPA supported environmental
program which will not be completed during a definable project
period (such as, an enforcement agreement). Recipients of
continuation awards may be reimbursed for allowable costs incurred
between the beginning of the budget period and the date of award
and may receive funding under a continuing budget resolution
enacted by Congress.
Contract. A mutually binding legal relationship obligating
the seller to furnish supplies or services and the buyer to pay for
them. Contracts are used when the principle purpose is acquisition
of property or services for the direct benefit or use of the
federal government.
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Contractor. Any party to whom a recipient awards a subagreement.
Cooperative agreement. An assistance agreement in which
substantial EPA involvement is anticipated during the performance
of the project (does not include fellowships) .
Cost sharing. The portion of allowable project costs that a
recipient contributes toward completing its project (i.e., non-
federal share, matching share).
Debarment and suspension. Actions taken by federal officials to
permanently or temporarily exclude a person from federal financial
and nonfinancial assistance and benefits under federal programs and
activities.
Discretionary funds. Any funds made available, or that become
available to regional offices for which the region has discretion
on expenditure. This discretion is usually limited to a specific
program such as enforcement or certification.
Disputes Decision Official. The EPA individual designated by the
Award Official to resolve disputes concerning an assistance
agreement.
Drug-free work place. A site for the performance of work
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done in connection with a specific grant at which employees of the
grantee are prohibited from engaging in the unlawful manufacture,
distribution, dispensing, possession, or use of a controlled
substance.
Encumbered. Refers to expenses during a given period that will
require payment by the grantee during the same or a future period.
Enforcement Response Policy. A formal document used by an agency
for consistent administration in determining what level of action
to bring against persons that violate pesticide laws.
Equipment. Tangible, nonexpendable, personal property having a
useful life of more than one year and an acquisition cost of $5,000
or more per unit. A grantee may use its own definition of
equipment provided that such definition would at least include all
equipment defined above.
Fellowship. A lump sum award for which the recipient does not have
to account.
Financial status report. A report on Standard Form 269 or 269A
which grantees must complete to report the status of funds for all
FIFRA grants and cooperative agreements.
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Fringe benefits. Allowances and services provided by employers to
employees as compensation in addition to regular salaries and
wages, (e.g., costs of leave, employee insurance, pensions and
unemployment benefit plans.)
Grant or grant agreement. An assistance agreement that does not
substantially involve EPA in the project and where the recipient
has the authority and capability to complete all elements of the
program (does not include fellowships).
Grantee. A person who applies for or receives a grant directly
from a federal agency (except another federal agency).
Indian tribe. Any Indian tribe, band, nation, or other organized
group or community, including any Alaskan native village or
regional or village corporation that is recognized by the United
States as eligible for the special programs and services provided
by the United States to Indians because of their status as Indians.
Indirect costs. Costs that have been incurred for common or joint
purposes benefiting more than one cost objective and which cannot
be readily identified with a particular final cost objective
without effort disproportionate to the results achieved. Indirect
costs are most often set by a cognizant agency as a "rate" and
expressed as a percentage, which is the ratio of the indirect costs
to a direct cost base.
52
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In-kind contribution. The value of a noncash contribution to meet
a recipient's cost sharing requirements. An in kind contribution
may consist of charges for real property and equipment or the value
of goods and services directly benefiting the EPA funded project.
Interaaencv agreement. A legal agreement between federal agencies
where goods or services are provided.
Letter of credit. A formal document prepared by EPA and submitted
to the Department of Treasury for transmittal to a Federal Reserve
Bank or branch which services a commercial bank to which a grant
recipient can execute payment vouchers to meet its immediate cash
needs.
Matching funds. See "Cost sharing".
Memorandum of understanding. A written document signed by
representatives of two or more agencies which stipulates activities
for which each agency will be responsible in a cooperative
endeavor.
Obligated. By EPA, see "Award"; by recipient, see "Encumbered".
Outlays. Expenditures, or charges made to a project or
program.
53
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Oversight. A Project Officer's careful monitoring of
activities performed by recipients of assistance awards.
Pass through funds. Financial assistance which State Lead
Agencies, as EPA grant recipients, award as subgrants to other
state agencies, or to local governments or Indian tribes.
Prior approval. Documentation evidencing consent prior to
incurring specific costs.
Project. The activities or tasks EPA identifies in the assistance
agreement.
Project costs. All costs the recipient incurs in carrying out
the project. EPA considers all allowable project costs to include
the Federal share.
Project Officer. The EPA official designated in the assistance
agreement as EPA's program contact with the recipient; Project
Officers are responsible for monitoring the project.
Project period. The length of time EPA specifies in the assistance
agreement for completion of all project work. It may be
composed of more than one budget period.
54
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Quality Assurance Program Plan. A formal document which describes
an orderly assembly of management policies, objectives, principles,
organization responsibilities, and procedures by which an agency or
laboratory specifies how it intends to produce data of documented
quality and provide for the preparation of Quality Assurance
Project Plans and standard operating procedures.
Quality Assurance Project Plan. An organization's written
procedures which delineate how it produces quality data for a
specific project or measurement method.
Recipient. Any entity which has been awarded and accepted an EPA
assistance agreement.
Reimbursement. EPA's method of paying a recipient for costs that
have been incurred and that are currently and legally obligated to
be paid.
Single audit. A nonfederal audit to be obtained annually by
grantees and subgrantees in accordance with the Single Audit Act of
1984 (31 U.S.C. 75017) and federal agency implementing regulations.
Standard operating procedure. A document which describes in detail
an operation, analysis, or action which is commonly accepted
as the preferred method for performing certain routine or
repetitive tasks.
55
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State. Any of the several states of the United States, the
District of Columbia, the Commonwealth of Puerto Rico, the Virgin
Islands, Guam, the Trust Territory of the Pacific Islands, American
Samoa, and federally recognized Indian tribes.
State Lead Agency. The state agency designated by the governor as
responsible for administering the State Plan for certification of
commercial and private applicators of restricted use pesticides.
This is generally the agency with primary responsibility for
implementing the pesticide program in the state.
State Plan. As used by FIFRA Project Officers, a written plan for
the certification of applicators of restricted use pesticides,
submitted to EPA by a state governor.
Subagreement. A written agreement between an EPA recipient
and another party (other than another public agency) and any lower
tier agreement for services, supplies, or construction necessary to
complete the project. Subagreements include contracts and
subcontracts for personal and professional services, agreements
with consultants, and purchase orders.
Subarant. An award of financial assistance in the form of money,
or property in lieu of money, made under a grant by a grantee to an
eligible subgrantee.
56
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Suborantee. The government or other legal entity to which a
subgrant is awarded and which is accountable to the grantee for the
use of the funds provided.
Supplies. All tangible personal property other than equipment, as
defined above.
Work program or plan. A written description of work and outputs to
be accomplished under an assistance agreement. Schedules for
accomplishing those projections are part of an acceptable program
or plan.
57
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58
-------
Office of Compliance Monitoring
The Office of Compliance Monitoring (OCM) directs and
coordinates national compliance monitoring activities under the
Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), the
Toxic Substances Control Act (TSCA), the Emergency Planning and
Community Right-to-Know Act (EPCRA), the Asbestos Hazard Emergency
Response Act (AHERA), and the Organotin Antifouling Paint Control
Act (OAPCA). The Office provides compliance overview and program
policy direction to the regions and states, establishes national
compliance priorities, develops enforcement response policies and
national inspection/guidance documents, offers technical support
for litigation activity, concurs on enforcement actions, maintains
liaison with the National Enforcement Investigations Center (NEIC),
collects/analyzes national enforcement data for the aforementioned
statutes, develops annual fiscal budgets for the national programs,
and manages fiscal and personnel resources for the Headquarters
programs.
OCM coordinates with the Office of General Counsel (OGC) and
the Office of Enforcement (OE) in an attorney-client relationship.
The Office also coordinates with the Office of Pesticide Programs
(OPP) in the implementation of pesticide regulatory and compliance
programs under FIFRA, and with the Office of Toxic Substances (OTS)
in the implementation of regulatory and compliance programs under
TSCA, AHERA, and EPCRA. As illustrated on the next page the Office
is organized into three divisions: Policy and Grants, Laboratory
Data Integrity Assurance, and Compliance.
-------
|17. T991
Office of Coaplii
Hani tori no
* • Contract Staff
• • AAftP Staff
laawdiate Office
Michael M. Stehl, Director
Lynda Garland, Secretary / Ruth Mason *
Katrine Cherry, Special Assistant to the Director
Connie A. Musgrove, Chief Executive Officer
Margaret Season, Secretary
John Mackenzie, Western Compliance Director
Policy tr Grant* Division
John J. Neylan III, Director
Lois Marshall, Secretary
1 1
Pesticide*
Enforcement
Policy Branch
lAtrty,
Phyllis, Chief
Cook, Tracy
Secretary
Warren, Sharon
S-I-S
Helfgott, Dan
Howie, Steve
Lathrop,
Virginia
Moretnsen,
Ginah
Stangel, David
Updike,
Beverly
Grants ft
Evaluation
Branch
Flick, Linda
Chief
McWilliams,
Betty
Secretary
Fox, Curtis
Kavanaugh,
Susan
McKay, Lori I yn
Podniesinski,
Mary Ellen
Summer Intern
Jennifer
Consi luio
Toxic*
Enforcement
Policy Branch
Bearden, Janet
Chief
Long*, Laverne
Secretary
Smith* , Mary
Secretary
O'Reilly, Ken
Pagano, Peter
Sasnett, Sally
Secrest, Cary
Sullivan,
Bridget
Truman Scholar
Mindy Harm
OEM Program Support Staff
Roberta Miller, Chief
Doug Frye, Program Analyst
Connie McClain, Administrative Officer.
Laura Plakidas, Program Analyst
LaTonya Abrom, Stay-in-School
Barbara Reilly, Summer Intern
Laboratory Data Integrity
Asauranc* Division
David L. Dull
Sylvia Curtis
Robin Mogle /
, Director
, Secretary
Frances Liem
Compliance Division
Michael F. Wood, Director
Tina Thomas, Secretary
Monajoi Jones, Clerk
_L
Scientific
Support Branch
Lien, Frances
Acting Chief
Baker, Hilda*
Secretary
Banks, Dawn
Diwan,Ashutosh
Fletcher,
Clinton
Griffin. Elmer
NcCam, John
Mosley, Brenda
Seiglman, Fred
Zurek, Eva
Summer Intern
Sachin Diwen
Program Support
and Compliance
Omlttrrml
• VT vi rv&
Branch
Zisa, Robert
Chief
Brown, Robin
Secretary
Brown, Ray
Brozena, Steve
Buckingham,
Carol
Dyson, Doris
Hellyer, Yvette
Smith, Franklin
Emenue 1 , G 1 enna*
Higdon*
Johnson*
Orgovan*
Yang*
Compliance
Branch
Lydon, Maureen
Chief
Battle, Jernell
Secretary
Hall*, Catherine
Secretary
Calhoun, Mike
Clavin, Ann
Gutter-man, Ken
Kratofi I, Richard
Little, Teresa
Mason, John
Meredith, David
Milton, Philip
Saunders, Pant
Singh, Amar
Vandenbosch,
Julie
Queries*
Summer Intern
Laura Stockton
Case Support
Branch
Stubbs, Gerald
Chief
Sahadeo, Debbie
Secretary
Burgess, Rose
Coldiron, Cindy
Crowley, Beth
Dyer, Brian
Ellis, Tony
Hackett, Mike
Howl and, Sanda
McDonnell, Mary
Torch i a.
Rebecca
Farrell*, Jim
Summer Intern
Michelle Nelly
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Phone Hiabers*
ediate Office
Director: Mike Stahl
Special Assistant Katrina Cherry
to the Director Phone: 382-7457
(Regional Liaison)
Support Staff: Lynda Garland
Phone: 382-3807
Branch E-Mail: 7200
Branch Fax: 472-3474
Ruth Mason (382-3807)
LaTonya Abrom (475-7319)
Chief Executive Officer: Connie Musgrove
Support Staff: Margaret Season
Phone: 382-7833
Branch E-Mail: 7215
Branch Fax: 472-3474
Program Management Support Staff:
Roberta Miller, Chief (382-7691)
Doug Prye (382-2289)
- Budget Formulation
- FMFIA liaison
- PC Site Coordinator
- Operating Guidance
Connie McClain (382-7794)
- Administrative Officer
- Budget Execution
- Property Officer
- Personnel
Western Compliance Director:
John Mackenzie
Work Phone: 484-1091 (415-744-1091)
Home Phone: 707-584-1195
Work Fax: 484-1073 (415-744-1073)
Home Fax: 707-584-2338
- OCM Coordinator with Region VI through
Region X
- OCM Liaison with SFIREG and AAPCO
activities
- OCM Manager of UC-Davis Pilot Program and
Executive Secretary of Steering Committee
* Note: All numbers have area code (202) unless otherwise
indicated
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Policy and Grants Division
The Policy and Grants Division (P&GD) is responsible for
developing compliance monitoring policies and strategies, and
federal enforcement response policies for the regions and states
under FIFRA, TSCA, AHERA, EPCRA and OAPCA. The Division is also
responsible for representing OCM views at regulatory workgroup
meetings, and for reviewing regulatory documents to assure their
enforceability. The Division develops and revises procedures and
programs under FIFRA and TSCA state cooperative enforcement
agreement programs, and assists the Regions in the implementation
and management of these programs. The P&GD revises policy,
guidance, priorities, and strategies following program evaluations
made by Divisions within the Office of Compliance Monitoring.
Director: John J. NayIan III
Support Staff: Lois Marshall
Phone: (703) 308-8383 [Crystal City]
(202) 382-7825 [Waterside Mall]
E-Mail: 7221 Fax: 472-3474
Pesticides Enforcement Policy Branch
This Branch develops Headquarters and regional compliance
monitoring policies, strategies and priorities relating to FIFRA
and OAPCA. They also develop regulations, federal enforcement
response policies, and strategies in support of FIFRA and OAPCA.
Members serve as OCM representatives on FIFRA regulatory
workgroups, and serve as expert witnesses during hearings.
Chief: Phyllis Flaherty
Support Staff: Tracy Cook
Phone: (703) 308-8383
Branch E-Mail: 7223
Branch Fax: (703) 308-8218
Grants and Evaluation Branch
The Branch is responsible for developing, reviewing and
revising policy and procedures for FIFRA and TSCA state cooperative
enforcement agreement programs. G&EB assists the regions in
implementing and managing state cooperative enforcement agreement
programs and develops procedures for information flow.
Chief: Linda Flick
Support Staff: Betty McWilliams
Phone: 382-7841
Branch Fax: 382-7434
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Toxics Enforcera b Policy Branch
The Branch develops compliance monitoring policies and
strategies, proposed legislation and regulations, and guidance to
the states and the regions concerning the national toxic
substances, AHERA and EPCRA compliance programs. The branch also
provides OCM policy input for agency-wide enforcement special
projects and the four-year strategic plan.
Chief: Janet Bearden
Support Staff: Mary Smith
Laverne Long
Phone: 382-7832
Branch E-Mail: 7224
Branch Fax: 472-3474
Laboratory Data Integrity Assurance Division
LDIAD develops and executes Good Laboratory Practice (GLP)
compliance programs under both FIFRA and TSCA. The Division
validates studies submitted to the agency as required by either
FIFRA or TSCA and monitors compliance to requirements published
under both regulations. LDIAD provides compliance, data audit
guidance, policies and procedures for the operations of FIFRA
Section 3(c) and TSCA Section 4, 5(e) compliance monitoring
programs and for the conduct and reporting of the results of GLP
compliance inspections and data audits. The Division assesses the
quality and effectiveness of these programs and provides normal
administrative support for the Program Support and Compliance
Referral Branch and the Scientific Support Branch. Both nationally
and internationally, the division provides liaison with other
Federal Agencies, similar authorities and foreign governments to
conserve resources and standardize procedures.
Director: David L. Dull
Support Staff: Sylvia Curtis
Phone: (703) 308-8300
E-Mail: 7210
Fax: (703) 308-8285
Scientific Support Branch
The Scientific Support Branch (SSB) is responsible for the
detailed planning of all national and international inspections
and data audits, both regularly scheduled and priority. The Branch
provides liaison with the Food and Drug Administration (FDA) field
investigators to coordinate joint inspections and audits, and
prepares training programs and manuals for inspection and audit
activities.
Chief: Frances Lien, Acting
Support Staff: Hilda Baker
Phone: (703) 308-8333
Branch E-Mail: 7220
Branch Fax: (703) 308-8286
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The Scientific Support Branch employees conduct Good
Laboratory Practice (GLP) compliance inspections of laboratories
and other test facilities and performs data audits.
Program Support and Compliance Referral Branch
This branch provides operational and information management
support for LDIAD's GLP inspection and FIFRA/TSCA testing
requirement compliance programs.
PSCRB supports the GLP inspection program by targeting
laboratories for inspection through Neutral Administrative
Inspection Scheme (NAIS) selection procedures, identifying relevant
FIFRA and TSCA studies to audit, and participating in the review
of inspection/data audit reports for compliance. PSCRB operates
the Laboratory Inspection and Study Audit (LISA) computer system
in support of these activities.
PSCRB supports the FIFRA/TSCA testing requirement program by
monitoring documentation submitted by registrants, chemical
manufacturers, and laboratories for compliance with FIFRA and TSCA
testing requirements. This includes monitoring compliance with
FIFRA '88 product reregistration requirements, issuing Notices of
Intent to Suspend (NOITS) for pesticide product registrations, and
working with OPP and OGC to settle NOITS actions. PSCRB operates
the Pesticide Registration Enforcement System (PRES) data base in
support of these activities.
Chief: Robert Zisa
Support Staff: Robin Brown
Phone: (703) 308-8400
Branch E-Mail: 7219
Branch Fax: (703) 308-8286 or
FTS 8-398-8286
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Compliance Division
The Compliance Division (CD) is responsible for developing
procedures for controlling imminent hazards involving pesticides
and toxic substances. The division develops national compliance
monitoring procedures and regional coordination functions in
support of TSCA, AHERA, FIFRA, EPCRA and OAPCA. CD performs
Regional coordination functions for the purpose of compliance
monitoring, provides guidelines for training programs for the
regions and the states, promulgates guidelines concerning
administrative rules in case preparation procedures for enforcement
cases, and provides case development support for Headquarters and
Regional enforcement cases. The Division coordinates intra- and
inter- agency case development efforts, and provides scientific and
technical support to Headquarters, the regions and states for
investigations and case development efforts. Other functions of
the Division include management of contracts for inspection support
and sample analysis, development or revision of reference manuals,
publication of Notices of Judgement under FIFRA, and the
development and operation of ADP systems.
Director: Michael F. Wood
Support Staff: Tina Thomas
Phone: 382-7835
E-Mail: 7215
Division Fax: 472-3474
Compliance Branch
The Compliance Branch develops national compliance monitoring
procedures, inspection guidance, and targeting lists to help ensure
compliance with FIFRA, TSCA, EPCRA, AHERA, OAPCA, and associated
specific regulatory actions. The Branch issues Investigation
Requests, and coordinates with the regions on ^compliance monitoring
activities initiated from the HQ level,-as "well as follow-up to
GAO/IG audits. Working with the regions, the Branch
collects/analyzes national enforcement data for the aforementioned
statutes by developing/using national automated data processing
(ADP) systems. The group develops STARS measures and coordinates
STARS input at the national level for Office of Pesticides and
Toxic Substances1 enforcement activities.
The Branch serves as the liaison with the Office of Criminal
Investigations and the national program coordinator for TSCA
enforcement AARP grants, and coordinates national toxics
enforcement conferences. The Compliance Branch includes the OCM
document control officer, the OCM Coordinator for Regional Reviews,
and the office coordinator for enforcement/certified statement
requests.
-------
Chief: Maureen T. Lydon
Support: Staff: Jernell Washington
Catherine Hall
Monojoi Jones
Phone: 382-5567
Branch E-Mail: 7216
Branch Fax: 472-3474
Case Support Branch
The primary function of the Case Support Branch (CSB) is to
provide case development support in relation to the enforcement
of TSCA, FIFRA, and EPCRA. Specifically, the Branch is
responsible for promulgating guidelines, administrative rules or
case preparation procedures for enforcement cases, providing
regional coordination for case development purposes, coordinating
intra- and inter-agency case development efforts, providing
scientific and technical support to Headquarters, the regions and
states for case development purposes, and providing Headquarters
concurrence on enforcement cases.
Other functions of the Case Support Branch include revisions
to the Case Proceedings Manual, publication of Notices of
Judgement, and updated publication of the Suspended, Canceled and
Restricted Pesticide List (SAC List) under FIFRA.
Chief: Gerald Stubbs
Support Staff: Debbie Sahadeo
Phone: 382-7861
Branch E-Mail: 7217
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Staff Functional Index
Biotechnology .......................... Stephen Howie
(FIFRA) (703) 308-8290
Sally Sasnett 475-7376
(TSCA)
Criminal Investigations Liaison ........ Mike Calhoun 382-3375
Document Control Officer
TSCA .............................. Theresa Little 382-4985
Leonard Quarles 382-3706
FIFRA ............................. Richard Kratof il 382-34*87
Endangered species
G & E .Branch Coordinator .......... Mary Ellen Podniesinski
382-7422 -- ^*-
OCM representative on workgroup. . . Ginah Mortensen
'8293
(703) 308->.
-^
Compliance Branch Coordinator Amar Singh 245-3868
FIFRA
Contract Manufacturing David Stangel
(703)308-8295
Custom Blending . David Stangel
(703)308-8295
Disinfectants Amar Singh 245-3865
Mike Calhoun 382-2275
GLP Case Review/Enforcement Cindy Coldiron 382-2081
GLP Policy Interpretations Steve Howie
(703)308-8290
.Section 3 Registration Cindy Coldiron 382-3081
Beverly Updike
(703)308-8296
Canceled & Suspended Products John Mason 382-2301
Virginia Lathrop
(703)308-8292
Labeling & Existing Stocks.. Dan Helfgott
(703)308-8288
Initiatives John Mason 382-2301
Lawn Care John Mason 382-2301
Legislative Activities Phyllis Flaherty
(703)308-8383
Section 19 policy David Stangel
(703)308-8295
Section 19 (f) policy Phyllis Flaherty
(703)308-8383
Sections (a) (2) Tony Ellis 382-4199
Section 6 (g) Communication Plan.. Virginia Lathrop
(703)308-8292
Section 6 (g) Policy Dan Helfgott
(703)308-8288
Section 8 Books and Records Rose Burgess 382-4328
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Disposal & Section 6 (g) John Mason 382-2301
Policy Search System John Mason 382-2301
ERP Dan Helfgott
(703)308-8288
G & E Branch Coordinator Susan Kavanaugh 475-7008
Compliance Branch Coordinator Amar Singh 475-3868
Pesticide Experts Pamala Saunders 382-3809
A Mike Calhoun 382-3375
Section 17 (a) Policy writing/ V *-\
interpretations T^Steve Howie (703) 308-8290
FIFRA '88 David Stangel ^
(703)308-8295
Susan Kavanaugh 475-7008
Pesticide Grant Allotments... Mary Ellen Podniesinski
382-7422
Grant Oversight Manual Mary Ellen Podniesinski
382-7422
QUIPE Curtis Fox • 475-8318
U.S.D.A. Records Regulation Phyllis Flaherty
(703)308-8383
Preemption Phyllis Flaherty
(703)308-8383
Primacy Interpretive Rule Policy.. Phyllis Flaherty
(703)308-8383
Water Purifiers. . Cindy Colderon 382-3081
Notices of Judgement Brian Dyer 382-3477
Devices Brain Dyer 382-3477
PTTS (PIPRA/TSCA Tracking System) David Meredith 382-7864
GLI Inspections and Data Audits
FIFRA Case Review/Enforcement Cindy Coldiron 382-3081
Policy Support Stephen Howie
(703)308-8290
Laboratory Targeting Stephen Brozena
(703)308-8267
Ground Water
G & E Branch Coordinator Lorilyn McKay 475-6733
Compliance Monitoring Amar Singh 245-3868
PEP Branch Coordinator Virgina Lathrop
(703)308-8292
Inspection Manuals Pam Saunders 382-2809
NCDB Dave Meredith 382-7864
Regional Reviews Ken Gutterman 382-6902
Section 7 Tracking System Richard Kratofil 382-3487
Pam Saunders 382-3809
STARS measures/data Dave Meredith 382-7864
Tribal Contact Curtis Fox 475-8318
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Susan Kavanaugh 475-7008
Worker Protection standards
PEP Branch Coordinator Ginah Mortensen
(703)308-8283
Compliance Branch Coordinator Amar Singh 245-3868
G & E Branch Coordinator..... Cu^^s Fox 475-8318
Case Support Branch Coordinator... Mixe Hackett 245-4215
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(iv) That a failun: by the permittee
lo meet any oj^r provisions of
PI PR A or this sufl^l has occurred
(2) The Administrator shall, prior to
revoking a State experimental use
permit, consult with the State agency
which Issued the permit, except in
jases where continued use of the pcsli
:lde under the permit would create an
imminent hazard lo man or the envi-
ronment.
(3) The Administrator shall notify
he designated Slate agency, in writ-
ing, of the revocation, and the Stale
igency shall notify the permittee, also
.n writing, of the revocation.
(4) The permittee shall notify all
mrtlclpanls of the revocation within
10 days after he receives notice of rev-
icatlon.
(5) The revocation of a permit shall
tot preclude the Administrator from
nltlaling civil or criminal sanctions
or violations of the permit conditions
>r other violations, as authorized by
aw.
(6) If a permittee wishes to contest
he revocation of a Stale experimental
ise permit, he shall, within 30 days
.fter receipt of notice of such revoca-
Ion. file with the Administrator a
written request for an opportunity to
onfer with the Administrator or his
leslgnee. The revocation of the permit
hall remain effective pending the out
ome o( any conference requested
mder this paragraph.
(7) If a permittee requests a confer
nee under paragraph (c)(6) of this
ectlon, the Administrator shall pro-
Ide the permittee:
(I) With Information as lo the time.
11 ace and nature of the conference,
.nd of the matters of fact and law av-
erted by the Agency as grounds for
he revocation action;
(II) An opportunity lo offer a written
latement of facts, explanations, and
.rguments relevant lo (.he revocation
ictlon;
(111) All oilier procedural opportuni
les to which the permittee may be en
Itled by law.
(8) The Administrator shall notify
he affected permittee and State
Vgency. In writing, of his final decision
m the revocation matter as expedl
lously as possible and shall attempl
o do so wllhln 30 days after the con-
clusion of a conference conducted
under paragraph (c><7). The Adminis-
trator shall also provide the permittee
and the Slate agency with a written
statement of the reasons for his deci-
sion, which shall lake into account the
evidence presented pursuant lo para
graph (o(7i(ii) of tills section
OJ) A decision lo revoke a permit
under paragraph <8) of tins section
is a final Agency action subject lo ju
diclal review as provided by law.
PART 173—PROCEDURES GOVERN-
ING THE RESCISSION OF STATE
PRIMARY ENFORCEMENT RESPON-
SIBILITY FOR PESTICIDE USE VIO-
LATIONS
Sec.
173.1 Applicability
1732 Definition:,
173.3 Initiation of rescission proceedings
173 4 Informal conference and sell lenient
1735 Request lor hearing
173 6 1'ubllralion of tin- notice. Mliediilnu
(lie hearing
173.7 Hearing and recommended decision.
1738 Final order.
173.9 Judicial review.
AUTIIOHITY: 7 II SC 136* and 136* 2.
Sonnet: 46 KK 26059. May II. 1981. unless
otherwise noted.
£DITOKIAI. Nort For an Inlcrprclivc docu
inent affecting Part 173. see 48 KK 404. Jan
5. 1983
8 173.1 Applicability.
These procedures govern any pro
ceeding lo rescind a Slate's primary
enforcement responsibility for pest I
clde use violations conducted under
section l!7(b) of the Federal Insect!
cide. Fungicide, and Rodenlicide Acl.
as amended (F1FRA). 7 U.S.C. 136 et
seq.
6 173.2 Di-finilions
For purposes of this part:
(a) "Administrator" means the Ad-
ministrator of the United Stales Envi
ronmental Protection Agency or his
delegate.
(b) "Notice of intent lo rescind"
means a notice to a Stale issued under
{ 173.3 which initiates a proceeding to
rescind the State's primary enforce-
ment responsibility for pesticide use
violations.
• "Stale" means the agency or
ies primarily responsible for en-
forcing pesticide use laws or regula-
tions within Ihe State or jurisdiction
undergoing rescission proceedings.
(d) "Parly to the proceeding" shall
mean the Stale or (he Agency's Office
of Enforcement.
(e) "Presiding Officer" means an at-
torney appointed by Ihe Administra-
tor lo conduct the rescission proceed-
ing The Presiding Officer shall be an
employee or representative of Ihe
Agency and shall not have had. prior
direct connection with the specific
proceeding except in circumstances
where subsequent hearings are in
order.
E) 17:1.1 Informal conference unil settle
nienl.
6 173.3 Initiation of rcbci.iiion proceed-
ing-
(a) Whenever the Administrator de-
termines that a Slate having primary
enforcement responsibility for pesli
cide use violations is not carrying otit
such responsibility, or cannot carry
out such responsibility due to Ihe lack
of adequate legal authority. Ihe Ad
rninislrator shall notify Ihe Stale in
writing of his intent lo rescind ils pri-
mary enforcement responsibility, in
whole or in part, by serving upon the
Stale a notice of mlcnl to rescind.
(b) The notice of intent to rescind
shall.
(1) Specify those aspects of the
Stale's pesticide use enforcement pro-
gram determined lo be inadequate;
(2) Specify the facls which underlie
Ihe findings contained in the rescis-
sion notice;
(3) Have attached thereto copies of
any relevant documents discoverable
under Ihe Federal Rules of Civil Pro-
cedure and Ihe Freedom of Informa-
tion Act which contain dala relied
upon by the Administrator in making
his decision lo issue the notice;
(4) Have attached thereto a copy of
this part; and
(5) Be sent lo Ihe Stale by cerlilied
mall, relurn receipt requesled.
(c) The Slate may respond in writing
to the findings specified in the notice
of inlent to rescind.
(a) After receipt of a noticlV Inlent
to rescind, the State may request lhal
an informal conference be held be
Iween appropriale Stale and EPA offi-
cials to discuss the findings made In
the notice of intent to rescind. The in-
formal conference shall then be held
in the Slate. If the Administrator
finds, on the basis of information sub
milled by the State at the conference,
lhal the deficiencies .specified In Ihe
notice did not exist or were corrected
by the Stale, the Administrator shall
Issue an order withdrawing the notice
of inlent lo rescind and terminating
the rescission proceeding.
(b) Al any time after receipt of a
notice of intent to rescind and before
Ihe Is-suancc of a final order. Ihe State
and EPA may resolve the Issues raised
in the notice by agreement. Any settle-
ment agreement shall be in writing
and signed by Ihe parlies and shall:
(Ik Delail (he deficiencies found in
Ihe Slate program;
(2) Specify Ihe steps Ihe State has
taken or will take lo remedy the defi-
ciencies; and
(3) Set forth a precise schedule for
each remedial action yel lo be initiat-
ed.
(c) If a written agreement is signed
by Ihe parlies, the Administrator shall
issue an order withdrawing the notice
of intent lo rescind and terminating
the rescission proceeding. If Ihe Slate
does not comply with the terms of the
settlement agreement, the Adminlslra-
lor may reissue Ihe notice of inlent lo
rescind.
8 17:1.5 Id-quest for heuriiiK-
A Slate may request a hearing
before a Presiding Officer not later
than sixly (60) days after receipt of a
notice of intent lo rescind.
& I7ll.lt I'uliliealiiin of Ihe notice; ncliedul-
ing Ihe hearing.
(a) If Ihe Administrator has not
issued an order terminating Ihe rescis-
sion proceeding within sixty (60) days
after service of the notice of intent to
rescind upon the State, the Adminis-
trator shall publish the notice of
Intent to* rescind in the FcutRAL Rtcis-
236
237
-------
§ 173.7
TEH. The Administrator may modify
the original notice of intent lo rescind
before Its publication by deleting
those deficiencies listed in the original
notice which have been corrected or
which were shown not lo have existed.
The public may submit comments
upon the matters specified in the pub-
lished notice of Intent lo rescind
within the time specified therein.
(b) Concurrently with the publica-
tion pf the notice of Intent to rescind.
the Administrator shall schedule a
hearing In the Stale If one has been
requested by the Stale. The date.
time, and location of the hearing shall
be published In Ihe FEDERAL REGISTER
along with the notice of Intent lo re-
scind.
(c) If a hearing Is requeslcd and the
Administrator has not Issued an order
terminating the rescission proceeding.
the Administrator shall provide for a
hearing as scheduled. Representatives
of the Stale. EPA. and the public may
present evidence at Ihe hearing. The
Administrator shall appoint a Presid-
ing Officer who shall preside over Ihe
hearing and make a recommended de-
cision regarding Ihe adequacy of Ihe
Slate's pesticide use enforcement pro-
gram. The Administrator, after consul-
tation with the Stale, 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 REG-
ISTSH.
8 173.7 Hearing and recommended deri-
sion.
(a) The Presiding Officer shall:
(I) Conduct a fair and impartial
hearing, without unnecessary delay;
(2) Ensure thai the facts are fully
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
40 CFR Ch. I (7-1-90 Edition)
of the hearing, a brief summary of his
or her testimony.
(b) If. following the close of the
hearing. Ihe Presiding Officer finds
that Ihe Slate has corrected, or has
agreed In writing lo correct, the defi-
ciencies specified in the notice of
intent lo rescind or has shown (hat
such deficiencies do not exist, the Pre-
siding Officer shall Issue a decision
recommending that the notice of
Intent lo rescind be withdrawn and
that Ihe rescission proceeding be ler-
mlrialed.
(c) If. following the close of the
hearing. Ihe Presiding Officer finds
that the Stale has not corrected the
deficiencies In its program. Ihe Presid-
ing Officer shall Issue a decision rec-
ommending thai Ihe Stale's primary
enforcement responsibility for pesti-
cide 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 Ihe parties
and without further proceedings
unless (1) an appeal lo the Administra-
tor Is taken from it by a parly lo the
proceeding, or (2) Ihe Administrator
elects, sua sponle. lo review lite recom-
mended decision.
6 17JH Kinal order.
(a) If the Stale does not request a
hearing within the sixty-day lime
period and Ihe Administrator has nol
Issued an order withdrawing Ihe notice
of intent lo rescind. Ihe Administrator
shall issue a final order as soon as
practicable after the lime for public
comment on the notice of intent to re-
scind 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 Slate's primary enforcement
responsibility for pesticide use viola-
lions.
(b) If a hearing has been held and
Ihe Presiding Officer has made a rec-
ommended decision, then either the
Office of Enforcemenl or the Stale
may appeal the recommended decision
lo Ihe Administrator or Ihe Adminis-
trator may elect to review the recom-
mended decision on his own initiative.
238
ic) After an appeal or sua spontc
review (lu: Administrator shall issue a
final order terminating (he re.scLs.sion
proceeding or rescinding, in whole or
in purl, the Stale's primary enforce-
ment responsibility for pesticide list;
violations.
(d) In no event may the Adminislra
lor issue his final decision sooner than
ninety (1)0) days after service of the
notice of intent to rescind on a Stale.
(e) Any final order, or a recommend-
ed decision which becomes a final
order under i 173.7(c>. shall be pub-
lished in the FtutHAL RtcisTtit.
6 173 y Judicial review.
The Stale may appeal an order re-
scinding, in whole or in part. its pri-
mary enforcement responsibility for
pesticide use violations lo I he appro-
priate federal court pursuant lo sec-
tion 16 of l-'ll-'UA
PART 180—TOLERANCES AND EX-
EMPTIONS FROM TOLERANCES
FOR PESTICIDE CHEMICALS IN OR
ON RAW AGRICULTURAL COM-
MODITIES
u Nori: An alphabetical listing til
pesticide chemicals appears at (he end of
this table of contents
Subporl A—Definition! and Interpretative
Regulationi
DtHNITIONS AND iNTKHCHtTATIUNS
Sec.
180.1 Definitions ami interpretations
180.2 I'esllclde chemicals considered safe.
180.3 Tolerances for related pesticide
chemicals.
180.4 Certification of usefulness and resi-
due estimate.
180.5 /cro tolerances.
180.6 Pesticide tolerances regarding milk.
eyes. meal, and/or poullry; statement of
policy.
Subparl B—Procedural Regulation*
I'HOl tlHIHt IOH FlI.INC I'tTITIONS
180.7 Petitions proposing tolerances or ex-
emptions for pesticide residues In or on
raw agricultural commodities.
180.8 Withdrawal of petitions without
prejudice.
180.9 Substantive amendments lo peti-
tions.
iiY C.'dMMii rtt:s
IBll.ltl Referral of petition lo U(hi.,ory com
mil lee
1HO.II Appointniciil of ad'isory commit
tee
IBtH'.J I'roceiliire fur advisory committee.
I'IHK tniiHt: run l-'n INI: OiutxrrioNS AND
Hoi mm. A 1'tinuc HKAHINC
1HO 13 Objections lo regulation.-, anil re
quests (or hearings.
180 14 Public hearing notice.
18015 Presiding officer.
180.16 Parties: burden ol proof; appear
am is.
180.17 Prehearinc and other conferences.
180.18 Submission of documentary evi-
dence in advance.
180.19 Excerpts from documentary evi-
dence.
Ibl> 20 Submission and receipt ol evidence
180.21 Transcript ,>( (he testimony.
180.22 Oial uml written argument*
180 23 • Indexing of record.
ISO 24 Certification of record.
180 25 Filing Ihe record of the lie;.liny
180 26 Copie.-. of the record of the hearing.
18027 Proposed ol -tier.
180 28 final order
ADOPTION or Toi tnANct ON INITIATIVE or
AUMINISTKATOH OH ON HtWlltST OF INTKN-
ESTED I'tKsoNb; JUDICIAL litvicw; TEMPO-
HAHV TOI.KHANCtS AMENDMENT AND
Ku'tiAL or Toi tHANCts: FEES
180.29 Adoption of tolerance on initiative
of Administrator or on request ol an In-
terested person.
180 30 Judicial review.
180.31 Temporary tolerances.
180.32 Procedure lor amending and repeal
iny tolerances or exemptions from toler-
ances.
18033 Pees.
180.34 Tests on the amount of residue re
(naming
180 35 Tests for potcnliution.
Subpart C—Specific Tolerance*
IHO.I01 Specific tolerances; general provi-
sions.
180.102 Sesone; tolerances for residues.
180.103 Caplan, tolerances for residues.
180.105 Oemelon: tolerances for residues.
180.106 Dinron; tolerances for residues.
180.108 Acephale; tolerances for residues.
180109 Ethyl 4.4' dichlorobenzllule; loler
ances for residues.
180.110 Maiieb; tolerances for residues
180.111 Malalhion; tolerances for residues.
180.113 Allethrln (allyl homolog of clnerln
I); tolerances for residues.
180.114 Ferbam: tolerances for residues.
180.115 Zineb: tolerances for residues.
239
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404 Federal Register / Vol. 4& No. 3 / Wednesday. January 5. 1983 / Rules and Regulations
ENVIRONMENTAL PROTECTION
AGENCY
40 CFH Part 173
[OP* 00139; PH-fat 2215-3)
Federal Insecticide, Fungicide, and
Rodentldde Act, State Primary
Enforcement Responsibilities
AOINCY: Environmental Protection
•Agency (EPA).
Acnote Final interpretive rule.
r This rule states EPA's
interpretation of several of the key
provisions in sections 26 and 27 of the
Federal Insecticide. Fungicide, and
Rodenticide Act (FTFRA). but does not
impose substantive requirements on the
States. Sections 28 and 27 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
dedsionmaking. and ensures that such
decuionmaJung is consistent throughout
the regions.
•FML i iw OATC This rule will not take
effect before the end of 60 calendar days
of continuous session of Congress after
-------
Federal Register / Vol. 48. No. 3 / Wednesday. January 5. 1983 / Rules and Regulations 405
( date of publication. EPA will publish
of the actual effective date of
i rule. S«e SU**PLEMXNTAHY
INFORMATION for further detail*.
POM FWrTHtft INFORMATION CONTACT:
Laura Campbell Pesticide* and Toxic
Substance* Enforcement Division [EN-
342). Office of Pesticides and Toxic
Substances. Environmental Protection
Agency. Rm M-2fl24E. 4OI M SU SYV.
Washington, O.C 2O46O. (2O2~M2-S3BB).
SUPPtXMKMTAMY INfOHMATION:
Background
In 1978. Congress enacted Pub. L. 95-
396 which contained numaraus revisioss
to th« FedersJ Insecticide. Fungicide.
and Rodenccide Act (7 ILS.C 138 et
seq.). One of the changes added two
newsections to FIFRA. sections 29 and
27. U.S.C. IMw-i and 13ow-2. which
together estaboahed a standard and
procedure for according Sutn the
primary enforcement responsibility for
pesticide use violations (primacy).
Section 28 provides three methods by
which a State can obtain primacy.
Section 2fl(a) requires a State to b«
accorded primacy if the Administrator
finds that the State has (1) adopted
adequate ose laws. (2) adopted
adequate procedures for imptemenunf
se laws, and (3) agreed to keep inch
arda and make such reports aa th«
Administrator may require by
regulation. Section 2fl(bl allows a State
to obtain primacy if the State has an
approved section 4 certifiesu'on plan
that meets the criteria set forth in
section 2B(a). or if a Slate enters into a
cooperative agreement for the
enforcement of pesticide use restrictions
under section 23.
Section 27 authorizes the
Administrator to override or rescind a
grant of primacy in certain situations.
Section 27{a) requires the Administrator
to refer significant allegations of
pesticide use violations to the States. If
a State does not commence appropriate
enforcement action within 3O days of
such referral EPA may bring its own
enforcement action.
Section 27(b) authorizes the
Administrator to rescind the primary
enforcement responsibility of a Slate if
she finds that the Slate is not carrying
out such responsibility. The
Administrator initiates a rescission
proceeding by notifying the State of
those aspects of the Slate's pesticide use
enforcement program which the
Administrator has found to be
inadequate. If the Slate does cot correct
•deficiencies in its program within 90
s. the Administrator may rescind the
States s primary enforcement
responsibility in whole or in part. EPA
has promulgated procedures which
govern the conduct of a proceeding to
rescind State primacy. These procedures
were published in the Federal Register
of May 11. 1981 [46 FR 26058). (40 CFR
Part 173).
Section 27(c) authorizes the
Administrator to take immediate action
to abate an emergency situation where
the Slate is unable orunwillinfl, to*
respond to the crisis.
As is evident from the above
description, several of the operative
terms in sections 2S and 27 require
further *^tfl"'1
-------
406 Federal Register / Vol. 48. No. 3 / Wednesday. January 5. 1983 / Rules and Regulations
Further Information on Effective Date of
This Rule
On December 17,1980. the Federal
Insecticide. Fungicide, and Rodenticide
Act extension bill (Pub. L 96-539)
became law. This bill amended several
sections of FIFRA. including section 22
on rulemaking. Section 4 of the
Extension Act adds a new paragraph.
section 2S(e). to FIFRA which requires
EPA to submit final regulations to
Congress for review before the
regulations become effective. Copies of
this rule have been transmitted to
appropriate offices in both Houses of
Congress.
Under section 4 of the 1980 FIFRA
.Extension Act. this rule will not take
effect before the end of 60 calendar days
of continuous tession of Congress after
the date of publication of this rule. Since
the actual length of this waiting period
may be affected by Congressional
action, it is not possible, at this time, to
specify a date on which this regulation
will become effective. Therefore, at the
appropriate time EPA will publish a
notice announcing the end of the
legislative review period and notifying
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 affects only
State pesticide control agencies, which
are not small entities under the
Regulatory Flexibility Act 5 U.S.C 601
et sag.
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
since it is interpretive in nature and
does not contain new substantive
requirements. The regulation:
\. Does not have an annual effect on
the economy of SI00 million or more.
2. Will not substantially increase
costs to consumers, industry, or
government.
,3. Will not have a significant adverse
effect on compenr.on. employment.
investment productivity, or innovation.
This regulation was submitted to the
Office of Management and Budget for
review as required" by Executive Order
12291. (Sec. 25(a)(l) (7 U.S.C 136w)).
[Note: This rule will not appear in the
Code of Federal Regulations.)
L Appropriate Enforcement Action
A. Procedures Governing Heferrc/s. 1.
General. Section 27(a) requires EPA to
refer to the States any information it
receives Indicating a significant
violation of pesticide use laws. If a State
has not commenced appropriate
enforcement action within 30 days. EPA
may act on the information.
Given current resource limitations.
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 its
oversight activities on evaluating the
overall success of State pesticide
enforcement programs, and will track.
on a case-by-case basis, only those
allegations involving particularly serious
violations. Such "significant" allegations
will be formally referred to the States
and tracked by EPA. while other less
serious complaints will be forwarded to
the States for information purposes only.
2. Criteria for significant coses. To
determine which alleged violations are
sufficiently significant to warrant formal
referral and tracking, the regions will go
through a two step process. First, the
regions, in consultation with each State.
wUl identify priority areas for referral.
These priority areas will consist of those
pesticide activities in the State which
present the greatest potential for harm
to health or the environment (e.g. the
application of a pesticide by a certain
method to a particular crop, such as
ground application of endrin to apple
trees). The selection of these priority
areas) will depend primarily on- the
results of pesticide enforcement program
evaluations conducted by the States and
the regions. The priority areas will be
revised on an annual basis based upon
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 clearly 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 Agency
interprets the term "commence
appropriate enforcement action" in
section Z7(a) to require States to initiate
a judicial or administrative 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 response. EPA would then
be permitted, although not required, to
bring its own enforcement action.
Although section 27(a) permits EPA to
act if the State has aot commenced an
enforcement action within 30 days, the
Agency recognizes that States may not
be able to complete their investigation
of many formal referrals in so short a
time. The 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 a 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. The investigation stage. Following
the formal written referral of an
allegation of a significant pesticide use
violation, the appropriate regional
pesticide official will contact the State
to leam 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 may 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 and other evidence-
gathering techniques. (2) responded
expeditiously to the referral so that
evidence is preserved to the extent
possible, and (3) documented all
inculpatory or exculpatory events or
information.
5. The prosecution stage. 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
oesticide control board or State's
Attorney for action, or other similar
enforcement remedy available under
State 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).
-------
Federal Register / Vol. 48. No. 3 / Wednesday, January 5. 1983 / Rules and Regulations
407
If. after consultation with the State.
^determines that the State's
ied enforcement response to the
is inappropriate (see
subdivision B). EPA may bring its own
action after notice to the State. Regional
attorneys will not however, initiate an
enforcement proceeding sooner than 30
days after the matter was referred to the
State.
At times, a State may find that the
particular enforcement remedy it view*
as the appropriate response to a use
violation is not available under the
State's pesticide control laws. Therefore
the State may. at any time, request EPA
to act upon a violation utilizing remedies
available under FIFRA, In these
instances, of course. EPA will
immediately 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 office will
consider, in consultation with the State.
whether the proposed action is
"appropriate", relative to the remedies
available to the State under its pesticide
conel legislation. EPA interprets the
"appropriate" in section Z7(a)
to require that the seventy of
the proposed enforcement action
correlate to the gravity of the violation.
It is not possible in this Interpretive
Rule to prescribe the specific
enforcement action which will constitute
an appropriate response to a particular
violation. There are too many variables
which will influence the treatment of a
use violation, including the disparity
between the types of enforcement
remedies available under the various
State pesticide control statutes. This
document can, however, establish
criteria to be employed in evaluating the
appropriateness of • proposed State
enforcement action. More detailed
guidance on evaluating relative gravity
is contained in EPA's "Guidelines for
the Assessment of Civil Penalties under
Section 14(a) of the Federal Insecticide.
Fungicide, and Rodenticide Act. as
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 wiil not require that a Sla'.e
to a violation have a monetary
equivalent to that of a civil
penalty, which EPA would impose under
the Guidelines, Rather, 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 viol n ~..:n poses to
human health and the .-zvironment The
factors which determine the degree of
risk presented by a use violation can be
divided into two categories: factors
related to tne particular action which
constituted the violation and factors
related to the pesticide involved in the
incident.
a. Risk associated with the violative
action. The circumstances surrounding
the violatlve action partially determine
the risk the violation presents to human
health or the environment. To assess the.
degree of such risk. State and regional
personnel should ask such questions as:
L Old the violation occur in a highly
populated area, or near residences,
schools, churches, shopping centers.
public parka or public roads, so that
health was endangered?
1L Did the violation occur near an
environmentally sensitive area, tuch as
a lake or stream which provides
drinking water to the surrounding
community, a wildlife sanctuary, a
commercial fishery, or other natural
areas?
ILL Did a structural application
threaten to contaminate food or food
service equipment?
iv. Did the violation have the potential
to affect a large or a small area?
v. What was the actual harm which
resulted from the violation?
vi. Was the nature of the violation
such that serious consequences were
likely to result?
This last question is designed to take
into account the variation in 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 not necessarily involve
the improper exposure of the pesticide
to the environment
b. Risk associated with the pesticide.
The factors which will be crucial in
evaluating the risk associated with the •
pesticide itself include:
L The acute toxicity cf 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 162.10). "Danger"
or "Poison" are indicators of a highly
toxic pesticide while "Warning" and
"Caution" signify successively less toxic
substances.
iL The chronic effects associated with
the pesticide, if known.
iii. The amount of the pesticide
involved in the incident, relative to the
manner of application (e.g.. aerial versus
structural).
iv. Other data concerning thejiarm a
pesticide may cause to human health or
the environment such as data
concerning persistence or residue
capability.
An analysis of the Interrelationship
between these two categories of risk
factors should yield a action of the
relative gravity of the violation and the
severity of the action which should be
taken in response.
3. Category of applicator, size of
business, and history of prior violation.
Gravity is not the only factor which EPA
' will take into account in evaluating the
propriety of an enforcement action.
Section 14 of FIFRA requires that
distinctions in the severity of an
enforcement response be made between
the categories of persons who commit
use violations. The intent of Congress.
as expressed in section 14. is that
commercial pesticide applicators 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
determining the severity of the penalty.
In addition, section 14 distinguishes
between violators who have committed
previous infractions and those who are
first offenders. Thus, the issuance of a
warning letter by a State to a person or
firm who has been repeatedly warned in
the past about a certain violation would
not generally be considered an
appropriate response to the violation.
4. Knowing violations: criminal
penalties. The state of mind of the
violator is another important
consideration. In extreme circumstances
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 FIFRA. EPA will be
particularly interested in pursuing
criminal prosecution for those violations
which involve a death or serious bodily
injury or in which the violator has
demonstrated a reckless or wanton
disregard for human safety,
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 Federal Register / VoL 48. No. 3 / Wednesday, January 5. 1983 / Rules and Regulations
action is a. dynamic, rather than a static-
concept Because it is dynamic
penalties must be periodically
evaluated. If a certain violation is
occurring more frequently, the leniency
of the- remedies which have been
applied to this infraction in the past
should be questioned. Consequently.
what i» appropriate- in one year may be
viewed as an inadequate response in the
next.
The factors described.above, together
with the aforementioned Guidelines.
should help to clarify the Agency's
definition of "appropriate enforcement
action." To understand better how the
criteria described above can be used to
evaluate whether a proposed State
enforcement action is appropriate, the
reader is referred to the hypothetical
fact situations in Appendix B.
TL Criteria Governing Grants of Primacy
Section 28 of FIFRA-sets forth the
general criteria which apply to EPA's
decision whether to grant primacy to a
State:
"(a) For the purposes of this Act. a State shall have primary enforcement
responsibility for pesticide use violation* during any period for which the Ad-
minwraior determines that such State—
••(I) has adopted adequate pesticide use lawc and-refutations: Prn*
vtdni. Thai the Administrator may not require a State to na*e pouciue
use-laws thai are* more stringent than- this Act;.
"(2) has adopted and i» implementing adequate procedures Tor the
enforcement of such State Law* and regulations: and
"(3) will keep Mich records and make such repom showing com-
pliance with paragraphs (1) and. U) of this subsection as the Ad-
ministrator may require by regulation.
"(bl Notwithstanding the provisions of subsection (a) of this-section, any
State thai enters into a cooperative agreement with the Administrator under
section 23 of this Act for the enforcement of pesticide-use restrictions shall
have the primary enforcement responsibility for pesticide UK violations. Any
State thai has a plan approved by the Administrator in accordance »uh the re-
. quirements of section 4 of this. Act that the Administrator determines meets
the cruena set out in subsection (at of this section shall have (he pnmarv en*
forcexnent responsibility for pesticide u*e violation*. The Administrator shall
make such determinations with respect to State plans under Section 4 of ihis
Act in effect on September 30. 1978 not later than March jl. 1979.
Thus, a State may obtain primacy in
two ways: (l)-by demonstrating that the
elements of its use enforcement
program, or of its approved certification
program, satisfy (he two main criteria \n
section 28(a). (adequate laws and
adequate procedures implementing
those laws), or (2) by entering into a
cooperative agreement for the
enforcement of use restrictions.
provided the terms of the agreement do
not specify otherwise. The Agency will
also evaluate the adequacy of a State's
use enforcement program before
conferring, primacy by this latter
method.
A. Adequate laws and Regulation*.
To be considered adequate, a State's
pesticide control legislation must
address at least the following areas:
1. Use restnc:ions. State pesticide
control leaisiar.oa will be considered
adequate for purposes of assuming full
primacy If State law prohibits those acts
which are proscribed under FTFRA and
which relate to pesticide use. The
activities presently proscribed under
FTFRA include:
a. Use of a registered pesticide in a
manner inconsistent with its label
(FIFRA section lZla)(2)(G)).
b. Use of a pesticide which is under
an experimental use permit contrary to
the provisions of the permit (section
c Use of a pesticide in tests on
humans contrary to the provisions of
section 12(aK2)(Pl.
d. Violation of the provision in section
3(d)(l](c) requiring pesticides to be
applied for any restricted use only by or
under the direct supervision of a
certified applicator. Violations of
suspension or cancellation orders are
not considered use violations for
purposes of the primacy program.
States may be granted partial primacy
if they regulate less than all categories
of use violations. For example. EPA may
in the future decide to issue "other
regulatory restrictions" on use under
section 3(d)(l)(C](ii). (such as a
requirement to notify area residents
before pesticide spraying). If such a
restriction were issued, [and not
reflected on pesticide product labels).
each State would automatically have
partial primacy extending to all of the
categories listed above which are
proscribed by State law. unless the
State already has authority to enforce
such restrictions. A State with partial
primacy would obtain full primacy by
enacting a prohibition tracking the
section 3(d)(l)(C)(ii) restriction.
2, Authority to enter. To carry out
effectively their use enforcement
responsibilities. State officials should be
able to enter, through consent, warrant
or other authority, premises or facilities
where pesticide use violations may
occur. States should also have
concomitant authority to take pesticide
samples as part of the use inspection
process.
3. Flexible remedies. Finally. State
legislation must provide for a
sufficiently diverse and flexible array of
enforcement remedies. The State should
be able to select from among the
available alternatives an enforcement
remedy that is particularly suited to the
gravity of me violation. Without such
flexibility, a State may frequently be
forced to underpenalize violators, and
thereby fail significantly to deter future
use violations. Thus, in order to satisfy
the "adequate laws" criterion. States
should demonstrate that they are able
to:
a. Issue Warning Letters or Notices of
Noncompliance:
b. Pursue administrative or civil
actions resulting in an adverse economic
impact upon the violator, e.g.. license or
certification suspensions or civil penalty
assessments: and
c. Pursue criminal sanctions for
knowing violations.
B. Adequate Procedures for Enforcing
the Laws. In order to obtain primacy.
States must not only demonstrate
adequate regulatory authority, but must
also show that they have adopted
procedures to implement the authority.
These procedures must facilitate the
quick and effective prevention.
discovery, and prosecution of pesticide
use violations.
1. Training- One step towards this
objective is the training of enforcement
personnel. At a minimum, States, in
cooperation with EPA. should
implement procedures to train
inspection personnel in such areas as
violation discovery, obtaining consent.
preservation of evidence, and sampling
procedures. Enforcement personnel
should be adequately versed in case
development procedures and the
maintenance of proper case files.
Instruction in these techniques should
take the form of both on-the-job '.rairv.r.g
and the use of prepared training
materials. The Agency also considers a
continuing education program to be a
crucial training procedure, so that
enforcement personnel can be kept
abreast of legal developments and
technological advances.
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Federal Register / Vol. 48. No. 3 / Wednesday. January 5. 1983 / Rules and Regulations 409
2. Sampling techniques and
ry capability. Requests for
should also show that the State
technologically capable of conducting
• use enforcement program. States must
iave ready access to the equipment
iccessary to perform sampling and
aboratory analysis, and should
mplement a quality assurance program
o train laboratory personnel and
•rotect the integrity of analytical data.
a bora tones conducting sample
nalyses must also agree to participate
^ EPA (NZIC] Check Sample programs
.'hich are designed to ensure minimum
tandards of analytical capability. (Such
program is already operational for
irmulation samples, and a residue
ample program is also under
ansideration). The EPA Check Sample
rogram is coordinated with the
ssociation of American Pesticide
ontrol Officials (AAPCO) to reduce
snecessary duplication of effort. The
PA will be guided in evaluating the
dequacy of Slate analytical procedures
/ official compilations of approved
lalytical methods, such as the Food
id Drug Administration's (FDA)
jsticide Analytical Manual the CIPAC
Collaborative International Pesticides
nalytical Council) Handbook, the EPA
Chemical Methods for
and Official Analytical
lemists Analytical Procedures. For
iditional guidance on adequate
rapling techniques. States should
•nsult EPA's FIFRA Inspectors Manual
contact the appropriate regional
fice.
3. Processing complaints. Since a
Tiificant portion of pesticide use
stations are identified through reports
•m outside EPA or the State lead
ency. the State must implement a
stem for quickly processing and
icting to complaints or other
onnation indicating a violation. An
equate referral system should contain:
a. A method for funnel ing complaints
a central organizational unit for
/iew.
b. A logging system to record the
eipt of the complaint and to track the
ges of the follow-up investigation.
:. A mechanism for referring the
^plaint to the appropriate
•estigative personnel.
1. A system for allowing a rapid
termination of the status of the case.
. A procedure for notifying atizens of
the ultimate disposition of their
complaints.
4. Compliance monitoring and
enforcement. Along with the above
described enforcement procedures.
States 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 that
program planning and the establishment
of enforcement priorities is an integral
part of an adequate enforcement
program. Such planning, taking into
account the national program priorities
a* manifested through the grant
negotiation process, as well as the
priorities specific to the individual State.
will help assure that compliance
monitoring and enforcement resources
are properly allocated.
5. Education. States 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 persons
can call to ask questions or report
violations. Such an educational program
will promote voluntary compliance and
is essential to effective enforcement
States should also develop procedures
for soliciting input from the public
regarding 'he administration of the
pesticide use enforcement program.
HI. Criteria Governing Rescission of
Primacy Under Section 27(b)
Section Z7(b) authorizes the
Administrator to rescind primacy from a
. State in certain situations:
"(b) Whenever ih« Administrator determines thai a State having primary
enforcement responsibility for pesticide use violations is not carrying out (or
cannot carry out due 10 the lack of adequate legal authority) such responsibili-
ty. the Administrator shall notify the State. Such nonce shall specify (hove
aspects of the administration of the State program ihat 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 that ihe
State program remains inadequate, the Administrator may rescind, in whole
or in pan. the State's primary enforcement responsibility for pesticide use
violations.
In deciding whether a State is not
carrying out. or cannot carry out its use
enforcement responsibilities, the
Administrator will apply the criteria for
an adequate program set forth in Unit II
to the performance of the State during
the time the State had primacy.
A. Adequate Laws. 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 will assess the impact of
any amendments or supplements to the
State'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.
The 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 being
applied in a flexible manner.
In addition. EPA will evaluate each
program element listed in Unit U.S.. in
light of the performance of the State
during the period the State had primary
use enforcement responsibility.
1. Training. The Administrator will
note whether any difficulties
encountered by the State in enforcing
pesticide use restrictions have resulted
from a lack of adequate saining of State
enforcement personnel.
2. Sampling techniques and
laboratory capability. The
Administrator will consider whether the
State's sampling techniques and
\
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410
Federal Register / Vol. 48. No. 3 / Wednesday. January 5. 1983 / Rules and Regulations
analytical capabilities are enhancing or
hindering the State's ability to unearth
and prosecute successfully persons who
misuse pesticides. Another important
consideration will be the degree to
which State laboratory and sampling
procedures have kept pace with
developments in analytical technology.
3. Processing complaints. The
Administrator will examine whether
complaints have been processed quickly
and efficiently. The degree to which
citizens alleging a use violation seek
redress from EPA after first directing
their complaint to the State will b«
considered. In addition, the
Administrator will take into account the
performance of the State in responding
to allegations referred to the State by
EPA under section 27(a) of FTFRA.
4. Compliance monitoring and
enforcement. Under this element, the
Administrator will compare the State's
level of compliance monitoring activities
with that of other comparable States.
The EPA will review State case files to
determine whether the Slate has
aggressively investigated a case before
deciding on the disposition of the
matter. The EPA will also investigate
whether a State's Attorney General's
office or other prasecutoaal authorities
have demonstrated a willingness to
pursue cases referred by the Slate's
pesticide control lead agency.
The Agency will examine whether
State enforcement resources have been
directed towards the more significant
enforcement problem areas, and
whether enforcement priorities have
been Devaluated as the demands of an
adequate program change over time,
5. Education. The Administrator will
evaluate whether the State's education
program is encouraging voluntary
compliance with pestacide use
restrictions. As part of this process, the
Administrator will note those use
violations which are at least partially
attributable to the violator's lack of
familiarity with applicable laws and
regulations. The Administrator will also
review State procedures for facilitating
public participation in the enforcement
program.
These criteria are indices of the
adequacy of a State's use enforcement
prcgrarn. but they do not conclusively
determine whether a State :s discharging
its primacy responsibilities. Since the
Agency's goal is to protect the public
from the risks associated with
pesticides, one of EPA's central inquiries
will be whether the State's primacy
program mures compliance with
pesticide use restrictions. EPA. in
evaluating State program adequacy, will
consider both the deficiencies of the
program and the success of the program
in achieving compliance.
IV. Emergency Response
Notwithstanding other provisions of
section* 26 and 27. the Administrator
may. after notification to the State, take
immediate action to abate emergency
situations if the State is "unwilling or
unable adequately to respond to the
emergency."
FTFRA does not define "emergency
conditions." Other EPA-administered
statutes, however, characterize
emergencies in fairly consistent terms.
The consensus of these statutes is that
an emergency presents a risk of harm to
human health or the environment that is
both serious and imminent and that
require* immediate abatement action.
Examples of use-related emergency
situations are:
1. fj^nt'fftinAtinn of a building by a
highly toxic pesticide.
2. Hoapitalizations. deaths, or other
severe health effects resulting from use
of a pesticide.
X A geographically specific pattern of
use or misuse which presents
unreasonable risk of advene effects to
health or sensitive natural areas. This
situation may occur, for example, if a
hazardous pesticide is consistently
misused in a particular area so that the
net effect is the creation of substantial
endangennent to the environment, such
as runoff into a water supply.
A. "Unwilling*. When EPA learns of
an emergency situation. Agency
representatives must notify the affected
State. These representatives will try to
obtain a commitment from the State as
to (a) what the State is capable of doing
in response to the situation, and (b)
when the State intends to respond to the
crisis.
Emergencies, by nature, require the
quickest possible response. In most
cases, due to proximity, the 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 it will respond more
quickly than EPA could respond. Agency
emergency response teams will be
activated.
B. "Unable". The EPA will
immediately take action to abate an
emergency :f '.he State :s -inabie :o co
so. The Agency interprets "unable" to
mean that either the State does not have
the authority to adequately respond or
that the State is incapable of solving the
problem due to the lack of technology or
resources.
\. Authority. The EPA can utilize its
authority in section 16(cj of FIFRA to
seek.. in conjunction with the
Department of Justice, a district court
order preventing or restraining misuse of
a pesticide. States 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 State 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. Ln
these instances, if EPA possesses 'he
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 the
State cannot rapidly commit the
necessary manpower to the emergency
situation. In most cases EPA will not.
however, initiate a response on this
basis if the State has developed an
emergency response plan detailing the-
procedures to be followed in
counteracting a pesticide emergency.
V. Hypothetical Situations
In reading the hypothetical in Units
A and B. assume that the cases
discussed fall under priority referral
areas discussed in Unit I.A.2.
A. Action by Citizen. Hypothetical 1,
EPA refers to the State a citizen's
allegation that an aerial applicator has
allowed pesticides to dnft over his
property. After 25 days, the EPA Region
obtains the results of State's
investigation and learns that the State
plans to issue a warning letter to the
applicator. The EPA advocates a more
firm response and. after discussion, the
State agrees to suspend the applicator s
certification. The State certification
board does not meet, however, until two
months later. In this instance, the Reg'.on
may decide to extend the normal 30 day
prosecution stage to accommodate the
schedule of the board.
Hypothetical 2. A citizen calls EPA
with information concerning a fish !<:!!
which occurred in a stream near his
residence. The citizen claims that he
reported his information to the State, but
State officials have not responded to his
complaint. The EPA's Regional official
calls the State, and learns that ;he State
did indeed know of the problem, but has
not yet had the opportunity to
investigate the allegation. The Regional
\
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Federal Register / Vol. 48. No. 3 / Wednesday. January 5. 1983 / Rules and Regulations 411
icial. believing: the allegation to be
' jficant formally refers the complaint
To the State, and the State agrees that
the natter should be investigated within
20 days. After 20 days, the Region learn*
that the State has not yet begun its
investigation. In this case, the Region
wilt begin its own inquiry into the
matter, and may commence its own
enforcement action, after notice to the
State, provided that 30 days have
elapsed from the date of the referral.
a Action by State. In both of these
hypothetical!, assume that the State has
chosen a Warning Letter as the
appropriate enforcement response.
rtystx.'yiBcoJ L Mr. Smith operates a
one^&cr .'rgp dnating eompaay. Smith is
hired to spray Herbicide- A over a power
company's lengthy right-of-way. The
right-of-way" is bounded on one side by
a residential development and on the
other by a wooded area. Smith perform*
the aerial application amidst high.
swirling winds in contravention of the
instructions on. the herbicide's label. A
significant portion of the herbicide drift*
onto the wooded area. Herbicide A.
which contain* the hazard word
"danger"~oi» its fabeL Is a> highly toxic
and persistent restricted, ue* pasticidew
Snntk has aa record of poor pesocder
•Mlateif violations with, government
^J^t^f^r^-<*rmtr«}t office,**
The Agency would consider the
issuance of a warning letter to be an
inappropriate response to tMt violation.
a. Rax associated with the violative
action. Fortunately in this instance* the
herbicide did not result in damage to-
humans or sensitive environmental
areas. But at the time the violation wax
committed, the risk that harm, would
result from the misuse was quite
significant, given the high swirling
winds and the proximity of a residential
neighborhood. Only chance prevented
ihe herbicide from drifting into aa
inhabited area. The rrsk of barm was
also increased1 by the- fact that a great
deal of land was snbfect To drift given
the length of the target area.
b. Risk associated tvitii the pesticide.
Herbicide A is labelled "danger" and is
therefore an acutely toxic Cateircry I
pesticide under 40 CFj? 182.10. The harm
that w«juld rwult from exposure to thij
persis;enr ssbatance is subs tar rrai.
rsssrdless of whe^-.er direr.;c effects or
resicue propersss have been ascribed to
it. In addition, a large amount of
herbicide A was mvolved in the
violation.
c. Other factors. Smith is a
fimmerc'.al applicator under FTFRA and
ou!d be subject to the maximum
•nalty. As a mitigating factor, however.
Smith could po ut to the absence of prior
F1FRA violation*.
In summary, since Smith's actions
were highly likely to result in serious
harm to human health, his drift violation
warrants a severe enforcement
response, such as assessing a fine or
suspending his certification. Despite
Smith's clean record, a warning letter
would not be deemed "appropriate
enforcement action."
HypotheticaJ 2. A small food
processing firm which markets frozen
TV dinners utilizes company
maintenance personnel to accomplish its
pest control needs. No particular
training is provided for such employees
but they are instructed to read and
follow the label directions. The? are
provided all appropriate appecanen.
equipment and protective oothmg. A
company employee applied a non-
penisteat general-use (Category fV)
pesticide which was registered for
structural pest control to combat a.
particularly serious cockroach
infestation. Despite label instructions
requiring the user to avoid
contaminating food, food containers, or
cooking utensils', the employee applied
the pesticide directly upon and below
counter tops and related surfaces in the
room where food cooking racks are
stored. The application took place late
Friday afternoon. The cooking racks
were not utilized again until Monday
morning. An, inspection took place on
Monday morning'. This was the third
pesticide use inspection which, the State
had conducted at the firm in the last
four yean. None of the prior inspections
had revealed a pesticide-related
violation. Residue samples taken
Monday morning revealed no trace
residue of the pesticide on the treated
surfaces.
Since the violation constitutes a first
offense by an "other person" under
section 14(a)(2) of FTFRA, the maximum
federal enforcement response would be
a Notice of Warning. Accordingly, the
Warning Letter issued by the State
would constitute an appropriate
enforcement aciion.
a. Risk associated with ihe violative
action. The direct application of any
pesticide to a cocking rack in a food
processing establishment poses some
risk of exposure to humans. Although
the pesuade used in this case was not
applied in great amounts or over large
areas, thd inherent risk associated w.ih
the violation is relatively high, since
violation results in the introduction of
the pesticide into non-target surfaces
with the likelihood of human exposure.
b. Risk associated with the pesticide.
In this instance, the risk associated with
the pesticide itself is relatively small.
This Category IV pesticide is not acutely
toxic or persistent and is not known to
cause any chronic effects. Sample
analysis revealed no trace of the
product at the time the exposed cooking
racks were to be used.
c. Other factors. Under FIFRA. the
issuance of a Notice of Warning is the
maximum enforcement response to a use
violation committed by a private
applicator with no history of prior
violations. Thus, the Agency would, of
course, view the proposed State
enforcement action as appropriate. If the
violation were repeated, a more
stringent enforcement action would be
warranted.
Dattd: December 22. 19ai
[ofan W. Hernandez. ]t-.
Acting A
[F* Doe.
MLUM COM «M» 40 M
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PESTICIDE COOPERATWE AGREEMENT OUTDANCE
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
EL PESTICIDE PROGRAM ACnvmES 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
-------
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
VI. SUMMARY OF FY 92 COOPERATIVE AGREEMENT
ALLOTMENTS 71
n
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FY92 CONSOLIDATED PESTICIDE COOPERATIVE AGREEMENT GUIDANCE
INTRODUCTION
'mm [PURPOSE OF GUIDANCE
y^Eiovironrriental;Protaction\Agency"to:'enter jntq Operative
District
-------
Pesticide Guidance FY 92
Section II of the consolidated guidance disws^ 'apjpKcaU'bn requirements which
apply to all components of the pesticide cooperative agreement program. The remaining
isections: :deal with work program activities, and specifically;;add^ each of the five
nents outlined previously. The ruriding section , caonot be distributed untfl
^'^''' ..,,,-,™-,-...,,-,.,,,,.,,,,,,. .
boief cooperative agreement application for assistance for aff components '{enf orcemen£
certification, worker protection program* ground water program and endangered speciies
program activities). However, it is recognized that due to unique circumstances ;or : timing
titis wiilnot be feasible in every case^ The guidance allows for the state lead agency/tribe
to? submit more than one application or amended applications to address the five
components,, if this is more practical, as agreed between the applicant and EPA regional
offices ..... " ..... " ...... ....... '" ........ ................. "" ..... " ....... '"" ....... "" ....... ......... """""
In submitting a consolidated cooperative agreement application,, 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),
Under the consolidated cooperative agreement, the recipient must separately tracS
the expenditure of funds under three components at a rnmiraum: 1) all of the enforcement
funds; 2) the certification funds; and 3) the pesticide program funds for the new initiatives
(graundwater program activities, endangered species program activities and worker
protection program activities).
7 The regions and states are strongly encouraged to read through the first 64 pages
(sections I-IV) of the guidance. We have highlighted the major changes from the FY 91
guidance.
B. NATIONAL PRIORITIES
Note: This is a new section of the introduction. This Information was previously included
in tbe work program section.
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Pesticide Guidance FY 92
I. ENFORCEMENT NATIONAL PMORmES
In" developing the compliance; cck:>^
needTto address the national pesticide enforcement prioriUes^r along with State/Triiball
priorities. For FT 92, the two national priorities are:: A) helping to ensure ^
wfth pesticide cancellations, srnperaions and othCT^ m
pfenning for and conducting enforcement activities for the icvised worker protection
associated fchgimg reqtrirerneTit^ based on publication of the ficnal
2. 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-USDA7CBS 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
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.
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 Pflot 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 Public
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:
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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, will provide information and assistance for
finalizing 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
Organisations
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 FY 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.
H. 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 recommend that states/tribes operating pesticide enforcement grant programs
under the FederaJ fiscal year cycle (October 1 - September 30) submit their cooperative
agreement application 90 days prior to the beginning of the proposed budget periocL
This win allow additional lead rime and help to avoid cooperative agreements not being
awarded on time. Funds wfl] be awarded as promptly as possible following release of FY
92 federal funds.
For FY 92, applicants for pesticide enforcement cooperative agreement funds are
urged to complete and submit an enforcement application review checklist with their
applications; this checklist is provided in appendix V. The checklist will aid the applicant
in submitting a complete package and help to streamline processing.
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
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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.
Lasted 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 Pan 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 IX 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.)
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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
FTFRA 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 each 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.
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Pesticide Guidance FY 92
c. Equipment and Supplies
Each item costing 525,000 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 earlier 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 Pan 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.
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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 tribal 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.
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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) established 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(f).]
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 rule is included in
40 CFR Pan 32 (See appendix XII), Government Debarment and Suspension
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Pesticide Guidance FY 92
(Nonprocurement) and Governmentwide 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
ACnvmES"
Note: This is not a new requirement, but it is a revision to the guidance.
Persons (including states and municipalities) who request or receive grants or
cooperative agreements exceeding 5100,000 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
Note: This is not a new requirement, but it is a revision to the guidance^
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.
H. STATE APPLICATION REVIEW CHECKLIST, REGIONAL REVIEW
PROCEDURES AND SEMI-ANNUAL EVALUATIONS
The responsibilities and requirements associated with application reviewprocedures
and semi-annual evaluations are discussed in Appendices in and IV respectively. The
national evaluation protocol is being updated in FY 91 to reflect changes ul the grant
guidance, increased emphasis on follow-up to compliance monitoring strategies, findings
from recent audits of the state enforcement gram program, and pertinent findings from
the National Qualitative Review of the FT 89 Pesticide EnforcementCooperative
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Pesticide Guidance FY 92
Agreement Program. The protocol win be? circulated "to'\W&''1EP'A-:; reguonsf
prior to being finalized. Some highlights in the application;. review;
betow;
StaW iffipircatforii-'ch'ec!aiirtrJTorFy'9Z"'t6e pesticide enforcement applicant may
wish to complete a cooperative agreement application review checklist (in appendix V) and
submit it along with the appUcarion for enfbrcemeirt cooperative agreement funds. This
should help ensurer that the applications address all of die required enforcement work
program elements and reduce the number of comments on the applications Iby EPAI
(Regions may revise or add to this checklist.)
Regkmal" review'" and subtnirtal of applications:: When state applications are
submitted, regions should review the checklist, if provided, and the application to ensure
an of the required elements have been addressed. (A suggested review checklist for
regional use appears in appendix VH). The enforcement applications should be sent by
me regions to the appropriate regional liaison in OCM*s Grants and Evaluation Branch
within two weeks of the region's receipt of the documents. This allows for OGM review
and comment early in the negotiation of a final agreement. (|£ they are available,' any
comments from the regions on the applications should also be included. Checklists may
also be sent along with the application),
OCM'S Grants and Evaluation Branch will review a representative number of the
enforcement applications from all regions In order to: 1) help ensure national consistency
and adherence, as appropriate, to the national guidance; 2) assist In ensuring that recurring
comments maA*. in recent Inspector General audits are addressed from the national
perspective; we fully expect that follow-up audits may occur; and finally, 3) remain aware
of what the states and tribes are actually proposing to do under their enforcement
agreement and help identify areas for next year's guidance which need to be rciosed in
order to address consistent problems if any. Such knowledge and awareness is essential
to developing and updating this guidance. If OCM has any comments they wfll be relayed
via telephone or in writing. Comments from the regions or HQ should be reduced for the
states and tribes completing checklists themselves to identify gaps in their applications;
_ Additional aids to processing applications are provided in the appendix. Appends
VII is the suggested regional review checklist This checklist may be used instead of or"to
supplement a checklist submitted by the applicant. In addition, a one-page time line/chart
is found in appendix VI. Regions may choose to adaptthe time line fur tracking due
dates in the grant award process;
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Pesticide Guidance FY 92
m. PESTICIDE PROGRAM ACnVITTES FOR THE FY 92 WORK PROGRAM
Note:T The format of this section was revised from the last
draft!
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 FlexibQiry
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.
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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 ACnvmES
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
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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.
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Pesticide Guidance FY 92
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 recenification 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.
L Information About High Quality Training Programs and Training Materials;
Information about Training Needs
The EPA and USDA are working together to ensure maximum program
utility in the area of training materials. To assist in this effort, states/tribes
are asked to include the following information in Tnid-:;^and:.en'_d-pf-yeai
reports;
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Pesticide Guidance . FY 92
and/or training materials identified as being of high: quality;
a:" ;':""" ''':::;';;Wneriv" states/tribes are involved iri devefojpineht '^'traraijigr projgram?
and/or materials, a detailed: description: of these: programs ;;•
majtenak; will J>e included ':'m reports
are asked to identify spwc^c jpro^raims anWb'rmaterials
needed for the training of certified applicators in the state/tribe;
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. State/Tribal Plan for Implementing the Revised 40 CFR 171
The proposed revised certification and training regulation, 40 CFR Part 171,
was published as a notice of proposed rule making in the Federal Register
on November 7, 1990. The final regulation is scheduled for publication in
FY 92. States/tribes will compare their FY92 CAT requirements with the
proposed Federal regulation to identify changes that will be needed to
implement the regulation. Within six months after the revised 40 CFR 171
becomes final, States/Tribes will submit a plan and schedule to implement
the changes in Part 171.
C GROUND WATER PROTECTION PROGRAM - WORK PROGRAM
ACTIVITIES
1. Introduction
The Regional Program Offices and the states/tribes need to work together to utilize
funds effectively in developing programs. The flexibility needed to implement
priority tasks such as those identified by the Comprehensive State Ground Water
Protection Programs, as well as the flexibility provided in this guidance, should allow
for a degree of creativity and uniqueness in designing ground water protection
programs. Where States/Tribes have already completed some/all of these work
goals, new or expanded work goals can be negotiated.
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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 public meetings
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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.
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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 soil,
extent of irrigation, range in pesticide type and application rates,
point source contamination and other factors.
5. Outreach Activities
The state/tribe will 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.
7. State/Tribe Developed Projects
States/tribes/tribal consortia are encouraged to propose an expanded
work program in cases where the state/tribe/tribal consortia has an
active ground water protection program and has already addressed
many of the other work program requirements. Again, the flexibility
provided in the guidance allows for creativity and uniqueness in the
design of ground water protection programs.
D. ENDANGERED SPECIES PROTECTION PROGRAM - WORK PROGRAM
AcnvrnEs
1. Introduction
The Regional Program Offices and states/tribes need to work together to
utilize funds to develop state/tribal specific programs, whether the State/Tribe
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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
public outreach materials where needed to deal
with particular local situations
c. State/tribal solicitation of public comment on
review maps and pesticide tables
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Pesticide Guidance FY 92
2. Compilation/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.
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Pesticide Guidance FY 92
2. Additional Activities
a. Outline of StatefTribal 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.
b. Participation in the Federal Program as a Pflot
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.
a States/Tribes Conducting Public Review of Maps
States/tribes are strongly encouraged to obtain public
comment on review maps and pesticide tables. A review
would be announced (perhaps jointly by EPA and the
state/tribe) and a location to obtain review materials
identified. All comments would be coordinated by the
state/tribe.
d. State/Tribe Developed Projects
States/tribes are encouraged to propose an expanded
work program in cases where the state/tribe has an
active endangered species protection program and has
already addressed many of the other work program
requirements. Again, the flexibility provided in the
guidance allows for creativity and uniqueness rri the
design of endangered species protection program. ;;
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Pesticide Guidance FY 92
E. WORKER PROTECTION PROGRAM - WORK PROGRAM ACTIVmES
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
EL 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:
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Pesticide Guidance FY 92
(1) "Ah"initial'' cmti^ch/ccniimimicatiQn effort
(2) A final implementation strategy for the worker protection
program
(3) An implementation schedule
b. Initial Outreach/Cbmmuhicatfoa Effort
Within three fo sir months after the WPS is published in the Federal
Register, the state/tribe wiQ reproduce and distribute informational
materials which wfll be provided by the EPA Regional Program Officei
These materials wfll be directed at employers, employee organizations;
and other interested parties. For quick distribution, the State/Tribe
will have prepared a distribution list of employers and employee
organizations that will receive, the information, and submit it along
with the approved work program submitted with the grant application.
Implementation Strategy
1. Submission Time table/EPA Review
The strategy should be submitted by the applicant to the EPA
Regional Office within eight months after the final Worker
Protection Standards (WPS) are published.
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.
2. 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:
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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 compliance 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
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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 parts 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 will 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.
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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
Within ten months of the publication date 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.
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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.
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Pesticide Guidance FY 92
H. 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.
I. 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.
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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.
Follow-up on these compliance monitoring strategies is essential if their intended purpose
b to be met. EPA will place increased emphasis on follow-up to compliance strategies
in FY 92 through semi-annual evaluations and more frequent follow-up after the issuance
of specific enforcement strategies.
To assist pesticide enforcement grantees, a sample core enforcement work program
Cor FY 92 is included in appendix VUl. The sample core work program outlines the
activities which most be addressed, as a minimum in every application. It could be used
by interested pesticide enforcement grantees as a starting point for ;devekjpihg';i*eir-:FY
92'"pesticide enforcement grant work programs. The EPA regional offices have also
received computer discs containing this sample core work program.
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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.) As discussed under the
"tracking* section of this guidance, recipients must track the inspections, violations found
and enforcement actions taken in follow-up to cancellations and suspensions. Narrative
reports wfll be prepared on the inspections and enforcement actions taken as specified in
tfac applicable compliance monitoring strategies.
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Pesticide Guidance FY 92
by Worker Protection^ Enfbrcement Activities
Another: national enforcement priority for FY 9Z':'-'<«^'-'.l»rv'ipIiaaMg.'''' fbF and
con«fiktmg enforcernen^ activities for the revised wc^cr protection standa^
associated labeUng requirements. This wQI be based on publication of'Ae:'&^rH^;^as
describedbelow>(Required worker protectioner^^
flT; tlxrbtigb "^ and continue through page 43.)
1. 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 Pan 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
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Pesticide Guidance FY 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 will 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
not 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. Inspectional 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 FY 92
6. Reporting
Applicants will 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 will 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.
c. Planning Enforcement Activities for Residue Removal
For FY 92, states wflj need to plan for enforcement activities to ensure compliance
with the pesticide residue removal regulations. (Implementation of these actryities is
expected to be a national enforcement priority for FY 93.)
43
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Pesticide Guidance FY 92
Under Section 19(f) of the amended FIFRAv^
the first quarter of FY 92), EPA must promulgate regulations that prescribe procedures
and standards for removing pesticides from containers before disposal. Effective
December 24£ 1993, a state may not exercise primary enforcement responsibflityi under
Section 26^ or certify an applicator under Section ll; xinleW ^
that the^ state »
In prepaiation for th^^
which wfll ensure compliance with these regulations. Tii th« end. by the end of FY 921
each state must, as a •' m£hun'iunv submit an r onrtine detailing specific proposed activities
which wiD be conducted to ensure compliance with the residue removal regulations. (The
national enforcement guidance to be issued with these regulations should assist the states
in identifying and carrying out these enforcement activities.)
d. Enforcement Activities for Groundwater Protection
1. In FY 92, states/tribes will continue to monitor compliance with and enforce
labeling as pan 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.
2. As part of the enforcement activities associated with a groundwater
protection implementation plan or state/tribal Management Plan, states/tribes
may conduct the following activities in FY 92:
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.
a. For those states/tribes that have not already done so, they must plan
for, identify and describe their enforcement authorities, capabilities and
activities which wfll be used to ensure compliance with the provisions
of their ground water management plan (or groundwater protection
implementation plan); they must also include a clear statement of the
44
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Pesticide Guidance FY 92
roles of different aigehcies;:: if more than one agency within a
state/reservation will potentially be involved with enforcement activities
pesticide contamination,
; IdCTtffira^ occur according to a schedule
agreed upon; with the regional office andT the aforementioned
description 7m^\lterro1toitted; to;-the regional office for review and
" States/tribes"" wuT implement "'the' 'aforementioned':'
actiiti«
c. If applicable within a state. FY 92 funds may be used by states/tribes
to develop any Memoranda of Understanding with other agencies to
coordinate specific enforcement responsibilities and actions. .
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.
3. Several existing federal statutes currently provide enforcement authorities in
cases where water supplies have been contaminated and are posing imminent
and substantial risks to the health of those using the effected water systent;:;
For example, when contamination is detected within a public water supply
and exceeds a Maximum Contaminant Level (MCL), the contamination
constitutes a violation of the Safe Drinking Water Act (SDWA) regulations
for which the public water system is responsible. The SDWA: includes
emergency powers to respond to contamination, of either public water
supplies or underground sources of drinking water, that present an imminent
and substantial endangerment to the health of persons." Under this "expanded
authority, EPA may issue orders requiring the provision of 'alternative water
supplies by persons who caused or contributed to the endangerment. Under
CERCLA, EPA has the authority to require corrective action by parties
responsible for ground water contamination. The Agency can also recover
tee costs of cleaning up a site resulting from illegal disposal or leaks and
EPA'; and the states: ' needs to take" advantage; ; of ' tie.'; CERCLA
45
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Pesticide Guidance FY 92
enforcement authorities hy closely coordinating their efforts under FIFRA
and the SDWA with those of CERCLA. In genera^ EPA and the states
should place more emphasis on coordinating FIFRA* SDWA, RCRA and
CERCLA enforcement activities to identity parties responsible for ground*
water contamination as a result of misuse of pesticides, including illegal
r leaks and, spills.
When de^eToffi^^
states/tribes should consider the enforcement authorities available under other
federal/state statutes,, when it comes to contamination of ground water or
drinking water supplies. and coordinate enforcement activities with EPA and
other state agencies, as appropriate, to make faH use of other statutes where
applicable;
In relation to the above, it is recommended (but not required) that the state
lead agency (SLA) develop for their own use ari: "enforcement authorities
chart" which indicates the enforcement authorities of each of the state
agencies associated with enforcement for pesticide contamination of ground
water or drinking water supplies. This chart would also contain the name
of the state agency contact and his/her phone number. The state inspectors
and managers could use this as one tool in developing the best enforcement
approach with regard to preventing or foflow-up to ground-water
contamination,
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 carry 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
will 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
46
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Pesticide Guidance FY 92
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.
2. 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.
L Section 6(g) Information Sabmittal and Pesticide Recalls
Section 6(s): Under FTFRA Section 6(g), EPA may require all persons who
produce, sell, distribute or commercially use a
suspended or cancelled pesticide to notify EPA, state and/or local officials of the quantities
in their possession and their location. Time frames for submission of the section 6(g)
information will be stated in each cancellation or suspension order or in a FIFRA section
6(g) notice. Failure to submit accurate section 6(g) information, and/or failure to submit
information in the required time frames, is a violation of FIFRA section 12(a)(2)(K) and
is subject to civil penalties up to the statutory maTurnim,
As part of their routine inspections, states and tribes wfll help to enforce the
information submittal requirements. States win consider the information they receive on
quantities and locations of suspended or cancelled pesticides (received either directly from
the regulated community or from the region) in targeting future inspections. Additionally,
the region may refer inspections to the states, although the number that the state may be
asked to perform in support of the information submittal requirements is impossible to
project and may require some adjustments to other projected inspectional activities.;:
Note: OCM plans to track information submitted by the regulated community;
OCM plans to then send a report to each regional office indicating the quantity and
location of cancelled or suspended pesticides stored within the jurisdiction of that region!
It has not yet been determined if the region wfll be required to submit this information
to the affected states. How the state plans to track the information necessary to enforce
the 6(g) information requirements - -whether using imbrmatkm provide^ by the region
or through, the state's own tracking efforts — shouIdL Ibe; darified in/ the;
agreement.
47
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Pesticide Guidance ' FY 92
pesticide products which have been both suspended and cancelled. Once these recall
requirements are effective, states/tribes win need to enforce where applicable. (This applies
onJy to pesticides suspended under section 6.) Once these requirements are effective, the
offices''' should discuss the relative pirib^^£pf rtte-; olEferent
enforcement cooperative agreement:!" ^
i'^:'''QCM/'''piai»-; to issue either generic or chemical specific
address roe suspension/cancellation.)
Ex
In order to enhance enforcement in this area, the states were requested to conduct
pesticide export inspections in FY 91, the number for which was negotiated with the
regions. In FY 92. the states wuT continue this effort by conducting a number of pesticide
export inspections: the specific number will continue to be negotiated with the regions;
OGM win provide specific information for targeting facilities by early FY92.
(For your background information, an explanation of the pesticide export requirements
is included in appendix XV. OCM previously provided guidance on conducting and
targeting facilities for export inspections.. Compliance checks dealing with the export of
a newly cancelled product will be included in all chemical specific cancellation strategies;
In addition, since a new export policy is expected to be issued in FY 91, the states and
the regions should be aware that a compliance monitoring strategy dealing with exports
wfll foBow shortly thereafter.)
fiL Certification and Training
States wfll enforce the revised final certification and training regulations to be issued
in FY 92. The new certification and training regulations wfll cover minimum standards
for training and certifying pesticide applicators and minimum record-keeping requirements:
2. Priority-Setting
The work program should include a priority-setting plan for compliance-related
activities,
New applicants need to submit a priority-setting plan with their ajoperative
agreement application; the plan should be based on the best available data. Applications
for continuing programs need tot 1) reference their existing priority-setting plaif 2)
indicate any changes in the plan and include a copy of their plan, if it has been amended
or changed; and 3} list the priorities for the year being addressed.
48
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Pesticide Guidance FY 92
Each priority- settfog^
of criteria Car setting priorities; 2) review of information sources and listing of pi^lem
areas;; 3) ranking of problem areas to be dealt with; and 4) a distribution of the available
resouroej to the problem areas biased upon the magnitude of the problem. The priority
scttiig: process should enable a state to concentrate its training; compliance monitoring,
and eafbrcem^ manufacturing, distribution and use
adfintier";^t pose me greatest rak to health and the environment. The outGne for
priority-setting plans, provided in appendix XIX, is recpipnrended. not required: states may
use: their own outline, provided that the four basic: elements listed above are addressed;
Appendix XDC also includes a model priority-setting plan, based on the recommended
outline.
........ v. .;. ,...:-;-S.
During FY 91, a work group on priority-setting is proposing a standard method for
organizing data that serves as the basis for priority-setting. A full description of this
proposal will be circulated for comment. As part of FY 92 cooperative agreement
activities, states and tribes may be asked to begin planning and implementing a mechanism
to collect and track this violation information. The costs for gathering and submitting this
information may be negotiable under the cooperative agreement.
3. Inspection and Sample Collection Activities
Applicants 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.
Categories of 'Inspections: Inspections must be conducted in accordance "with ;' the
procedures set forth in the updated Pesticides Inspectors Manual (or comparable --'state
procedures). The categories of inspections and investigations to be conducted include;
49
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Pesticide Guidance FY 92
ota^jricultiiral use;
b non-agricultural use;
o cxperiinental use;
a producer establishments;
...............................
o imports;
a -'cjSrtfifedf ^ apjpKcatbr records;
a restricted use pesticide dealer;
••.•.••S.'f.-Vrr*f.-fSffff.;fr,-,....:.,ff..-, .-,: .: „. .:: +,,;, -.-.-. trsf. . t.-'t.-f. '.-, • .: , ...... •. .- ''t.-A
facility :'iiKgecti(bns
Federal Facility Inspections: With regard to federal facility inspections, as stated
in the EPA Federal Facility Compliance Strategy, November 1988, *.„ with the exception
of very limited presidential exemptions .- federal agencies must generally comply with ail
provisions of federal environmental statutes and regulations as wen as all applicable state
requirements.^. The state/tribe and region should agree on a plan to ensure adequate
inspection coverage of federal facilities in each state. In most cases the regional office will
negotiate a commitment for the recipient to conduct an agreed upon number of federal
facility inspections. These inspections should be sub-sets of the categories of inspections
routinely conducted and outlined above,
Comprehensive Inspections: It is expected that the states/tribes wiQ conduct
comprehensive inspections, addressing every element of each type of inspection. As part
of comprehensive inspections, we want to highlight the importance of specifically checking
for cancellations/suspensions, child resistant packaging and any labeling or other
requirements affecting groundwater, endangered species and worker protection,; once the
compliance dates are effective.
Strategies: States/tribes need to follow requirements related to inspections which
are included in national Compliance Monitoring Strategies.
In FY 92 EPA wiH be placing increased emphasis on follow-up of compliance
monitoring strategies through semi-annual evaluations and more frequent/detailed follow-
up after the issuance of specific compliance monitoring strategies. State/tribes should
continue to prepare narrative reports on the inspections and enforcement actions taken
as specified. In the applicable compliance monitoring strategies.
EPA Form 5700-33Hr EPA Form T 5700-33H must be ^completed and include
projections for the categories of inspections listed on the form, (Detailed instructions for
completing the form are in appendix XVII I.) ;
50
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Pesticide Guidance FY 92
InspeWdn Time frame's: "''•'Appendix"n'pnryAppir<:atibn: Review Procedures* contams
^:;"time--;;'&ames-. for inspection and sample collections/analyses to be used in evaluating
pestido^ During the application
negotiation t^ and analytical time- frames
Th^.;rare: i^-'s^e''^f^^"ia^d^'m-['0ic FY 91 guidance. During FY
need to be changed, if at all,
ta; aest^ffijfjg^related' compliance momtormg '(efforts.)
DoCTnttentaribri 'of Inspections: Thspectibns must
the procedures set forth in the updated EPA Pesticides Inspection Manual (or comparable
state procedures). \
• . . .-.- f.,,.,f .,.;.:;...•,.,•. f -,,>
Among other things, it is critical to ensure proper documentation of inspections
(affidavits, maps, photos, etc.). This has been recently identified as an area of concern in
several" states. States need to ensure that proper documentation is ^^ completed for each
inspection;
Inspection Reports: Copies of all inspectional reports shaD be retained: by the
state/tribe for a reasonable period of time, but at least until any associated enforcement
cases are resolved and closed, or untfl the close-out of a grant cycle. These reports must
be available for examination by EPA or be forwarded to the EPA regional office; EPA
Headquarters recommends that inspectional reports be retained for a minimum of three
years;
Applicants with partial or no enforcement capability must develop procedures for
forwarding inspection reports to EPA for enforcement determination and action. "These
procedures must be submitted for review with the cooperative agreement application' and
must be approved.
Lawn' Cut: Activities
A March 1990 GAO report entitled, "Lawn Care Pesticides: Risks Remain
Uncertain While Prohibited Safety Claims Continue", recommended that EPA pursue an
enforcement strategy for monitoring lawn care pesticide industry compliance with
m»bTanding and "claims differ" provisions of F1FRA section 12(a)(l)(B)' and (E).
The Environrnental Protection Agency has determined i that labeling claims like
"environment friendly", ^"environment 7 conscious1', • ; "chemicals "? "EPA;!; approved",
"environmentally sound", or the unsupported statement of biodegradable" constitute
misbrarKimg. These c^ms are £fo^ibited bemuse they
51
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Pesticide Guidance FY 92
Agency believes these terms are relative/ not
definite, and therefore could be misleading to the product user. A claim for a product
which, is substantially different from claims made for the product at the time of registration
constitute a- 12 (a)(l)(B) violation or labeling which meets the definition of False or
misleading under 40 CFR; Part 156.10 (a)(5) constitutes a 12 fa)(l)(E) violation,
-.^.vx.^.w..>-;v.^.xx/^,l^x*x*«x£>x^«>^
^
identified probleths^ to determine whether a Ibng-tetm lawn care enforcement strategy ;::is
• -- ••-. . ..-. . .•.-.. .-. . . .-.*: ,. ,-.'.-.: ....... . '. • ....... - - .• . ,- . . • ..... -.,... - ... • . ** . . ..... ..... - ...... . .•-•..- ..... -.- .• ......... •-•. . -. . .--• ...... *^*v. . -.-.
part' of ' the^ one-year F^J^ enforcement strategy,, .each; state: j«sticide
enfOTcemcnt grantee witt:
air:' possible ' literature from ; Lawn care pesticide registrantsi
manufacturers, distributors and professional applicators, and pesticide
advertisements in magazines, newspapers, and telephone yellow pages to
identify potential violations of FIFRA section 12(a)(l)(B) and (E). In the
course of doing so, potential violations of state advertising regulations and/or
the Federal Trade Commission (FTC) Act may be identified as well;
2) Maintain a log of the names, issues and/or dates of literature or airy
periodicals reviewed. (This is to be provided to Congress at the end of FY
92 to demonstrate the scope of the review.);
3) Identify potential violations of section 12 (a)(l)(B) and (E). Docurheht
enforcement actions or referrals as follows:
A~ Enforcement taken under section 12 (aXlX^) or (E) (Product
Violations)
B. Enforcement taken under state law
C Referral to FTC region (Service Violations)
D. Referral to other state agency
4) Refer to the FTC Regional offices, of appropriate state agencies, prohibited
safety claims made by professional pesticide applicators or any identified
violations of the FTC Act. A Brief background information is included in
appenda XXn. Additibnal ^formation win also '"be ." deluded" :; in"; the
compliance raonitoring guidance to be issued
5) :; Within the category of ' npn-a^^
52
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Pesticide Guidance FY 92
^ a specific number of lawn
care use inspections, e.g. professional and private applicators, golf courses
and turf farms. The number of lawn care inspections should be no less than
. .- . . . . ...> ....._ . . ._ ., _•_..- . . , : . .-. . -.•: : '-, .• -.• . ..... •.-.-.• - •• .-.- • .- •. . . . ..-.- ••.-..-..•--..- * -. *
tea (10} in a state and 'be'.wirfjlett;.into;.the cooperative agreement
fee "states: will "submit" ~
dbamentation^^^pni^^of^^p^sa^lni^a^^ will be the number
brTihspeciton*:'fpi|pfflbg:''6Ti:;'ik^:'care/;'M of the end of the second quarter,
any enforcement actions taken under FIFRA or state laws, and any referrals
to FTQstate agency as of that:;'datcZ:;..Tbe data for the third and fourth
quarters of FY 92 will be submitted with the" fourth quarter report on
inspections. To facilitate consistency in documentation, the states should
create a format similar to appendix XXIII documenting the results of their
activities. The appendix contains the acceptable minimumrequirements for
a log;
To facilirate these use Inspections and the aforementioned review of advertising and
periodicals, separate FY 92 compliance monitoring guidance will be sent to the States*
through the Regions, during FY91. The results of the FY 92 initiative will be analyzed
and distributed during the second quarter of FY 93.
Producer Establishment Inspections: An agreed' upon number of routine producer
establishment inspections should be negotiated with the region: so that a]} producer
establishments in any given state are inspected over a specified time-frame on a routine
basis;
5. Quality Assurance
Applicants are responsible for analytical activities under their compliance
cooperative agreements and therefore must establish 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 FY 92
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. For FY 91 every recipient
which did not update their QA plan in FY 90 was required to review and update their
plan (as appropriate) and resubmit it to the regional QA officer for approval by the end
of FY 91. Therefore, we would expect, in the majority of rava, submittal of updated
pages or the entire updated plan during the first month of FY 92.
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 (CIPAC), 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.
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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 FIFRA 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 FIFRA 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 will be referred to the state/tribe for information purposes and will not be
formally tracked.
The EPA regional offices will formally track all significant pesticide use cases, which
are formally referred to the states/tribes under the Final Interpretive Rule governing
FIFRA Sections 26 and 27. The state/tribe must commence appropriate enforcement
57
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Pesticide Guidance FY 92
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 expeditiously to the referral; and (3)
documented all inculpatory or exculpatory events or information.
If the region determines that the intended enforcement response to the violation
is inappropriate, EPA will first attempt to negotiate an 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 will 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.
It is understood that most states have pesticide laws and regulations in places
However, many states do not have civil penalty authority. Such states are encouraged to
take the necessary steps to develop a civil penalty program and set a goal for completion
of the law/regulations. Enforcement grant funds can be used toward this effort based on
Hi
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Pesticide Guidance FY 92
a. Enforcement Response Policy
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.
In their applications, states/tribes must agree to follow their ERPs. The regions and
applicants should closely monitor the implementation of each state's/tribe's Enforcement
Response Policy to determine its effectiveness and appropriateness. (If the SLA does not
fbQow the ERP, then this problem must be addressed during the semi-annual evaluations.)
A properly prepared Enforcement Response Policy (ERP) wfll provide the applicant with
a mechanism to evaluate the gravity of each violation encountered, and to respond in a
predictable, uniform, and timely manner with an appropriate enforcement action.
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.
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Pesticide Guidance FY 92
^
applicants are encouraged to consider potential pollution prevention activities which a
violator coold undertake in; exchange far an appropmte reduction in the enforcement
penalty. States are also encouraged to consider the Inclusion of single or cross-media
pc&uiioa prevention conditions, as either the means of coricc^^ the violation or as
addiiibaarcona^^ to injunctrve relict Such conditions are appropriate when
they discourage recurr^ cross-media impacts, and
technologically 5»^ r^noinK^rcy feasible;
b. Case Development
As part of their work programs, applicants with enforcement capability are
responsible for preparing cases and taking appropriate enforcement actions.
Applicants with partial or no enforcement capability must develop procedures for
forwarding inspection reports to EPA for enforcement determination and action. These
procedures must be submitted with the Cooperative agreement application for review and
approval.
Once an applicant chooses to develop a pesticide law or code, standardized case
preparation and enforcement procedures should be developed concurrently with the law
or code. These procedures must be developed according to a time line mutually agreed
upon between the applicant and EPA, and cited in the cooperative agreement prior to
approval of the agreement.
The review of all inspection reports for the detection of possible violations and the
initiation of appropriate enforcement action, is an important part of every comprehensive
pesticide enforcement program. Applicants with enforcement capability will review the
quality and adequacy of evidence gathered during the course of all investigatory activities
performed under the cooperative agreement. Each cooperative agreement should include
sufficient resources, for this activity, to ensure an adequate level of case development and
enforcement. Violations of the applicant's and federal laws are discussed below.
1. Violations of Applicant's Law Only
The state/tribe must review the quality and sufficiency of evidence gathered in the
course of all investigative activities performed under the cooperative agreement. If the
evidence reveals a violation of only the state's/tribe's pesticide laws/codes, the state/tribe
shall pursue an appropriate remedy provided by state/tribal Law.
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Pesticide Guidance FY 92
2. Violations of Federal Law Only
tniioramtion to the EPA Regional Program Office within 30 days after
of the inyestigationL An cases- forwarded to EPA shall include aH evidence,
reports and/or fibrins, a Di^ynarTatiw-^bf : tbe::''casey and a recommended
enfbrceineot respond time frames for
processing state irfen^Is and a tracking system for referrak to the states. Regions are
encouraged to provide status reports to states/tribes on cases referred;
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 officer 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.
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Pesticide Guidance FY 92
The applicant win establ^
mspections, violations found, and enforcement actions initiatird. The traddcg system
sbouJd, at a minfrmim, uTcIucfe the fpnowing dements:
- Reason for inspection
complaint)
- Name of person or firm inspected
• Violation found
- Summary of past compliance history (or reference
to an appropriate case file number)
. Enforcement action taken
- Date of enforcement actions
- Disposition of action
The tracking system must constitute a system for allowing the rapid identification
of the status of a case and an information resource for informing citizens of the ultimate
dispo&itkm of their complaints.
Maintenance of the tracking documents and associated files and the length of time
that such fOes wOl be maintained must be addressed in the cooperative agreement work
program*
New applicants must submit a description of the tracking system with their
cooperative agreement application and the system must be evident within three months
of the start of the project period.
Under the aforementioned or a separate tracking system, states/tribes will document
and track the inspections, violations found and enforcement actions taken in follow-up to
cancellations and suspensions of pesticides. Reports win be prepared on the inspections
and enforcement actions taken after the suspensions and cancellations as specified in the
applicable compliance monitoring strategies.
9. Reporting
Applicants need to use EPA Form 5700-33H (in appendix XVIII) for reporting
inspection and sample collection accomplishments under the FIFRA Enforcement
Cooperative Agreement. A narrative report may need to accompany the revised reporting
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Pesticide Guidance • FY 92
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. States:;;witli::fis
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Pesticide Guidance FY 92
Agreement Program, It win be drcalated to the EPA regions''forcomment p^^
ft "ijlft 1^ &&f^ j
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.
V. AT JjQTMFNT 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 515,803,400 for funding the cooperative enforcement
program. This is the same funding level as that received in FT 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 "a" and "b" below.
Sections "a" and "b" 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 will 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 SI million budget for groundwater, endangered species and
worker protection enforcement related activities is discussed under section 4.
A,1 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.
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Pesticide Guidance FY 92
The FY 92 enforcement base funding level will 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 total 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
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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 52,000,000 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
520,000 for 'each participating state.
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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 5579,600.
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, OP P.
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
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Pesticide Guidance FY 92
Schedule for the worker protection enforcement component is provided at
the end of this section.
C 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
Part 35.155(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 mid-year 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. Regional 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
II: $52,900 VII: $93,800
III: $87,600 VIII: $90,700
IV: $201,300 IX: $95,600
V: $149,000 X: $58,800
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Pesticide Guidance FY 92
The regions will 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 will not initiate an FY 92 process for national enforcement
special projects.
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Pesticide Guidance FY 92
VL SUMMARY OF FY 92 COOPERATIVE AGREEMENT ALLOTMENTS
71
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••SUMMARY OF Ft,
COOPERATIVE AGREEMENT ALLOTMENTS"
EPA Region/
State
Region 1
Connecticut
Massachusetts
Maine
Hew Hampshire
Rhode Island
Vermont
Discretionary
SUBTOTAL:
Region II
New Jersey
New York
Puerto Rico
Virgin Islands
Discretionary
SUBTOTAL:
Region III
Dist. of Col.
Delaware
Maryland
Pennsylvania
Virginia
West Virginia
Discretionary
SUBTOTAL:
ENFORCEMENT
ACTIVITIES
(A)
ENFORCEMENT
HO, 500. 00
161.100.00
126,600.00
120.200.00
119.400.00
120.000.00
0.00
•788.000.00
207.600.00
369.900.00
160.300.00
56,700.00
0.00
1794,500. 00
113,400.00
120,200.00
169,600.00
253,600.00
218,900.00
142,500.00
0.00
$1.048,200.00
(B)
WORKER
PROTECTION
ENFORCEMENT
(0S-15X Mtching
23.500.00
24.600.00
23.500.00
21,600.00
20.000.00
21,900.00
0.00
S135.100.00
28,600.00
43,100.00
22,800.00
10,200.00
0.00
1104,700.00
20,200.00
21,200.00
.25.900.00
38.600.00
32,400.00
23,600.00
0.00
1161,900.00
(C)
SUBTOTAL
FOR
ENFORCEMENT
grant)
164.000.00
185,700.00
150.300.00
141.800.00
139,400.00
141,900.00
73.900.00
1997,000.00
236.200.00
413.000.00
183.100.00
66,900.00
52,900.00
1952,100.00
133,600.00
141.400.00
195,500.00
322.200.00
251.300.00
166.100.00
87.600.00
11.297.700.00
CERTIFICATION
ACTIVITIES
(0)
CERTIFICATION
PROGRAM
(50-50* Matching
28.700.00
31.400.00
35.700.00
25,200.00
25,700.00
28,700.00
7.700.00
1183.100.00
50.900.00
97.900.00
44.800.00
26.100.00
23.200.00
1242,900.00
24.200.00
36.700.00
52.500.00
133.300.00
56,000.00
43,600.00
37,800.00
1384,100.00
(E)
UORKER
PROTECTION
PROGRAM
grant)
20,800.00
20,800.00
20,800.00
20,800.00
20,800.00
20,800.00
25,000.00
1149,800.00
20.800.00
20.800.00
15.000.00
15,000.00
25,000.00
196,600.00
10,000.00
20,800.00
20,800.00
20,800.00
20,800.00
20,800.00
25,000.00
1139,000.00
(F)
CROUNDUATER
PROGRAM
GEOGRAPHICAL
AREA ALLOCATION
(85-15X Mtching
51.000.00
51.000.00
53.000.00
50,000.00
50,000.00
51,000.00
26,800.00
1332.800.00
54,000.00
73,000.00
30,000.00
10,000.00
14.400.00
1181,400.00
10.000.00
61.000.00
72.000.00
73.000.00
82,000.00
52,000.00
30,400.00
1380.400.00
PESTICIDE PROGRAM
ACTIVITIES
(G)
ENDANGERED
SPECIES
PROGRAM
grant)
,000.00
.000.00
.000.00
.000.00
,000.00
.000.00
0.00
130,000.00
5,000.00
5. 000. 00
20.000.00
1.000.00
28,700.00
159.700.00
5. 000. 00
5.000.00
5,000.00
5, 000. 00
5.000.00
5,000.00
0.00
130,000.00
(H)
SUBTOTAL Of
PESTICIDE
PROGRAMS
(UP. CU, ES)
76,800.00
76,800.00
78,800.00
75.800.00
75.800.00
76,800.00
51,800.00
1512.600.00
79.800.00
98.800.00
65,000.00
26.000.00
68,100.00
$337.700.00
25.000.00
86,800.00
97.800.00
98,800.00
107.800.00
77.800.00
55,400.00
1549.400.00
(1)
TOTAL
FOR ALL
PROGRAMS
269,500.00
293,900.00
264,800.00
242.800.00
240.900.00
247,400.00
133.400.00
11,692,700.00
366,900.00
609.700.00
292,900.00
119,000.00
144,200.00
11,532,700.00
182,800.00
264.900.00
345,800.00
554.300.00
415,100.00
287,500.00
180,800.00
12,231.200.00
page 72
-------
••SUMMARY OF fY
ERATIVE AGREEMENT ALLOTMENTS"
EPA Region/
State
Region IV
Alabama
Florida
Georgia
Kentucky
Mississippi
North Carolina
South Carolina
Tennessee
Discretionary
SUBTOTAL:
Region V
Illinois
Indiana
Michigan
Minnesota
Ohio
Wisconsin
Discretionary
SUBTOTAL:
Region VI
Arkansas
Louisiana
New Mexico
Ok 1 ahorna
Texas
Discretionary
SUBTOTAL:
(A)
ENFORCEMENT
(85-
202,600.00
376,700.00
244,200.00
270,000.00
181,700.00
279,900.00
173,300.00
264,600.00
0.00
$1, 993. 200. 00
402.500.00
289,600.00
263,000.00
309,000.00
330,600.00
275.600.00
0.00
»1. 870. 300. 00
171,300.00
200,800.00
134,800.00
206.400.00
427.700.00
0.00
$1,141.000.00
(B)
UOAKER
PROTECTION
ENFORCEMENT
15X Matching
29,600.00
45,700.00
31,400.00
41.400.00
27,400.00
42,600.00
26,600.00
38,400.00
0.00
1283,100.00
37,100.00
32,600.00
35,000.00
37,300.00
38,100.00
37,500.00
0.00
S217.600.00
43,000.00
30,000.00
22,900.00
30.300.00
60.000.00
0.00
(166,200. 00
(C)
SUBTOTAL
FOR
ENFORCEMENT
grant)
232.400.00
422.400.00
275.600.00
311.400.00
209,100.00
322,500.00
199,900.00
303.000.00
201,300.00
$2,477.600.00
439.600.00
322.200.00
298,000.00
346,300.00
368,700.00
313.100.00
149,000.00
$2,236,900.00
214.300.00
230,800.00
157.700.00
236,700.00
487,700.00
96,400.00
$1,423.600.00
(D)
CERTIFICATION
PROGRAM
(50-50X Matching
53,300.00
50.400.00
54,000.00
91.300.00
46,500.00
86,700.00
39,900.00
63,700.00
58,200.00
$564.000.00
86.100.00
58.700.00
67.600.00
134,100.00
110,200.00
68.400.00
69,400.00
$594,700.00
60,200.00
76.900.00
26.800.00
52.800.00
118,500.00
39.700.00
$374,900.00
(E)
WORKER
PROTECTION
PROGRAM
grant)
20.600.00
20.600.00
20.600.00
20.600.00
20.600.00
20.600.00
20.800.00
20.600.00
25.000.00
$191,400.00
20.600.00
20.600.00
20.600.00
20.600.00
20,600.00
20,600.00
25,000.00
$149.600.00
20.600.00
20,800.00
20,600.00
20.800.00
20.800.00
25,000.00
$129.000.00
(f)
GROUNDUAIER
PROGRAM
GEOGRAPHICAL
(85-15X natching
115.000.00
163.000.00
196,000.00
103,000.00
106,000.00
147,000.00
110,000.00
90.000.00
69,600.00
$1,119,600.00
162,000.00
152,000.00
100.000.00
155.000.00
98.000.00
92.000.00
66.000.00
$825,000.00
117.000.00
116,000.00
53.000.00
71,000.00
108.000.00
40,400.00
$505.400.00
(C)
ENDANGERED
SPECIES
PROGRAM
grants)
15. 000. 00
25,000.00
20.000.00
15,000.00
5,000.00
15,000.00
15.000.00
20,000.00
201,000.00
S331.000.00
5,000.00
5, 000. 00
5.000.00
5,000.00
5,000.00
5,000.00
0.00
$30,000.00
15,000.00
5.000.00
20,000.00
5.000.00
25,000.00
143,600.00
$213,600.00
(H)
SUBTOTAL FOR
PESTICIDE
PROGRAMS
150.800.00
208,600.00
236,600.00
138,800.00
131,600. 00
182,800.00
145,800.00
130,800.00
315,600.00
$1,642.000.00
187,600.00
177,600.00
125,800.00
160,800.00
123.800.00
117,800.00
91,000.00
SI. 004, 600. 00
152,600.00
141,600.00
93.600.00
96,600.00
153,800.00
209,000.00
$848,000.00
(1)
TOTAL
FOR ALL
PROGRAMS
421,400.00
647,300.00
566,600.00
528.200.00
389.600.00
564.100.00
390.500.00
465.000.00
613,600.00
$4,626,700.00
704,500.00
560,600.00
468,600.00
597,000.00
566,900.00
486,100.00
309,500.00
$3,693,200.00
423,200.00
466,700.00
286.200.00
387,600.00
875.700.00
332,500.00
$2,771,900.00
page 73
-------
••SUMMARY OF FY 92 COOPERATIVE AGREEMENT ALLOTMENTS**
EPA Region/
State
Region VII
Iowa
Kansas
Missouri
Nebraska
Discretionary
SUBTOTAL:
Region VIII
Tribes
Colorado/Fed.
Colorado/St.
Montana
North Dakota
South Dakota
Utah
Wyoming
Discretionary
SUBTOTAL:
ENFORCEMENT
ACTIVITIES
(A)
ENFORCEMENT
(85-15X matching
299,400.00
2U.700.00
30S.OOO.OO
0.00
0.00
$841,100.00
140,500.00
0.00
169.700.00
151,500.00
256,300.00
174,700.00
141.200.00
0.00
0.00
$1.033,900.00
(B)
WORKER
PROTECTION
ENFORCEMENT
grant)
39.200.00
30,800.00
35,800.00
0.00
0.00
S105.800.00
28,100.00
0.00
26,200.00
24,400.00
35,000.00
26,100.00
23.700.00
0.00
0.00
S163.500.00
(C)
SUBTOTAL
FOR
ENFORCEMENT
338,600.00
269,500.00
33a.aoo.oo
195,200.00
93,800.00
$1,235,900.00
168.600.00
10/. IUO.OO
195,900.00
175.900.00
291.300.00
200,800.00
164,900.00
0.00
90.700.00
$1,395.200.00
CERTIFICATION
ACTIVITIES
(0)
CERTIFICATION
PROGRAM
(50- SOX Matching
114.700.00
51.100.00
73.900.00
119.000.00
30.700.00
$389,400.00
0.00
57.000.00
17,000.00
39.000.00
55.500.00
63.400.00
35,400.00
30,500.00
20,100.00
$317,900.00
PESTICIDE PROGRAM
(E)
WORKER
PROTECTION
PROGRAM
grant)
20.800.00
20.600.00
20.800.00
20.800.00
25,000.00
$108.200.00
56,000.00
0.00
20,800.00
20,800.00
20,800.00
20,800.00
20,800.00
20,800.00
25,000.00
$205.800.00
(F)
GROUkO WATER
PROGRAM
GEOGRAPHICAL
AREA ALLOCATION
(B5-15X matching
205,000.00
120,000.00
100,000.00
121,000.00
47,600.00
$593,600.00
(2)
0.00
65,000.00
69.000.00
103,000.00
75,000.00
51.000.00
52.000.00
36,000.00
$451,000.00
ACTIVITIES
(C)
ENDANGERED
SPECIES
PROGRAM
grant)
5, 000. 00
15,000.00
15, 000. 00
15,000.00
114,900.00
$164,900.00
0.00
0.00
15,000.00
5.000.00
5,000.00
15,000.00
20,000.00
5.000.00
114,900.00
$179,900.00
(H)
SU8TOTAL FOR
PESTICIDE
PROGRAMS
(UP, CU. ES)
230,800.00
155,800.00
135,800.00
156,800.00
187,500.00
$866,700.00
56,000.00
0.00
100,800.00
94,800.00
128.800.00
110,800.00
91.800.00
77,800.00
175.900.00
$836,700.00
(1)
TOTAL
FOR ALL
PROGRAMS
684,100.00
476.400.00
548.500.00
471.000.00
312.000.00
$2.492.000.00
224,600.00
164,100.00
313,700.00
309,700.00
475.600.00
375,000.00
292,100.00
108,300.00
297,300.00
$2,560,400.00
page 74
-------
"SUMMARY OF FY 92 COOPERATIVE AGREEMENT ALLOTMENTS**
EPA Region/
State
Region IX
Arizona/ITC (1)
Ariiona
California
Hawaii
Nevada
Navahoe Tribe
Pacific 1 glands
Ainer. Samoa g
Guam
CNMI (1)
Trust Terr.
Discretionary
SUBTOTAL:
Region X
Alaska
Idaho
Oregon
Shoshooe-Banooc
Washington
Discretionary
SUBTOTAL:
"GRAND TOTAL**
(A)
ENFORCEMENT
280,000.00
156,600.00
497,100.00
124,600.00
121,100.00
81,500.00
(3)
28,500.00
42,600.00
28,500.00
22,300.00
0.00
$1, 332, 000. 00
112,000.00
174,700.00
183,000.00
30.000.00
224,600.00
0.00
$724,300.00
S11.566.500.00
(B)
WORKER
PROTECTION
ENFORCEMENT
67,200.00
23.500.00
67,400.00
25,500.00
20,700.00
9.800.00
(3)
5,100.00
7.700.00
5,100.00
4,000.00
0.00
1.226, 900. 00
20.500.00
29.300.00
34,300.00
5,400.00
38.300.00
0.00
S127.800.00
$1,712.600.00
(C)
SUBTOTAL
FOB
ENFORCEMENT
347.200.00
180.100.00
564.500.00
150.100.00
141.800.00
91,300.00
(3)
33,600.00
50,300.00
33.600.00
26,300.00
95.600.00
$1,558,900.00
132,500.00
204,000.00
217.300.00
35.400.00
262,900.00
58.800.00
$910,900.00
$13,279.100.00
(0)
CERTIFICATION
PROGRAM
0.00
54.200.00
171.800.00
26.100.00
25,700.00
0.00
23,000.00
(4)
(4)
(4)
(4)
33.500.00
$334,300.00
24.900.00
41,900.00
45,200.00
0.00
58,200.00
14,500.00
$184,700.00
$3,570.000.00
(E)
WORKER
PROTECTION
PROGRAM
72,000.00
20.800.00
20,600.00
20.800.00
20.800.00
8.000.00
26.000.00
(4)
(4)
(4)
(4)
25,000.00
$214,200.00
20.800.00
20.800.00
20.800.00
8,000.00
20,800.00
25.000.00
$116,200.00
$1,500,000.00
page 75
(F)
GROUNOUATER
PROGRAM
GEOGRPAHICAL
AREA ALLOCATION
(2)
52,000.00
85,000.00
96,000.00
50.000.00
(2)
50,000.00
(4)
(4)
(4)
(4)
28,800.00
$361,800.00
50,000.00
' 59.000.00
54.000.00
(2)
66.000.00
20,000.00
$249,000.00
$5,000,000.00
(G)
ENDANGERED
SPECIES
PROGRAM
0.00
20,000.00
25,000.00
15,000.00
S. 000. 00
0.00
11,000.00
(4)
(4)
(4)
CO
114,900.00
$190,900.00
5,000.00
5.000.00
5.000.00
0.00
5,000.00
0.00
$20,000.00
$1,250,000.00
(N)
SUBTOTAL FOR
PESTICIDE
PROGRAMS
(WP. GU, ES)
72.000.00
92.800.00
130,800.00
131,800.00
75,800.00
8,000.00
87.000.00
(4)
(4)
(4)
(4)
168,700.00
$766,900.00
75,800.00
84,800.00
79,800.00
8,000.00
91,800.00
45,000.00
$385,200.00
$7,750,000.00
(1)
TOTAL
FOR ALL
PROGRAMS
419,200.00
327,100.00
867,100.00
308,000.00
243,300.00
99,300.00
110.000.00
33,600.00
50,300.00
33,600.00
26,300.00
297,800.00
$2,457.900.00
234.800.00
341.100.00
335.800.00
38,000.00
448,100.00
120.600.00
$1.518.400.00
$24,599,100.00
-------
"SUMMARY OF Ft 92 COOPERATIVE AGREEMENT ALLOTMENTS**
NOTE:
(1) CNMI-Council of the Northern Marian* Islands; Arizona/IIC-lntertribal Council of Ariiona
(2) See Appendix XXI
(3) See individual Pacific Island entitle* for enforcement grant amounts
(O A tingle grant is issued for the Pacific Island entities as a group
page 76
-------
FY92 PI7RA CONSOLIDATED COOPERATIVE AGREEMENT
APPENDICES
I. Standard Application Form-424 and instructions
II. Application Review Procedures
III. Responsibilities and Requirements Associated with
Application Review Procedures
IV. Draft Outlines for Mid-Year and End-of-Year
Evaluations
V. Optional EPA State Enforcement Application Review
Checklist
VI. Time Line
VII. Regional EPA Application Review Checklist
VIII. Sample Core Enforcement Work Program for FY92
IX. Example of Partially Completed Application Form
Showing 3 Individual Budget Components on ONE
Application Form, SF-424
X. EPA's Public Participation Policy, January 19, 1981,
Fed. Reg. 5736
XI. 40 CFR 31.30
XII. Drug-Free Work Place Requirements
XIII. Contents of Annual State Plan Reports
XIV. Two Outlines for State Use for OCM's Compliance
Monitoring Strategy and OPP's Implementation
Strategy
XV. Pesticide Export Requirements
XVI. NEIC Model QA Project Plan for Pesticide Sampling
and Analytical Activities
XVII. EPA Cross Contamination Guidelines
XVIII. EPA Form 5700-33H and Guidelines
XIX. Outline and Model of Priority-Setting Plans
-------
Appendices (continued)
XX. Office of Compliance Monitoring Pesticide
Enforcement Grants State Statistical Data
XXI. Regional Allocations for Ground Water, Endangered
Species, Worker Protection Enforcement Related
Activities
XXII. Background Information on EPA and FTC Authorities
Relating to Lawn Care
XIII. Example of a Lawn Care Violation Log
XXIV. Funding for Pesticide Program Activities
-------
Pesticide Guidance 7T92
(Revised January 1989)
APPLICATION FOR FEDERAL ASSISTANCE
All applicants applying for federal funding of Pesticides
Compliance Cooperative Agreements must use the Application For
Federal Assistance - Standard Fora 424 (Revised 4/88)
Also included in this appendix is a partially completed application
fora showing how the individual components of the consolidated
application can be shown separately in Section A-D on Standard Form
424A.
Appendix I
-------
APPUCATION FOr
FEDERAL ASSISTANCE
«w-in.
o**i AMT«V»I N«. om aao
i
W»«0«
Q CwmruetJOP
^^ **OW^CO^iTff^Ct*OW
a
a
A0or*u <0r*« ci/y count* it*/* a*tf .-0 cow*.
o» "»• aaraon to aa ooftactao on manai
Q Naw Q
A
• Ci»«*»i
C
0
€
i SIM* Cor
J
M—n
Manuua^ o*
i«*Tar rorxi MSTOT «* i
AM mufl AM Mttma. TMC OOCUMCMT >uu IOM «*»
-r^^A^^a^,.^
Appendix I
.r,M
e T«>»o*of« nuwoar
2
-------
INSTRUCTIONS FOR THE SF 424
is • standard form used by applicants as a required facesheet Tor prtappiications and applications submitted
eral assistance. It will b« used by Fedtral agencies to obtain applicant etrtifleation that Suits which have
d a review and comment procedure in response to Executive Order 12372 and hav« selected the program
3 be included in their process, have been given an opportunity to review the applicant's submission.
tern:
Entrv.
Item:
Entrv:
1. Self-explanatory
2. Date application submitted to Federal agency (or
State if applicable) & applicant's control number
(if applicable).
3. State use only (if applicable).
1. If this application is to continue or revise an
existing award, enter present Federal identifier
number If for a new project, leave blank.
». Legal name of applicant, name of primary
organizational unit which will undertake the
assistance activity, complete address of the
applicant, and name and telephone number of the
. person to contact on matters related to this
application.
Enter Employer Identification Number (EIN) as
assigned by the Internal Revenue Service.
ter the appropriate, letter in the space
' 'ided.
Ent<
•v
Check appropriate box and enter appropriate
letter(s) in the spacers) provided:
— "New" mean's a new assistance award.
— "Continuation" means an extension for an
additional funding/budget period for a project
with a projected completion date.
— "Revision" means any change in the Federal
Government's financial obligation or
contingent liability from an existing
obligation.
>. Name of Federal agency from which assistance is
being requested with this application,
). Use the Catalog of Federal Domestic Assistance
number and title o/ the program under which
assistance is requested.
. Enter a brief descriptive title of the project, if
more than one program is involved, you should
append an explanation on a separate sheet. If
appropriate (e.g., construction or real property
projects), attach a map showing project location.
preapplications, use a separate sheet to
a summary description of this project.
12. List only the largest political entities affected
(e.g.. State, counties, cities)
13. Self-explanatory
14. List the applicant's Congressional District *nd
any Districts) affected by the program or project
IS. Amount requested or to be contributed during
the first funding/budget period by tdch
contributor. Value of in-kind contributions
should be included on appropriate lines as
applicable. If the action will result in a dollar
change :o an existing award, indicate on/y the
araoun: of the change. For decreases, enclose the
amounts in parentheses. If both basic and
supplemental amounts are included, show
breakdown on an attached sheet. For multiple
program funding, use totals and show breakdown
using same categories as item 15.
16. Applicants should contact the State Single Point
of Contact (SPOC) for Federal Executive Order
12372 to determine whether the application is
subject to the State intergovernmental review
process.
17. This question applies to the applicant organi-
zation, not the person who signs as the
authorized representative. Categories of debt
include delinquent audit disallowances, loans
and taxes.
18. To be signed by the authorized representative of
the applicant. A copy of the governing body's
authorization for you to sign this application as
official representative must be on file in the
applicant's office. (Certain Federal agencies may
require that this authorization be submitted as
part of the application.)
Appendix I
424
9*c«
-------
BUDGET INFORMATION — Non-Construction Programs
SI CltOtt A - tUOCI I iUMMAMV
k IOTAIS (turn of *• «nd tj)
-------
SECTION C - NON^EDERAL RESOURCES
(•) Grtnl Pntffrwn
a.
•-
i.
11.
11. fOfAlS (tumofhfl*ttMi4l1)
11. fedwal
,4 »-**,.,
IS. f OTA1 (turn of Iwwt 1 1 *nd 1 4)
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SECTION F - OTHER RUDGE T INFORMATION
(AitAih Adtlilton^l Sh«li if N*«iMiy)
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-------
resticiae Guidance
INSTRUCTIONS FOR THE SF-424A
General Instructions
This form is designed so that application can b« mad*
for funds from ont or more grant programs. In pre-
paring the budget, adhere to any existing Federal
grantor agency guidelines which prescribe) how and
whether budgeted amounts should be separately
shown for different functions or activities within the
program. For some programs, grantor agencies; may
require budgets to be separately shown by function or
activity For other programs, grantor agencies may
require a breakdown by function or activity. Sections
A.B.C. and 0 should include budget estimate* for the
whole project except when applying for assistance
which requires Federal authorization in annual or
ocner funding period increments, (n the latter case.
Sections A.B. C. and 0 should provide the budget for
the first budget period (usually a year) and Section E
should present the need for Federal assistance in the
subsequent budget periods. All application* should
contain a breakdown by the object class categories
shov»n in Lines a-k of Section 3.
Section A. Budget Summary
Lines 1-4. Columns (a) aad (b)
For applications pertaining to a tinglt Federal grant
program (Federal Domestic Assistance Catalog
number) and not squiring a functional or activity
breakdown, enter on Line I under Column (a) the
catalog program title and the catalog number in
Column (b).
For applications pertaining to a linglt program
requiring budget amounts by multiple functions or
activities, enter the name of each activity or function
on each line in Column (a), and enter the catalog num-
ber in Column (b). For applications pertaining to mul-
tiple pr* —ams where none of the programs require a
breakdown by function or activity, enter the catalog
program title on each line in Column (a) and the
respective catalog number on each line in Column (b).
For applications pertaining to muUipU programs
where one T more programs require a breakdown by
function or activity, prepare a separate sheet for each
program requiring the breakdown. Additional sheets
should be used when one form does not provide
adequate space for all breakdown of data required.
However, when more than one sheet is used, the first
page should provide the summary totals by programs.
Lines 1-4. Columns (c) through (g.)
For new applications, leave Columns (e) and (d) blank.
For each line entry in Columns (a) and (b). enter in
Columns (e). (f). and (g) the appropriate amounts of
funds needed to support the project for the first
funding period (usually a year).
Uaee 1-4. Columns (e) through (f.) (continued)
For continuing grant program appiicatiant, submit
these forms before the end of tach funding period as
required by the grantor agency. Enter in Columns (c)
and (d) the estimated amounts of funds which will
remain unobligated at the end of the grant funding
period only if the Federal grantor agency instructions
provide for this. Otherwise. leave these columns
blank. Enter in columns (e) and (f) the amounts of
funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in
Columns (e) and (f).
For luppltmentai grant* and enangtt to existing
grants, do not use Columns (c) and (d). Enter in
Column (e) the amount of the increase or decrease of
Federal funds and enter in Column (0 the amount of
the increase or decrease of non-Federal funds. In
Column (g) tnter the new total budgeted amount
(Federal and non-Federal) which includes the total
previous authorized budgeted amounts plus or minus.
as appropriate, the amounts shown in Columns (e) and
(f). The amount(s) in Column (g) should not equal the
sum of amounts in Columns (e) and (f).
Line 3 — Show the totals for all columns used.
Section B Budget Categories
In the column headings (I) through (4), enter the titles
of the same programs, functions, and activities shown
on Lines 1-4. Column (a). Section A. When additional
sheets are prepared for Section A. -provide similar
column headings on each sheet. For each program.
function or activity, fill in the total requirements for
funds (both Federal and non-Federal) by object class
categories.
Lines 6a-l — Show the totals of Lines 8a to 6h in each
column.
Line 6j - Show the amount of indirect cost.
Line 6k - Enter the total of amounts on Lines 6i and
6j. For all applications for new grants and
continuation grants the total amount in column (5),
Line 6k. shouldJbe the same as the total amount shown
in Section A, Column (g). Line 5. For supplemental
grants and changes to grants, the total amount of the
increase or decrease as shown in Columns (IM4). Line
6k should be the same as the sum of the amounts in
Section A. Columns (e) and (f) on Line 5.
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INSTRUCTIONS FOR THE SF-424A (continued)
line 7 - Enur the estimated amount of income, if any.
expected to be generated from this project. Do not odd
ojsjubtract this amount from the total projoct amount.
sVKr undtr th« program narrative statement the
naturt and souret of income. Tht estimated amount of
program income may b« considered by tht ftdtral
grantor agency in determining the total amount of the
grant.
Section C. Non-Federal-Resource* . .
Lines S-U - Enter amounts of non- Federal reeourees
that will be used on the grant If in-kind contributions
are included, provide a brief explanation on a separate
sheet.
Column (a) - Enter the program titles identical
to Column (a). Section A. A breakdown by
function or activity is not necessary.
Column (b) - Enter the contribution to be made
by the applicant.
Column (c) - Enter the amount of the State's
cash and in-kind contribution if the applicant is
not a State or State agency. Applicants which are
a State or State agencies should leave this
column blank.
Column (d) - Enter the amount of cash and in-
kind contributions to be made from all other
Sources.
Column (e) - Enter totals of Columns (b). (c). and
(d).
Line 12 — Enter the total for each of Columns (bMe).
The amount in Column (e) should be tquai to the
amount on Line 5. Column (0. Section A.
Section D Forecasted Cash Needs
Line 13 - Enter v t amount of cash needed by quarter
from the grantor agtncy during the first ytar.
Line 14 - Enter the amount of cash from all other
sources needed by quarter during the first year.
Line IS - Enter the totals of amounts on Lines 13 and
I*.
Section E. Budget Estimates of Federal Funds
Needed for Balance of the Project
Unee 16 • If - Enter in Column (a) the same grant
program titles shown in Column (a). Section A. A
breakdown by function or activity is not necessary For
new applications and continuation grant applications.
enter in the proper columns amounts of Federal funds
which will be needed to complete the program or
project over the succeeding funding periods (usually in
years). This section need not be completed for revisions
(amendments, changes, or supplements) to funds for
the current year of txisting grants.
[f more than four lines are needed to list the program
titles, submit additional schedules as necessary.
Line 20 - Enter the total for tach of the Columns (bi-
te). When additional schedules are prepared for this
Section, annotate accordingly and show the ovtrall
totals on this line.
Section F. Other Budget Information
Lin* 21 - Use this space to explain amounts for
individual direct object-class cost categories that may
appear to be out of the ordinary or to explain the
details as required by the Federal grantor agency.
Line 22 - Enter the type of Indirect rate (provisional,
predetermined, final or fixed) that will be in effect
during the funding period, tho estimated amount of
the base to which the rate is applied, and the total
indirect expense.
Line 23 - Provide any other explanations or comments
deemed necessary.
Vppendix I
SF 424A (4-dS)
7
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esticiae ouicance
OM*
ASSURANCES — NOH-CONSTRUCTION PROGRAMS
Certain of th*** assurances may not be applicable to your project or program. If you have auctions,
pitas* contact th* awarding agency Furthtr. certain Federal awarding agencies may rtquirt applicants
to certify to ifUH Mortal assurances. If such is th* cas*. you will b« notified.
\5 th ? duly authorized representative of th* applicant I e«rtify that the applicant:
Has the legal authority to apply for Federal
assistance, and tht institutional, managerial and
al capability (includiaf funds sufficient to
th* non-Federal share of project costs) to
ensure proper planning, management and com*
aletion of th* project described in this application.
wtll five th* awarding agency, th* Comptroller
• >r.eral of th* United State*, and if appropriate.
r.-.e Srar*. through any authorized representative.
•«rce»s r*> and the right to examine all records.
. pacers, or documents related to the award;
w-,11 establish a proper accounting system in
accordance with generally accepted accounting
*»andards o r agency directive*.
Will establish safeguards to prohibit employees
from using their positions for a purpose that
constitutes or presents the appearance of personal
•>r organizational conflict of interest, or personal
.jam.
Will initiate and complete the work within the
-po I'.cable time frame after receipt of approval of
• he awarding agency.
Will comply with the Intergovernmental
°ersonnel Act of 1970 (42 U.S.C. II 4728-4783)
•.?nting to prescribed standards for merit systems
!->r programs funded under one of the nineteen
••atutes or regulations specified in Appendix A of
PM's Standards for * Merit System of Personnel
- ci.iunistration (5 C.F R. 900. Subpert F).
'•Vill comply with all Federal statute* relating to
.-indiscrimination. These include but are not
amited to: (a) Title VI of th* Civil Rights Act of
1964 (P L. 88-352) which prohibits discrimination
>n the basis of rac*. color or national origin: (b)
Title (X of th* Education Amendments of 1972. as
amended (20 U.S.C. If 1681-1643. and 1683-1688).
which prohibits discrimination on th* basis of sex;
(c) Section 504 of th* Rehabilitation Act of 1973. as
amended (29 U S.C. | 794). which prohibits dis-
criminatiqn on the basis of handicap*; (d) the Age
Discriminstion Act of 1975, as amended (42
L' S C §1 6101-6107), which prohibits discrim-
ination on the basis of ag»;
(e) the Drug Abuse Office and Treatment Act of
1972 (PL. 92-255). as amended, relating to
nondiscrimination on the basis of drug abuse; (f)
the Comprehensive Alcohol Abuse and Alcoholism
Prevention. Treatment and Rehabilitation Act of
1970 (P.L. 91-6161, as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (gj U 523 and 527 of the Public Health
Service Act of 1912 (42 U S.C. 290 dd-3 and 290 ee-
3). as amended, relating to confidentiality of
alcohol and drug abuse patient records: (h) Title
VIII of the Civil Rights Act of 1968 (42 U S C §
3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of
housing; (i) any other nondiscrimination
provisions in the specific statuteis) under which
application for Federal assistance is being made:
and (j) the requirements of any other
nondiscrimination statutes) which may apply to
the application.
Will comply, or has already complied, with the
requirements of Titles (I and III of the Uniform
Relocation Assistance and Real Property
Acquisition Policies Act of 1970 (PL. 91-646)
which provide for fair and equitable treatment of
persons displaced or whose property is acquired as
a result of Federal or federally assisted programs.
These requirements apply to all interests in real
property acquired for project purposes regardless
ot r sderal participation in purchases.
Will comply with the provisions of the Hatch Act
(5 U.S.C. ii 1501-1508 and 7324-7328) which U~.it
the political activities of employees whose
principal employment activities are funded in
whole or in part with Federal funds.
Will comply, as applicable, with the provisions of
the Davis-Bacon Act (40 U.S.C. Ii 276a to 276a-
7). th* Copland Act (40 U S.C. i 276c and 18
U.S.C. II 874), and th* Contract Work Hours and
Safety Standards Act (40 U.S.C. II 327-333).
regarding labor standards for federally assisted
construction subagreements.
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10. Will comply, if applicable, with flood insurance
purchase requirements of Section I02{a) of the
Flood Disaster Protection Act of 1973 (P.L. 93-234)
which requires recipients in a special flood hazard
area to participate in the program andto purchase
flood insurance if the total cost of insurable
construction and acquisition is $10.000 or more.
11. Will comply with environmental standards which
may be prescribed pursuant to the following: (a)
institution of environmental quality control
measures under the National Environmental
Policy Act of 1969 (P-L. 91-190) and Executive
Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of
wetlands pursuant to EO 11990; (d) evaluation of
flood hazards in floodpiains in accordance with EO
11988; (e) assurance of project consistency with
the approved State management program
developed under the Coastal Zone Management
Act of 1972 (16 L'SC || 1451 et seq.); (0
conformity of Federal actions to State (Clear Air)
Implementation Plans under Section I76(c) of the
Clear Air Act of 1955, as amended (42 L'.S.C. I
7401 et seq. );(gj protection of underground sources
of drinking water under the Safe Drinking Water
Act of 1974. as amended. (PL. 93-523): and (h)
protection of endangered species under the
Endangered Species Act of 1973. as amended, (P L
93-205).
12. Will comply with the Wild and Scenic Rivers Act
of 1968 (16 USC. H 1271 et seq.) related to
protecting components or potential components of
the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring
compliance with Section 10« of the National
Historic Preservation Act of 1946. as amended (16
U.S.C. 470). EO 11593 (identification and
protection of historic properties), and the
Archaeological and Historic Preservation Act of
1974(16U.S.C. 469a-let*eq.).
14. Will comply with P.L. 93-348 regarding the
protection of human subjects involved in research.
development, and related activities supported by
this award of assistance.
15. Will comply with the Laboratory Animal Welfare
Act of 1966 (P.L. 89-544, as amended. 7 U S.C
2131 et seq.) pertaining to the care, handling, and
treatment of warm blooded animals held for
research, teaching, or other activities supported by
this award of assistance.
16. Will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U S.C. || 4801 et seq.) which
prohibits the use of lead based paint in
construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial
and compliance audits in accordance with the
Single Audit Act of 1984.
18. Will comply with all applicable requirements of all
other Federal laws, executive orders, regulations
and policies governing this program.
GNAT-ORE o*
rtTu
OATf SUIMITTCD
Appendix I
Mi 8*e»
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Pesticide Guidance 7Y92
EPA APPLICATION REVIEW PROCEDURES
A. General
In determining the amount of assistance to award to each appli-
cant, the Regional Office will consider the State's/Tribe's
annual allotment, the extent to which the applicant's workprogram
is consistent with the criteria set forth in this guidance, and
the reasonableness of the anticipated cost of the applicant's
program relative to the proposed outputs.
The Regional Administrator will review each cooperative agree-
ment application received and should either approve, condition-
ally approve, or disapprove the application within 60 days of
receipt (40 CFR Part 35.141).
B. Application Raviav Panel
Each participating Region should establish a Cooperative Agree-
ment Review Panel to review and evaluate all pesticides,
cooperative agreement applications as resources allow . This
panel should consist of at least one member from each of the
following offices.
o Regional Program Office
o Regional Grants Administration Office
o OCM (Grants and Evaluations Branch)
o OPP (Certification Branch/Field Operations Division)
Because of travel constraints the OCM and OPP representative will
normally be restricted to participating by mail. A copy of each
cooperative agreement application should be sent to and received
by the OCM grants coordinator and OPP's Certification Branch
within one week of the Region's receipt of the application, along
with a copy of the Region's initial comments on the application
if possible. (The review form, discussed in the next section,
should facilitate the Region's review of applications.) If this
is not possible, the application itself should be sent for
review. OCM will focus its review on the enforcement and
associated budget components. OPP will focus its review on the
other program and budget components. Headquarters (HQ) is
willing to agree to a timeframe by which HQ comments on
applications will be provided to a Region.
Tbe Region has the first line and primary responsibility for
reviewing all applications and ensuring their adequacy vis-a-vis
the grant guidance. If the Region does not receive comments from
Headquarters/ after checking with HQ to ensure that they do not
Appendix II 1
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Pesticide Guidance TY92
have any comments, the Region should proceed in ensuring that the
Region •• comments are addressed by the state and the grant
awarded.
It is the Region's responsibility to ensure that EPA's (both the
Region's and Headquarters') comments on applications are
addressed prior to signing the agreements. A copy of the signed
agreement should also be sent to OCM.
c.
A technical and programmatic review will be made by the Coopera-
tive Agreement review Panel to determine the merit of the
proposed outputs in the view of the objectives and priorities of
the cooperative pesticides program. Zn reviewing applications,
the Regions and Headquarters should use the "Consolidated
Pesticides Cooperative Agreement Application Review Form" which
is being updated and will be distributed within 60 days. If
possible, the Region should send this completed review form,
along with the application, to Headquarters.
The Regional Program Office and the Regional Grants
Administration Office have the lead for the technical and
programmatic review taking into account the factors listed below.
OCM's and OPP's role is to help ensure compliance with the
national grant guidance requirements. Comments made and problems
identified by any member of the Application Review Panel should
be addressed and resolved by the Regional Office prior to signing
the cooperative agreement,application and awarding funds.
The Review Panel will evaluate the pesticides enforcement Coop
erative agreement applications to determine whether:
o The application contains all elements outlined in the
workprogram and cooperative agreement application require-
ments sections of this guidance document;
o The applicant's priority-setting process is adequate;
o The outputs are appropriate based on the priorities or
objectives set by the State/Tribe;
o The applicant's objectives and expected results are
consistent and compatible with EPA priorities and policies;
o The applicant for enforcement funds has demonstrated a need
for a pesticide enforcement program of at least 1/2 workyear
of inspectional/enforcement activity;
o The resources (funds and workyears) requested are reasonable
when compared to the projected outputs in the workprogram;
o It is feasible to achieve such objectives in view of the
State's existing problems, program authority, and resources;
Appendix II
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Pesticide Guidance 7Y92
|p There is a reasonable balance in the enforcement component
™ between the inspectional workyears relative to the
administrative, clerical and analytical workyears to be
funded. A minimum of 50% of the available workyears in
enforcement agreements should be directed to inspectional
activities with remaining workyears divided among the other
supportive activities; and
o Each application must include sufficient staffing to perform
a timely review of all inspectional files and the
development of appropriate enforcement actions when
warranted.
D» Guidelines on Time Factors for Inspections and Sample
Collections/Analyses
OCM, in consultation with the SFIREG uniform reporting workgroup,
has reviewed the Output Time Factors for use as a guide in
evaluating pesticides enforcement cooperative agreement
applications with regard to inspection and sample analysis
activities. (The inspectional time factors are based on the
results of a survey, recently conducted, to which 24 states and 1
indian tribe responded. The survey results indicated that the
workhours included in the FY. 90 guidance were very close to those
reported by the survey respondents.) These timefactors are to be
used for comparing the number of inspectional and/or analytical
workhours to be funded with the number of inspections to be
conducted and the number of samples to be collected and/or
analyzed.
Current
Activity Work Hours to
Complete Activity
Agricultural Use Inspection 20
Agricultural Followup Inspection 20
Nonagricultural Use Inspection 15
Nonagricultural Followup Inspection 20
Experimental Use Inspection 15
Producer Establishment Inspection 15
Marketplace Inspection 05
Import Inspection 10
Export Inspection . 10-15
Applicator License and Records Inspection 05
Dealer Records Inspection 05
Sample Collection and Preparation 05
Sample Analysis
Residue 25
Formulation 11
Appendix II 3
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Pesticide Guidance TY92
The time factor values should take into account all inspectional
or analytical time spent to complete an activity, including
travel time, document preparation, sample shipment, etc. The
workhours given should also include the prorated time for
administrative activities of inspectors and chemists.
Additional time spent by other than inspectors or Chemists for
administrative, case preparation, legal, clerical, and program
planning activities time may be charged (under the other
appropriate vorkyears) if the State/Tribe can show that such
activities are prerequisites to conducting the program!.
However, only the inspectional and analytical workhours are
utilized in calculating productivity levels.
The Regional Office should compare each State's/Tribe's proposed
outputs and the inspectional/analytical workyears requested in
the pesticides enforcement cooperative agreement application with
the workyears computed by using the output time factor amounts
shown above.
The purpose of these computations is to determine if the
State's/Tribe's requested workhour levels (or workyears) for
inspectional and analytical outputs are consistent with the
workhours computed for each activity using the above output time
factors. An Output Time Factors Computation Worksheet has been
developed to assist the Regions in this comparison. This
worksheet is to be completed by the Regional Office
and if possible a copy of the worksheet should accompany each
application sent to Headquarters for review and comment.
The Regions should only use these time factors as a guide in
negotiating and evaluating pesticide enforcement applications.
With regard to inspection and sampling activities, the projected
number of inspections, samples, and analyses multiplied by the
established time factors should approximately equal the number of
workhours which each State/Tribe requested to complete the
projected outputs under the cooperative agreement. The Agency
considers productivity levels between 85% and 115% of the
established standard to be in the acceptable range. The ensure
equal treatment of all State/Tribes, OCM has identified a normal
workyear as consisting of 1800 hours after allowing for leave and
holidays.
Deviations from these time factors can be expected due to
differences in travel time, local procedures, etc. However, the
Regions should not permit workhours grossly in excess of these
workhours requested and the amount of workhours computed must be
justified, e.g., the need for extensive travel time. If an
applicant's commitments are in excess of those indicated by the
computations, the Regional Office must assure itself that the
Appendix II 4
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Pesticide Guidance 7Y92
quality of work is not suffering at the expense of the quality of
Outputs .
8« flfolini^fc^s^i^* Review
The Regional Grants Administration Office will perform an
administrative evaluation to determine whether the application
meets the requirements of the EPA Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and
Local Governments found at 40 CFR Part 31 and regulations for
State and Local Assistance found at 40 CFR Part 35.001 through
35.605. At each stage of the evaluation, the applicant may be
required to provide further information or to amend the
application to satisfy the concerns of the Agency.
Appendix II
-------
Pesticide Guidance 7Y92
EPA HEADQUARTERS AKD REGIONAL OFFICE RESPONSIBILITIES
A. Headquarters' Responsibilities
EPA Headquarters has the primary program and overview
responsibility for:
o Preparing guidance for implementing and managing the
consolidated pesticide cooperative agreement program;
o Developing national compliance monitoring strategies in
coordination with new regulatory decisions and actions;
o Allocation and distribution of cooperative agreement
funds to the Regions for disbursement to the States and
Tribes;
o Participation in selected cooperative agreement
negotiations and evaluations, as requested by the
Regional Offices or as deemed appropriate by
Headquarters;
o Second-line review of selected cooperative agreement
applications and evaluation reports submitted in a
timely manner;
o Provision of comments on applications and suggested
solutions to problems identified in a timely manner;
o Overall oversight and evaluation of program;
o Solicitation of comments from the regions, states and
Indian tribes (by working through the regional offices)
on any major proposed changes to the cooperative
agreements program;
o Developing guidance documents for quality assurance
activities and providing analytical services support,
such as NEIC's Check Sample Program and Backup
Analysis,Procedures to State and Tribal programs;
o Ensuring timely enforcement case reviews necessary to
meet EPA obligations in the cooperative agreement.
B. Regional Office's Responsibilities
EPA Regional Offices have primary implementation and management
responsibility for:
Appendix III 1
-------
P«sticid« Quidanc* FY92
o Providing day-to day oversight and management of the
State/Tribal programs for the rapid identification,
solution and escalation of problems to top level
managers;
o Conducting Mid-year and End-of year cooperative
agreement evaluations in a timely manner as specified
in this guidance document;
o Followup on recommendations made during evaluations;
o Followup with applicants which fail to submit check
sample analysis results as required; and
o Review and development of cases referred to EPA.
Appendix III
-------
DRAFT
Pesticide Guidance 7Y92
PROGRAM OVERSIGHT, EVALUATION AND REPORTING
A. Oversight
EPA should oversee assistance agreements both informally and
formally. Regions and States/Tribes should maintain a continuous
dialogue so that States/Tribes may alert EPA to problems they are
experiencing and EPA can monitor State/Tribal progress toward
accomplishing outputs. EPA should also periodically Conduct a
formal evaluation of State/Tribal performance. Oversight should
identify the successes and problems States/Tribes have
encountered in meeting their commitments. Oversight also entails
the joint analysis of identified problems to determine their
nature, cause, and appropriate solution, and the escalation of
significant findings (both positive and negative) to top managers
in the Region and State/Tribe. Significant problems identified
in the oversight process should be escalated to higher levels of
management in accordance with the Administrator's Policy on
Performance Based Assistance, dated May 31, 1985.
Oversight inspections are another valuable method of evaluating
the quality of State/Tribal inspection programs. EPA's grant
program 'oversight' policy is discussed in various Agency
documents which are referenced in detail in the Task Force Report
fen FIFRA/TS.CA State Program Oversight. Oversight inspections,
Sinless State/Tribal program conditions indicate otherwise, are to
be joint EPA/State/Tribal inspections where the State/Tribal
Inspector usually takes the lead and the EPA person observes the
conduct of the inspection. Regional Offices are requested to
contact Headquarters prior to initiating separate inspections at
facilities or sites previously inspected by State/Tribal
personnel.
B. Evaluations
Timely program evaluations by EPA are an essential part of the
management and oversight of the cooperative agreement program.
The evaluations should provide a basis for measuring the
State's/Tribe's progress towards achievement of the approved
objectives and projected accomplishments described in the
cooperative agreement workprogram. Followup on problems
previously identified and recommendations previously made is
essential. State/Tribal program evaluations are normally
performed by the EPA project officer. However, it is requested
and recommended that a higher level manager also participate in
the evaluation process in FY 91. If time and travel funding are
not available for a manager overseeing the enforcement grant
program to participate in all the State/Tribal evaluations in
Appendix IV 1
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DRAFT
P««ticid« Guidance 7Y92
FY90, the Region should select the program(s) needing the most
attention for evaluation by the manager.
An innovative practice used by some of the Regions is to
periodically rotate the project officers to conduct evaluations
of State/Tribal program(s) with which they have not been closely
involved, during the period being evaluated. This may minimize
the potential for overlooking areas needing improvement because
of familiarity. Another alternative would be to send two project
officers to conduct the evaluations, one for continuity and the
other for a new perspective. The decision to use such practices
is left to Regional management.
1. Frequency of Evaluations
It is important for Regional personnel to meet with the
appropriate State/Tribal officials on a semiannual basis to
conduct performance evaluations of the following components
of the cooperative agreement workprogram(s) : 1) enforcement;
2) certification; 3) worker protection program; 4)
groundwater program; and 5) endangered species program.
However, in keeping with the Administrator's Policy on
Performance - Based Assistance, the scope of the mid-year
evaluation may be reduced for those States/Tribes
demonstrating a sustained level of high performance.
2• Scope of Evaluations
a. End—of—year Evaluations for Enforcement
To help ensure that evaluations of enforcement programs
are uniformly conducted, the Region must address each
of the specific items in the OCM protocol when
conducting end-of-year enforcement evaluations. (This
protocol is being updated based on the final guidance
and will be circulated for review before being
finalized.) This protocol emphasizes the importance
of: 1) following up on agreed-upon workprogram
activities (including worker protection enforcement-
related activities in FY 91); 2) following up on and
documenting the status of implementation of
recommendations previously made; and 3) identifying
problem areas and providing recommendations and
associated timeframes for addressing these problems.
Appendix IV
-------
DRAFT
Pesticide Guidance fc^lXJ^M I 7Y92
b. Mid—year Evaluations for Enforcement
Regional Office discretion should be used in
determining the scope of the mid-year evaluation and
report. The Regional Office may wish to reduce the
scope of the mid-year evaluation for States/Tribes with
a mature prograa demonstrating a sustained level of
high performance.However, as a minimum, all FY 91 mid-
year evaluations must: 1) discuss the implementation of
the worker protection enforcement activities as agreed
upon in the FY 91 cooperative agreement workprograms
(and discussed on page 16); 2)' indicate whether or not
there are any significant problems which the State is
experiencing in completing any of its work under the
cooperative agreement. If there are problems,
recommendations and time frames for addressing the
problems must be discussed and included as part of the
mid year report; and 3) address the status of
implementing recommendations made during the previous
evaluation.
The minimum content for mid-year evaluations of
enforcement programs is also addressed in OCM's
protocol.
With regard to enforcement mid-year and end-of-year
evaluations, the Regional project officers are
strongly encouraged to visit the state laboratory
doing work under the cooperative agreement
as appropriate and involve the state laboratory
representatives in the semi-annual evaluations
as appropriate.
c. Evaluations of Certification Programs
Representatives from both the State Lead Agency and the
State Cooperative Extension Service should be invited and
encouraged to be present during the mid year and end-of—
year evaluations of state C&T programs and cooperative
agreements. (Circumstances which would not allow this to
occur can be discussed on a Region by Region basis.)
A summary of topics to be addressed during the mid year (as
appropriate) and end-of-year evaluations of
certification programs is included in Appendix VII.
Appendix IV
-------
DRAFT
Pesticide Guidance 7Y92
d. Evaluations of Worker Protection. Ground-Water and
Endangered Species Program Activities
The mid-year and end-of-year evaluations of the new
initiatives should follow the guidelines stipulated in the
text of the grant guidance. In addition, the end-of-year
•valuation report must include a summary of the budgetary
tracking system used for the year for each program
component.
3. Evaluation Reports
When problem areas are identified during the mid-year or end of-
year evaluation, recommendations for improvements must be made
and implemented. The recommendations for addressing problems
must be accompanied by time frames for implementation of the
recommendation. If a problem/recommendation has not been
addressed from a previous evaluation, then a plan must be
developed to address the issue(s) and included in the current
evaluation report. The plan should be negotiated between the
State/Tribe and the Regional Office prior to or as part of the
evaluation. The implementation of the plan/recommendations must
be discussed in the next evaluation report. (If the problem
cannot be resolved within the project period being evaluated, it
must be addressed in the following year's workplan.)
It is also recommended that if there has been no effort to
address a significant problem or associated recommendation on
either the State's/Tribe's or EPA's part, that a Federal program
manager and a State/Tribal program manager meet to discuss a
remedy and outline a course of action to resolve the matter. OCM
should also be informed of such situations with regard to
enforcement issues.
State program evaluations are an important part of the management
of the cooperative agreement program. Therefore, it is essential
that the evaluation findings be communicated at the proper level.
It is recommended that the evaluation reports by signed by the
Regional Division Director, and mailed to the State Division
Director or Department Head. This level of communication will
give the program a higher level of visibility, as well as keep
the higher levels of management in both EPA and the State
informed of the progress of the program.
The State office being evaluated should be given an opportunity
to review for accuracy, and to either concur or comment on, all
mid-year and end-of-year evaluations before the reports are
considered final. This may be accomplished by either: 1) sending
the State a finished evaluation report to review or comment on,
with the evaluation report becoming final if no comments are made
Appendix IV 4
-------
DRAFT
Pesticide Guidance 7Y92
by the State within 15 working days; or 2) sending the State a
draft evaluation report for comment, with a final report being
prepared after the State has had 15 working days to comment.
4. Timeframes
Evaluations Evaluations should be conducted
within 30 working days after the
•nd of the second and fourth
quarters of the project.
Reports Evaluation reports must be
prepared and mailed to the
State/Tribe within 20 working
days after the completion of the
evaluation.
C. Modification. Suspension or Termination of Agreement
The EPA Uniform Administrative Requirements For Grants and
Cooperative Agreements to States and Local Governments, 40
CFR Parts 31.30 and 31.44 provides for the modification,
suspension or termination of cooperative agreements when
justified. Changes in the agreement are effective only upon
the execution of a written amendment. Modifications to the
agreement may include, but are not limited to, changes in
the budget, project period or date of performance for
specific outputs. If the actual accomplishments of the
State/Tribe differ significantly from the planned
accomplishments during the project period, EPA and the
State/Tribe should renegotiate and modify the provisions of
the agreement.
If performance by the State/Tribe does not improve after
modification of the agreement, steps may be taken by EPA to
suspend or terminate the agreement. The award official may
terminate a cooperative agreement, in whole or in part,
whenever the recipient fails to comply with the conditions
of the agreement.
D. Regional Reporting
Headquarters must be kept informed by the Regional Offices
of any problem areas or serious deficiencies that develop
within a State/Tribal program.
Copies of all final grant applications (at least the
enforcement and budget components), grant awards, mid-year
evaluations and end-of year evaluations must be forwarded to
Appendix IV 5
-------
DRAFT
Pesticide Guidance FY92
OCM's Cooperative Agreement Coordinator to facilitate review
of the enforcement components.
E. yiFRA/TSCA Tracking Systen (TTTS)
The EPA FIFRA/TSCA Tracking System will be used by the
Regions to report the States'/Tribes' cooperative agreement
projections and accomplishments to Headquarters. It is
essential that all pertinent data be entered into FTTS in a
timely and correct manner, since the Office of Compliance
Monitoring and Office of Pesticide Programs will use the
data in FTTS for making reports to higher levels of EPA
management, preparing budget requests, answering
congressional inquiries, and allotting cooperative agreement
funds to applicants.
The Regions should adhere to the following schedule for
entering all grant related data into FTTS and for verifying
the data's correctness.
Reoortable Activity . No Later Than
Enforcement Projections
Quarterly Projections December 1
Certification Projections
Annual Certification Projections December 1
Enforcement Accomplishments
First Quarter March 1
Second Quarter June 1
Third Quarter September 1
Fourth Quarter December 1
Certification Accomplishments
First and Second Quarter June 1
Third and Fourth Quarter December 1
Certified Applicators
Number of private and December 1
commercial applicators
holding a valid certifi
cation on September 30th.
Appendix IV 6
-------
Pesticide Guidance FY92
PESTICIDE ENFORCEMENT COOPERATIVE AGREEMENT
TO BE COMPLETED BY .APPLICANT
BTATg xypLICXTIOM CHZCKlIiaT/RZVTgW TORM TOR FY 92
State Lead Agency: _______________________________ ;_
Project Period: •
A. Budget
1. Is the State's/Tribe's share of the "total project costs" at
least 15 percent for enforcement? Yes _ No _
2 . Is there a proposed enforcement budget? Does the proposed
budget follow the cost categories and include itemized
statements per page 12 of the FY 92 grant guidance?
Yes _ No Comments:
B. Narrative Sta^fi
1. Is there a discussion of performance to date?
Yes _____ No _____ Comments:
2. Has the applicant certified that there are no impediments to
carry out the proposed program including:
(a) Authority to conduct the proposed program;
(b) Authority to accept Federal funds;
(c) Designation of lead agency for enforcement;
Yes _ No _ Comments:
3. Are expected benefits to both the State and EPA identified?
Yes _ No _ Comments:
C. Enforcement Component
1. Are worfcyears to be funded identified by type of activity
(inspectional, administrative, clerical, analytical, other)
and cost?
Yes _____ No _____ Comments:
2. Is a minimum of 50 percent of the total wo r ley ears directed
to inspectional activities?
Yes No Comments:
3. Are the budgeted inspectional/analytical vorfcyears
reasonable in relation to the projected outputs? Complete
Output Time Factors Computation Worfc Sheet attached.
Yes ______ No ______ Comments:
4. Has the need for a pesticide enforcement program, of at
least one half of a worJcyear, been adequately addressed?
Yes No Comments:
Appendix V
-------
S. Has the applicant addressed the eight National issue-
specific compliance monitoring activities (a-h) :
(a) Helping to ensure compliance with pesticide
cancellations, suspensions and other major regulatory
actions. Inspections and other compliance monitoring
activities for this priority area will address:
(1) Major cancellation actions;
Yes _ No _
(2) All suspensions under 7IFRA Section 6;
Yes _ No _
(3) FIFRA section 3(c)(2)(B) suspensions;
Yes _ No _
(4) Other major pesticide regulatory actions (i.e.,
label improvement programs, etc.);
Yes _ No _
(b) Worker protection enforcement:
(1) Notification to prospective constituents;
Yes _ No _
(2) Compliance Monitoring Strategy for Worker
Protection:
a. Is there a commitment to submit the
strategy within 6 mos. of the publication
date of the rule? Yes _ No
b. Does the application specifically
state that the strategy will include,
as a minimum, the following three
components :
o Compliance Communication Strategy Yes _ No
o Inter-Agency Component Yes _ No
(This applies to applicants in
situations where more than 1 agency
has responsibility for enforcement of
the worker protection rule.)
o Targeting Scheme Yes _ No
c. Implementation of Compliance
Strategy .
Is there a commitment to begin to implement
the complianc
and inter-agency coordination components
within 8 months of the publication of the
final rule or before? Yes _ No _
Is there a commitment to implement the
inspection targeting scheme once the effective
dates for compliance with the final rule have
passed? *•» — No —
Appendix V
-------
(3) Inspection Activity
a. Worker protection compliance monitoring as
another element of comprehensive inspections.
Yes No
b. Incident and Complaint Investigations
Yes No
c. Tracking tips/complaints
Yes No
d. Use Pilot Checklist (recommended, not
required.)
Yes No
(4) Reporting
a. Evaluation Reports
Yes No
b. Quarterly Accomplishment Reports
Yes No
(c) Planning enforcement activities for residue removal regs
Yes No
(d) Enforcement activities for groundwater protection
Yes No
(e) Enforcement activities for endangered species
Yes No
(f) Section 6(g) information submittal and pesticide recalls
Yes No
(g) Exports
Yes No
(h) Enforcement activities for new CtT regulations
Yes No
Comments:
Priority Setting
6. Has the applicant submitted/referenced a priority-setting
plan which addresses the two national enforcement priorities
and State/Tribal priority problem areas?
Yes No Comments:
Inspections
7. Has the applicant submitted a completed 5700-33H form
for documenting inspection commitments? Yes No
Comments:
8. Has the applicant committed to a certain number of
producer establishment inspections (to help ensure that,
over time, all producer establishments in a given state
are inspected)? Yes No
9. Has the State agreed to a number of federal facility
inspections? Yes No
Appendix V
-------
10. Has the applicant agreed to conduct comprehensive
inspections, addressing every element off each type off
inspection? Yes Ho
11. Does the applicant commit to ffollovup on
the National Compliance Monitoring Strategies? Yes No
12. Does the applicant commit to following EPA's updated
Pesticides Inspection Manual when conducting inspections?
Ye» • No
Quality Assurance
13. Are the following quality assurance practices addressed in
the application:
(a) Submittal off Updated Quality Assurance Plan;
Yes No
(b) Use off standard analytical methods;
Yes No
(c) Cross-contamination screening program;
Yes No
(d) NEIC check saaple program;
Yes No _____
(e) BacJc up Analysis Procedure;
Yes No
(ff) Training off Analytical Chemists;
Yes ' No
(g) Laboratory Reviews;
Yes No
(h) Provisions off Analysis Results;
Yes No
(i) Submission/Retention off Reports;
Yes No
Comments:
Cat?
14. Has the State considered using enforcement grant funds
toward the development off civil penalty authority?
Yes No Comments:
15. For programs with partial or no enforcement capability, has
the applicant submitted procedures for forwarding inspection
reports with suspected violations to EPA?
Yes No ______ Comments:
16. Does the application provide for an annual written agreement
between the State and EPA ffor the selection, referral, and
tracking off significant pesticide use cases under FIFRA
sections 26 and 27?
Yes No Comments:
Appendix V
-------
17. Does-the application include or provide as an attachment an
up-to-date enforcement response policy (ERP)? Each
applicant must have an up-to-date ERP in place and submit it
with the application. Yes . No Comments:
Does the State agree (in the application) to follow the ERP?
Yes No
18. Is there any reference to procedures for resolving cross-
jurisdictional issues between States and Tribes? (This is
recommended, not required.1
Yes No Comments:
19. (a) Does the applicant have a management system for
tracking all inspections, violations, and enforcement
actions, and rapid identification of the status of a
case?
Yes No
(b) Is there a tracking system for inspections and
enforcement actions in followup to "major pesticide
regulatory actions"? (Could be part of aforementioned
system as long as actions taken in followup to
strategies can be identified.)
Yes No
(c) For new applicants, is there a description of the
system?
Yes No
(d) Does the workprogram address maintenance of tracking
documents and associated files and length of time
maintained?
Yes No
Reporting
20. Does the application provide for the timely submittal of
Quarterly Accomplishment Reports (EPA Form 5700-33H)?
Yes _____ No _______ Comments:
21. For nev applicants, is there a description of the accounting
filing system?
Yes No . Comments:
22. Is there an evaluation plan which includes a schedule for
timely completion of mid-year and end-of-year evaluations?
Yes _______ No _______ Comments:
23. Does the application address any unresolved problem(s)
identified in the most recent mid-year and end-of-year
evaluations? Does the plan for addressing the problem(s)
include a schedule for implementation?
Yes No Comments:
Appendix V
-------
Pesticide Guidance
Cooperative Agreement Subr
FY92
Cooperative agreement application
due to Regional Office
Copy of draft application
sent to Headquarters
All comments due to
state/tribe
Revised application due in region
Copy of revised application
forwarded to headquarters
Beginning of project period
1 quarter report to region
quarter report to region
Mid-year evaluation of state/
tribal program conducted by region
Draft mid-year evaluation to
of
state/tribe
t
Comments due from state/tribe
to region
Final mid-year evaluation sent
to state/tribe and headquarters
3rd quarter report to region
i th
quarter report to region
90 days prior to project
period start date
2 weeks after receipt of
application in Region
4 weeks after receipt of
application in region
4 weeks after receipt of
comments in state/tribe
2 days after receipt of
revision in region
First day of federal
or state fiscal year, as
determined by state/tribe
30 days following end of
quarter
30 days following end of
quarter
6 months after beginning
of project period
30 days after completion
evaluation date
30 days after receipt in
state/tribe
2 weeks after receipt of
comments in region
30 days following end of
quarter
30 days following end of
quarter
Appendix VI
-------
Pesticide Guidance
End-of-year evaluation of state/
tribal program conducted by region
Draft end-of-year evaluation due
of
to state/tribe
Comments due from state/tribe
to region
Final end-of-year evaluation sent
to state/tribe and headquarters
FY92
Within 30 days of
completion of project
period
30 days after completion
evaluation date
30 days after receipt in
state/tribe
2 weeks after receipt of
comments in region
Appendix VI
-------
(Revised March 1991)
CONSOLIDATED PESTICIDE COOPERATIVE AGREEMENT
TO BE COMPLETED BY THE REGIONAL OFFICE
APPLICATION REVIEW FORM
State and State Lead Agency:
Project Period:
A. Budget • Applic^frlf to All Components
1. Is the state's/tribe's share of the "total project costs" at
least 15 percent?
(a) For enforcement Yes No
(b) For groundwater Yes No
(c) For endangered species Yes No
(d) For worker protection Yes No
Comments:
2. Is the state's/tribe's share of the "total project costs" at
least 50 percent for certification?
Yes No Comments:
3. Is there a proposed budget for at least three components
(enforcement, certification, and pesticide program activities) of
a consolidated application? Do the proposed budgets follow cost
categories and include itemized statements?
Yes . No Comments:
4. Are costs reasonable in relation to projected outputs?
(a) For enforcement Yes No
(b) For groundwater Yes No
(c) For endangered species Yes No
(d) For worker protection Yes No
(e) For certification Yes No
Comments:
B. Narrative Statement - Applicable To All Components
1. Is there a discussion of performance to date?
Yes No Comments:
Appendix VII
-------
2. Has the applicant certified that there are no impediments to
carry out the proposed program including:
(a) Authority to conduct the proposed program;
(b) Authority to accept Federal funds;
(c) Designation of lead agency?
Yes No Comments:
3. Are expected benefits to both the state and EPA identified?
Yes No Comments:
C. Enforcement Component
1. Identification of Workvears and Funding
Federal State Total
Funding _
Workyears*
Inspectional
Administrative
Clerical
Analytical
Other
Total
*Include only those workyears actually performing outputs under
the cooperative agreement and funded with the dollars indicated
above.
2. Are work years to be funded identified by type of activity and
cost?
Yes No Comments:
3. Is a minimum of 50 percent of the total workyears directed to
inspectional activities?
Yes No Comments:
4. Are the budgeted inspectional/analytical workyears reasonable
in relation to the projected outputs? (Use appendix XVIII,
Output Time Factors Computation Work Sheet.)
Yes No Comments:
5. Has the need for a pesticide enforcement program, of at least
one half of a workyear, been adequately discussed?
Yes No Comments:
Appendix VIZ 2
-------
6. Has the applicant addressed the five national compliance
monitoring activities:
(a) Helping to ensure compliance with pesticide
cancellations, suspensions and other major regulatory
actions. Inspections and other compliance monitoring
activities for this priority area will address:
(1) Major pesticide regulatory actions;
Yes No .
(2) All. suspensions under FIFRA Section 6;
Yes No
(3) FIFRA section 3(c) (2) (B) suspensions;
Yes No
(4) Other major pesticide regulatory actions (i.e.,
label improvement programs, etc)
Yes No
(b) Worker protection enforcement:
(1) Notification to prospective constituents
Yes No
(2) Compliance Monitoring Strategy for Worker
Protection;
a. Targeting Scheme Yes No
b. Inter-Agency Component Yes No
(This applies to applicants in situations where more than
1 agency has responsibility for enforcement of the worker
protection rule.)
c. Compliance Communication
Strategy Yes No
d. Is there a commitment to submit
strategy within 6 months of the
effective date of the rule? Yes No
(3) Inspection Activity
a. Worker protection compliance monitoring as another
element of comprehensive inspections.
Yes No
b. Incident and Complaint Investigations
Yes No
c. Use Pilot Checklist (recommended, not required)
Yes No
d. Tracking tips/complaints
Yes No
(4) Reporting
a. Evaluation Reports
Yes No
b. Quarterly Accomplishment Reports
Yes No
(c) Enforcement activities for groundwater protection
Yes No
(d) Enforcement activities for endangered species
Yes No
Appendix VIZ
-------
e) Regulation on removal of pesticides form containers.
(Note: It is recommended, that to the extent feasible, states
plan for the development of programs to ensure compliance with
these regulations.)
Yes No
(f) Notices of suspended/cancelled products and pesticide
recalled: Once these requirements are effective, grantees
will need to track and monitor the info, where applicable, per
page 38 of the guidance.
Comments:
7. Has the applicant submitted/referenced a priority-setting plan which
addresses the two national enforcement priorities (helping to ensure
compliance with cancellations, sispensions and other mojor pesticide
regulatory actions, and planning for worker protection enforcement)
and state/tribal priority problem areas?
Yes No Comments:
8. Has the applicant clearly defined the objectives which support
achievement of these priorities? Do projected outputs adequately
address the problem areas identified?
Yes No Comments:
Appendix VII
-------
Are the following quality assurance practices addressed in the
application:
Quality Assurance Plan;
Yes No
(b) Use of standard analytical methods;
Yes No
(c) Cross-contamination screening program;
Yea No
(d) NEIC check sample program;
Yes No
(e) Back up Analysis Procedure;
Yes No
(f) Training of Analytical Chemists;
Yes No
(g) Laboratory Reviews;
Yes No
(h) Provisions of Analysis Results;
Yes No
(i) Submission/Retention of Reprots;
Yes No
omments:
0. Does the work program provide for standard inspection and sample
collection procedures?
Yes No Comments:
OA. Has the state agreed to a number of federal facility inspections?
Yes No Comments;
1. For programs with partial or no enforcement capability, has the
applicant submitted procedures for forwarding inspection reports
with suspected violations to EPA?
Yes No Comments:
.2. Does the application provide for an annual written agreement between
the state and EPA for the selection, referral, and tracking of
significant pesticide use cases under FIFRA sections 26 and 27?
Yes No Comments:
1.3. Does the application include or provide as an acceptable enforcement
response policy? Each applicant must have an up-to-date ERP in
place and submit it with the application. A copy must also be
provided to HQ.
Yes No Comments:
Appendix VII
-------
4.4. Does -the application include sufficient: staffing and acceptable
procedures for reviewing the quality and sufficiency of evidence
gathered (i.e. case development)?
Yes No Comments:
15. Is there any refemece to procedures for resolving cross-
jurisdictional issues betveen states and tribes? (This is
recommended, not required.)
16. (a) Does the applicant have a management system for tracking all
inspections, violations, and enforcement actions?
Yes No
(b) Is there a tracking system for inspections and enforcement
actions in followup to "major pesticide regulatory actions"?
Yes No
(c) For new applicants, is there a description of the system?
Yes No _
(d) Does the vorkprogram address maintenance of tracking documents
and associated files and length of time maintained?
Yes No Comments:
17. Does the application include a completed Output Projections form
(EPA Form 5700-33H) with inspections and samples projected per
quarter and for the fiscal year?
Yes No Comments:
18. Does the application provide for the timely submittal of Quarterly
Accomplishment Reports (EPA Form 5700-33H)?
Yes No Comments:
19. For new applicants, is there a description of the accounting filing
system? >
Yes No Comments:
20. Is there an evaluation plan which includes a schedule for mid-year
and end-of-year evaluations?
Yes No Comments:
21. Does the application address any unresolved problem(s) identified
in the most recent mid-year and end-of-year evaluations? Does the
plan for addressing the problem(s) include a schedule for
implementation?
Yes No Comments:
Additional Comments:
Appendix VII 6
-------
i e Wo
rocrr*1'!
Has the applicant addressed the specific pesticide program
activities for:
(a) Certification & Training;
Yes _ No Comments :
(b) Worker Protection;
Yes _ No _ Comments :
(c) Ground-Water;
Yes _ No _ Comments :
(d) Endangered Species;
Yes _ No _ Comments:
(e) Lawn Care;
Yes _ No _ Comments :
Has the applicant clearly prioritized these activities and defined
the objectives which support their achievement? Do project outputs
adequately address the program and/or problem areas defined?
(a) Certification & Training;
Yes _ No _ Comments:
(b) Worker Protection;
Yes _ No _ Comments:
(c) Ground-Water;
Yes _ No _ Comments:
(d) Endangered Species;
Yes _ No _ Comments :
(e) Lawn Care;
Yes _ No _ Comments :
Appendix VII
-------
*. Has the applicant submitted a schedule for the activities outlined
in each workprogram?
(a) Certification & Training;
Yes No Comments:
(b) Worker Protection;
Yes No Comments:
(c) Ground-Water;
Yes No Comments:
(d) Endangered Species;
Yes No Comments:
(e) Lawn Care;
Yes No Comments:
4. For Certification workprograms, does the application include a
completed Output Projections form (EPA Form 5700-33H) with number
of applicators to be certified and recertified?
Yes No Comments:
5. Does the application provide for timely submittal of Quarterly
Accomplishments reports?
(a) Certification & Training;
Yes No Comments:
(b) Worker Protection;
Yes No Comments:
(c) Ground-Water;
Yes No Comments:
(d) Endangered Species;
Yes No Comments:
(e) Lawn Care;
Yes No Comments:
Appendix VIZ
-------
For new applicants, is there a description of the accounting filing
system?
(a) Certification & Training?
Yes No Comments:
(b) Worker Protection;
Yes No Comments:
(c) Ground-Water;
Yes No Comments:
(d) Endangered Species;
Yes No Comments:
(e) Lawn Care;
Yes No Comments:
Is there an evaluation plan which includes a schedule for mid-year
and end-of-year evaluations?
(a) Certification & Training;
Yes No Comments:
(b) Worker Protection;
Yes No Comments:
(c) Ground-Water;
Yes No Comments:
(d) Endangered Species;
Yes No Comments:
(e) Lawn Care;
Yes No Comments:
General
Was the application received by the Regional Office at least 60 days
prior to the beginning of the proposed budget period?
Yes No Comments:
Have costs been incurred before the date of award?
Yes No Comments:
Ippandix VIZ
-------
3. Has a copy of the application been sent to and received by the OCM
Grants and Evaluation Branch and the OPP Certification Branch within
one week of the Region's receipt of the application?
Yes No Comments:
4. Has the Application Review Panel made comments and identified,
addressed, and resolved problems prior to the signing of the
cooperative agreement and award of funds?
Yes ______ No Comments:
5. Is a certification for a drug-free work place included in the
application?
Yes No Comments:
Appendix VII 10
-------
Pesticide Guidance Fffl2
FY92 Cooperative Agreement Application
SAMPLE 7Y92 CORE ENFORCEMENT WORK PROGRAM
The standard grant application form (87-424) should be
completed and submitted, along with the required certification for
a drug-free work place. Background information on completing the
application form is included on pages 10-16 of the FY92 pesticide
cooperative agreement guidance.
The following is the core enforcement work program to be
addressed in the narrative which would accompany and be a part of
the standard grant application package. (In a few places, you will
also read "notes to the Regions and States'* which are meant to
provide additional information, but obviously are not meant to be
included in the grant application narrative.) The following core
enforcement work program is based on the FY 92 cooperative
agreement guidance.
Narrative Statement
1. Background
- Brief discussion of performance to date under existing
award (as required under 40 CFR Part 35.140)
The State of has participated in a Pesticide
Cooperative Agreement with the Environmental Protection Agency
since . (and so forth)
2. Ability to Implement Program
- As outlined in the grant guidance, each applicant must
certify that there are no impediments to carrying out the
proposed program(s), as outlined in the grant guidance.
3. Objectives of the Project
4. Benefits of the Project to the Applicant and EPA
5. Work program for Enforcement
A. Issue-Specific Compliance Monitoring Activities
1. Cancellations, Suspensions and Other Major Regulatory
Actions
The State of (insert name) will conduct cancellation/
suspension inspections and other compliance monitoring
activities to assure compliance with major pesticide
Appendix VIII
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Pesticide Guidance
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.)
The State will track the inspections, violations found
and enforcement actions taken in follow-up to cancellations
and suspensions. Narrative reports will be prepared on the
inspections and enforcement actions taken as specified in the
applicable compliance monitoring strategies. EPA form 5700-
33H will be used to document compliance monitoring of
cancellations and suspensions as a component of the States
comprehensive inspections.
2. Worker Protection Enforcement Activities
a. notification to Prospective Constituents
Between the publication date of the Final Rule and
effective dates for compliance, (insert Agency name)
will use the opportunity of inspections conducted
under the cooperative agreement to notify
prospective constituents of the provisions of the
final rule and to ensure compliance with current
worker protection requirements. This will be in
addition to other methods for notification used by
the state (to be outlined in the compliance
communication strategy described below).
b. Compliance Monitoring Strategy
The State of (insert name) will submit to Region
(#) a Compliance Monitoring Strategy for worker
protection, with the components discussed below,
within six months of the publication of the final
rule.
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 is consistent with
the national strategy and whether the proposed
strategy is appropriate, given the State's
particular situation.) The (insert Agency name)
Appendix VIII
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Pesticide Guidance TS2
will then address the Region's comments, if any,
within one month of receipt and forward the revised
strategy to the Regional Office.
(Note to Regions/States: If a State/Tribe cannot
submit their strategy within 6 months of the
publication date of the rule, the Regional Office
and State should reach agreement on a new date for
submittal. In the meantime, the State shall follow
the National Compliance Monitoring Strategy. The
Regional office shall then request, in writing,
concurrence from OCM's Grants and Evaluation Branch
on the new date. (Such requests are expected to be
the exception rather than the rule.)
As a minimum, the compliance monitoring strategy
will include a compliance communication strategy,
a description of interagency coordination, and a
targeting scheme as distinct components, as
discussed below.
1) Compliance Communication Strategy
The compliance communication strategy for worker
protection will describe the actions which the
(insert State Agency name) will take using
enforcement funds to communicate the enforceable
provisions and effective dates of the worker
protection rule.
The State will identify in the Compliance
Communication Strategy the specific sectors of the
regulated community that will be effected,
explaining how and when the (insert State Agency
name) plans to inform each sector of the
requirements of the revised rules. The (insert
Agency name) will also discuss with the Region the
extent and quality of the information gathered in
this area, based on the information resources
available.
(Insert Agency name) will inform the regulated
community of its responsibility to comply with the
Worker Protection Rule. In addition to inspections,
the approaches and actions to be taken to
communicate the enforceable provisions of the final
rule and to be supported with enforcement funds will
be described in the compliance communication
strategy.
Appendix VIII 3
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Pesticide Guidance FS2
2) Inter-Agency Coordination
(Note: An "interagency coordination" component must
only be included in the compliance monitoring
strategy if the grantee is in a situation where more
than one agency has jurisdiction and responsibility
for enforcing the worker protection standards. If
this is the case, 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.)
In (insert State name), the following agencies may
have jurisdiction and responsibility for enforcing
the worker protection standards for pesticides and
labeling requirements: (Insert state agency names)
The (insert name of State agency) is the lead agency
for enforcement and will develop a mechanism for
coordination with the other agencies involved. The
(insert state agency) will clarify in writing this
mechanism and specific roles and responsibilities
of each agency. As soon as the final revisions to
the worker protection regulations are published,
(insert State agency name) will begin discussions
with other appropriate agencies.
The Inter-Agency component of the compliance
monitoring strategy will include:
a) 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;
b) A description of the mechanism for
coordinating with the other agency/agencies
involved;
c) A copy of any sub-grant package negotiated
and approved.
3) Targeting Scheme to Ensure Compliance with the
Worker Protection Rule
(Insert State agency name) will develop and submit
a scheme specifically for targeting inspections to
ensure compliance with the worker protection rule.
Appendix VIII 4
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Pesticide Guidance . TB2
Targeting will not be implemented until the
effective dates for compliance have passed. The
dates will be specified in the Final Rule.
These inspections will be comprehens ive. targeted
specifically for when and where activities regulated
by the worker protection rule are most likely to
take place.
c. Implementation of Compliance Monitoring
Strategy
Within eight months of the publication date of the
final Revised Worker Protection Standards, the State
will begin to implement the compliance communication
strategy and inter-agency coordination components
of the State's Compliance Monitoring Strategy.
(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.)
(Note to Regions and States: This time period
applies in all cases unless Headquarters concurrence
on a revised agreement has been granted per the
process described on page 41 of the grant guidance.)
Once the effective dates for compliance with the
Final Rule have passed, the targeting scheme will
be implemented.
d. Znspectional Activity
(1) Conducting Inspections
Once the compliance dates for the revised worker
protection rule have passed, the (insert State
agency name) pesticide inspection activities will
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.
(2) Incident and Complaint Investigations
(Insert name of State) will also conduct
investigations in response to incident and complaint
reports.
Appendix VIII 5
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P«sticid« Guidance KS8
(3) Tracking
EPA will track Section 26 and 27 referrals; (insert
state agency name) vill track tips and complaints
not referred by EPA.
•. Training
The States will 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. (Note to Regions and States:
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.)
f. Reporting
The State will 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's
worker protection compliance monitoring activity.
(1) Evaluation Reports
The Regions will document (name of State) worker
protection compliance efforts as part of the mid-
year and end-of-year evaluation reports.
(2) Quarterly Accomplishments
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 will include
monitoring for compliance with the worker protection
rule. If monitoring for worker protection
requirements was not included as part of every
remaining type of inspection, the grantee will
explain why in the narrative section of the
quarterly report.
Appendix VIII
-------
Pesticide Guidance FQ2
3. Planning Enforcement Activities for Residue Removal
Regulations
Under Section 19 (f) of the amended FIFRA, by December 24,
1991 (the end of the first quarter of FY 92), EPA must
promulgate regulations that prescribe procedures and standards
for removing pesticides from containers before disposal.
Effective December 24, 1992, a State may not exercise primary
enforcement responsibility under Section 26, or. certify an
applicator under Section 11, unless the Administrator
determines that the State is carrying out an adequate
enforcement program to ensure compliance with the
aforementioned regulations.
In preparation for this deadline, the grantee will plan for
the State enforcement activities which will ensure compliance
with these regulations. To this end, bv the end of FY 92. the
grantee will, as a minimum, outline the specific proposed
activities which will be conducted to ensure compliance with
the residue removal regulations.
4. Enforcement Activities for Ground-Water Protection
a) In FY 92, (insert State agency name) will continue
to monitor compliance with and enforce labeling as part
of their use, producing establishment, marketplace, and
dealer inspections.
In targeting use inspections, the State will take into
account areas of high risk for groundwater contamination,
along with how these areas overlap with locations of
pesticide use.
b) The (name of grantee) will plan for identify,
and describe enforcement authorities, capabilities, and
activities, which will be used to assure compliance with
the provisions of the State's groundwater management
plan. A clear statement of the roles of different
agencies if more than one agency within the State is
potentially involved with enforcement activities for
protection of ground water from pesticide contamination
will be included.
This identification and description will occur according
to the schedule agreed upon with the Regional Office.
(Note to Region and State: Insert information on the
schedule.)
c) (Name of grantee) will consider the enforcement
authorities available under other Federal/State statutes,
Appendix VIII 7
-------
Pesticide Guidance FS2
when it comes to contamination of ground water or
drinking water supplies, and coordinate enforcement
activities with EPA and other State agencies, as
appropriate, to make full use of other statutes where
applicable.
(Optional; In relation to the above, it is
recommended (but not required) that the State Lead
Agency (SLA) develop for their own use an
"enforcement authorities chart" which indicates the
enforcement authorities of each of the State agencies
associated with enforcement for pesticide contamination
of ground water or drinking water supplies. This chart
would also contain the name of the State agency contact
and his/her phone number. The State inspectors and
managers could use this as one tool in developing the
best enforcement approach with regard to preventing or
follow-up to ground water contamination.)
d. The State will implement the aforementioned
enforcement activities.
e. (Note: If applicable within the State. FY 92 funds
may be used to develop any Memoranda of Understanding
with other agencies to coordinate specific enforcement
responsibilities and actions.)
f. (Note: 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.)
5. Enforcement Activities for Endangered Species
Protection
a) Enforcement of the use limitations to be imposed to
protect listed species will 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
Appendix VIII 8
-------
Pesticide Guidance FfflO
language to protect: listed species) may be subject to
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, (insert State agency name)
vill take into account areas inhabited by endangered
species, along with how these areas overlap with
locations of pesticide use.
b) Once the final Endangered Species Protection Program
is published by the Agency, the State vill plan for and
implement appropriate enforcement measures. The (insert
name of State Agency) vill comply with the National
Compliance Monitoring Strategy for the Endangered Species
Protection Program to be issued in FY 1992.
6. Section 6(g) Information flubaittal and Pesticide Recalls
Section 6 (q) ; Under FIFRA Section 6 (g) , EPA may
require all persons vho produce, sell, distribute, or
commercially use pesticides to notify EPA and
State/Tribal officials concerning the quantities and
location of suspended or canceled pesticides in their
possession.
The State of vill help enforce the information
submittal requirements. The State of will
consider the information vhich they receive on quantities
and locations of suspended or canceled pesticides in
targeting future inspections.
Pesticide Recalls; EPA may also require registrants and
distributors to recall pesticide products which have been
both suspended and canceled. Once these recall
requirements are effective, the State of will enforce
vhere applicable.
7. Exports
In FY 92, the State will conduct pesticide export
inspections, as indicated on the inspection projections
reporting form in attachment 2.
8. Certification and Training
The State of will enforce the revised final
certification and training regulations to be issued in
FY 92.
Appendix VIII 9
-------
Pesticide Guidance FS2
B. Priority-Betting
Attached is a copy of the priority-setting plan for (insert
name of State Agency).
(Note to Regions and States: New applicants, including both
States and Tribes, need to submit a priority-setting plan with
their cooperative agreement application; the plan should be
based on the best available data. Applications for continuing
programs need to: 1) reference their existing priority-setting
plan; 2) indicate any changes in the plan and include a copy
of their plan, if it has been amended or changed; and 3) list
the priorities for the year being addressed, taking into
account the national priorities.)
C. Inspection and Sample Collection Activities
The outputs, which the (name of State agency) proposes to
accomplish during the agreement period are outlined in the
inspection projection reporting form, EPA form 5700-33H, in
attachment 2.
Categories of Inspections: Inspection will be conducted in
accordance with the procedures set forth in the updated
Pesticides Inspectors Manual. The categories of inspections
and investigations to be conducted include:
agricultural use;
non-agricultural use;
experimental use;
producer establishments;
market place;
imports;
exports; t
certified applicator records;
restricted use pesticide dealer.
Federal facility and lawn care inspections will be a
subset of these.
Producer Establishment Inspections: A number of routine
producer establishment inspections will be completed so that
all producer establishments are inspected over time on a
routine basis.
Federal Facility Inspections: With regard to federal facility
inspections, as stated in the EPA Federal Facility Compliance
Strategy, November 1988, "— with the exception of very
limited presidential exemptions . . . federal agencies must
generally comply with all provisions of federal environmental
Appendix VIII 10
-------
Pesticide Guidance FH2
statutes and regulations as well as all applicable state
requirements ...". The State has negotiated with their
Regional Office and committed to conducting an agreed upon
number of federal facility inspections. The State will do (#)
of these inspections. These inspections will be subsets of
the categories of inspections routinely conducted and outlined
above.
Comprehensive Inspections; It is expected that the State will
conduct comprehensive inspections, addressing every element
of each type of inspection.
Strategies: The State will follow requirements related to
inspections which are included in National Compliance
Monitoring Strategies.
Narrative reports will continue to be prepared on the
inspections and enforcement actions taken as specified in the
applicable compliance monitoring strategies.
EPA form 5700-33H: EPA form 5700-33H will be completed and
include projections for the categories of inspections listed
on the form.
Documentation of Inspections; Inspections will be conducted
in accordance with the procedures set forth in the updated EPA
Pesticides Inspection Manual.
Among other things we will ensure proper documentation of
inspections (affidavits, maps, photos, etc.).
Inspection Reports; Copies of all inspectional reports will
be retained by the State/Tribe for a reasonable period of
time, but at least until any associated enforcement cases are
resolved and closed. These reports will be available for
examination by EPA or be forwarded to the EPA Regional Office.
(Note: Applicants with partial or no enforcement capability
must develop procedures for forwarding inspection reports to
EPA for enforcement determination and action. These
procedures must be submitted for review with the cooperative
agreement application and must be approved.)
D. Quality Assurance
1. Quality Assurance Project Plan
The State of hereby verifies that an updated approved
quality assurance project plan is in place for FY 92 and is
attached.
Appendix VIII 11
-------
Pesticide Guidance FSB
(Note to Regions and States: 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 appropriated with their
cooperative agreement application.
2. Analytical Methods
Pesticide formulation samples collected for determination of
product compliance shall be analyzed by the (insert State
agency name) laboratory, 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 (CIPAC), or other standard analytical methods. All
potentially volatile samples shall 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
shall 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.
3. Cross Contamination Screening
(Insert name of state agency) shall establish and utilize a
cross contamination screening program for pesticide
formulations in accordance with the EPA Cross Contamination
Guidelines.
4. Check Sampl* Program
(Insert name of state agency) shall participate in the EPA's
National Enforcement Investigations Center (NEIC) Check Sample
Program. The (state agency) will submit a report indicating
the methodology used and the results of the analysis to EPA.
Appendix VIII 12
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Pesticide Guidance FB2
If the State fails to obtain the correct results, EPA and
(name of State agency) will reach agreement on appropriate
follow-up activities.
5. Back up Analysis Procedure
The (insert name of State agency) may request back-up analyses
from NEIC or other NEIC recommended laboratories., if necessary
or requested by the Region.
C. Training of Analytical Chemists
EPA will provide training of state inspectors and analytical
chemist, as necessary. Using cooperative agreement or other
funds, the State will avail itself of EPA workshops, seminars
and meetings on proper sampling, analytical procedures,
instrumentation, methodology and quality assurance.
7. Laboratory Reviews
(Insert state agency name) shall allow EPA representatives to
conduct on-site laboratory visits to review State laboratory
analytical capability and procedures, and to discuss areas
needing improvement.
8. Provisions of Analysis Results
The (insert name of state agency) shall send a copy of the
results of any sample analysis made under the authority of
FIFRA to that person from whom the sample was collected.
9. Submission/Retention of Reports
Copies of all analytical reports, associated raw data and
other necessary records for samples collected shall be
retained by the State and be available for examination by EPA,
or be forwarded to the EPA Regional Office.
The analytical reports must be retained by the applicant or
the EPA Regional Office until the associated enforcement cases
are resolved and closed out.
B. Formal Referrals
The State will conduct activities under FIFRA Section 26 and
27. Section 27(a) of FIFRA requires EPA to refer to the
States any information the Agency receives indicating a
significant violation of pesticide use laws. The priority
areas for referral for FY 92 have been identified in writing
and are provided in attachment 3.
Appendix VIII 13
-------
Pesticide Guidance
All pesticide use cases, identified as significant, will be
referred to the State by EPA in writing, and will be formally
tracked as set forth in the Final Interpretive Rule.
The State will commence appropriate enforcement 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 regulatory structure or the complexity of the case.
If the State has not reported on the investigative status
within 30 days of the date of referral, EPA will contact the
State to learn the results of the investigation and the
State's intended enforcement response to any violations
detected. An investigation should be considered adequate if
the State has: (1) followed proper sampling and other evidence
gathering techniques; (2) responded expeditiously to the
referral; and (3) documented all inculpatory or exculpatory
events or information.
If the Region determines that the State's intended enforcement
response to the violation is inappropriate, EPA will first
attempt to negotiate an appropriate State enforcement
response. If the State is unwilling or unable to alter its
original enforcement response, EPA may bring its own
enforcement action after notice to the State. That notice
will summarize the facts relating to the State's enforcement
response, discuss reasons for EPA's determination that the
enforcement action is inadequate and state that EPA will
initiate its own enforcement action. The Region will not
initiate an enforcement action sooner than thirty (30) days
after the State was notified.
7. Enforcement Response, Case Development and Tracking
Activities
1. Enforcement Response Policy
The up-to-date FY 92 enforcement response policy (ERP) is
provided in attachment 4 and will be followed during the
project period of this cooperative agreement.
In determining enforcement penalties and/or in negotiating
settlement agreements, the State of will consider
potential pollution prevention activities which a violator
could undertake in exchange for an appropriate reduction in
the enforcement penalty where applicable.
Appendix VIII 14
-------
Pesticide Guidance K9C
2. Case Development
The review of all inspection reports for the detection of
possible violations and the initiation of appropriate
enforcement action, is an important part of every
comprehensive pesticide enforcement program. (Insert state
agency name) will review the quality and adequacy of evidence
gathered during the course of all investigatory activities
performed under the cooperative agreement.
(Nota to Regions and States: Each cooperative agreement
should include sufficient resources, for this activity, to
ensure an adequate level of case development and enforcement.
Violations of the applicant's and Federal laws are discussed
below.)
a) Violations of Applicant's Law Only
The State will review the quality and sufficiency of
evidence gathered in the course of all investigative
activities performed under the cooperative agreement.
If the evidence reveals a violation of only the State's
pesticide laws/codes, the State will pursue an
appropriate remedy provided by State Law.
b) Violations of Federal Law Only
Where evidence reveals a possible violation of Federal
law only, the State will forward the information to the
EPA Regional Office within 30 days after completion of
the investigation. All cases forwarded to EPA will
include all evidence/ inspection reports and/or forms,
a brief narrative of the case, and a recommended
enforcement response.
The State will prepare and make available to EPA, when
requested, testimony and other evidence pursuant to the
procedures adopted by EPA. The State will provide
witnesses for informal settlement conferences, public
hearings, and appearances in a court of law, as the EPA
requests.
c) Violations of Both the Applicant's and Federal Law
If evidence reveals a violation of both State and Federal
law, the State may bring appropriate enforcement action
under State/Tribal law or refer the case to EPA for
action under FIFRA.
Appendix VIII 15
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Pesticide Guidance FB2
For all pesticide cases, for which the State determines
that the most appropriate enforcement action is not
available under State lav, the State may refer such cases
to EPA for enforcement action under FIFRA.
3. Cross Jurisdictional Situations
(Note: This is discussed on page 61 of the FY 92 grant
guidance.)
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. the cooperative enforcement of problems involving cross-
jurisdictional situations. (These procedures are provided in
attachment 5.) OR (These procedures will be developed during
FY 92 and submitted to the Regional Office.)
a. Tracking
The (insert State agency name) will establish and utilize a
management system for tracking all inspections, violations
found, and enforcement actions initiated. The tracking system
will, at a minimum, include the following elements:
• Date of inspection
- Reason for inspection (routine, complaint)
- Name of person or firm inspected
- Violation found
- Summary of past compliance history
- Enforcement action taken
- Date of enforcement actions
- Disposition of action
(Note to Regions and States: The tracking system must
constitute a system for allowing the rapid identification of
the status of a case and an information resource for informing
citizens of the ultimate disposition of their complaints.
Maintenance of the tracking documents and associated files and
the length of time that such files will be maintained must be
addressed in the cooperative agreement work program. New
applications must submit a description of the tracking system
with their cooperative agreement application and the system
must be evident within three months of the start of the
project period.)
Appendix VIII 16
-------
Pesticide Guidance 192
Under the aforementioned tracking system or separate system,
the State will document and track the inspections, violations
found and enforcement actions taken in follow-up to
cancellations and suspensions of pesticides. Reports will be
prepared on the inspections and enforcement actions taken
after the suspensions and cancellations as specified in the
applicable compliance monitoring strategies.
H. Reporting
The (insert State agency name) will use EPA Form 5700-33H (in
attachment 2) for reporting the required comprehensive
inspection and sample collection accomplishments under the
FIFHA Enforcement Cooperative Agreement. A narrative report
may need to accompany the reporting form to discuss any
pertinent State enforcement activities not addressed on the
form, any program highlights and/or any program problem areas.
Completed compliance monitoring reporting forms will be
submitted quarterly. These reports showing inspectional
activities and enforcement actions accomplished shall be
submitted by the State to the EPA Regional Office within 30
calendar days following the completion of each Federal fiscal
year quarter. Quarterly reports will be submitted by January
30, April 30, July 30 and October 30 of each year.
Reports will be prepared on inspections and enforcement
actions taken after "major pesticide regulatory actions" as
specified in the applicable compliance monitoring strategy.
Z. Accounting Records and Piling systems
(Insert State agency name) will 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 grant
regulations and generally accepted accounting principles.
(Note to Regions and States: 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.)
J. Evaluation Plan
(Note to Regions and States: The cooperative agreement should
include an evaluation plan mutually acceptable to EPA and the
State. As a minimum, the plan should include a schedule for
Appendix VIII 17
-------
Pesticide Guidance 192
conducting timely mid-year and end-of-year on-site
evaluations.)
X. Unresolved Problems
(Note to Regions and States: 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 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.)
L. ZPA Support to States/Tribes
(Note to Regions and States: 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 grantee expects EPA to provide and
is or will be available to assist the State in meeting its
commitments.
The cooperative agreement should describe any negotiated
agreement between the State and EPA for the handling of
referrals and requests for information from the State. The
agreement should include any time frames that are mutually
agreeable to the State and EPA.)
Appendix VIII 18
-------
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APPLICATION FOR
FEDERAL ASSISTANCE
i. rm of
SUM
a
a
4. o*rt MC«r»m «v
tC*MT *M
AM TVUt AM OOMVCT.
A**UCA«T «1U.
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Appendix IX
Authorfx*d for Local P*oreduction
-------
January 19. 19*1
Part XXXII
Environmental
Protection Agency
Sunmary and
on PubAc PwttdpaOoo PoAcy
-------
S7M
Feder*.! I»t<*t*r / v°' ** No '* / Monday, January 10. 19&1 / Nolle**
AOCX7
Protection Agency. 4O1 M Street. 5%V,
Waahioglon, 0 C 20440. telephone 20Z/
Summary and
•teasneie art P\jotte
: Environment*! Protection
Agency.
acnoag Policy
*vtM«A*>T Thi* Policy i» dengned 10
provide guidance and direction to public
official* who manage end conduct EPA
jrogrtmt on mtontble and effective
™*tnt of involving the public in
prrgrtm deciaion*. The Policy tpplie* to
program* under iht Getn Air Act fPub.
L 95-93). Quirt Communitie* Ad (Pub.
L 93-000). Retource Contervanon *nd
Rccovtry Act (Pub. L »4-i«3). TO«JC
Subeiance* Control Act (Pub L X <«•!.
Federal Insecticide. Fungicide and
«odenuclde Ad (Pub. L 9J-JW). Safe.
Onnking Water Act fPub L IV190L tnd
iht Cean Water Act (Pub L 03-217}
T>.r Policy eaiebliahee iht abiective*
of public participation in EPA programa.
ouilmtt ettentitl element* that mutt be
incorporated ui My public paroaiiation
effort. diAcutaet • number of public
participation mecharuamt with ground
rule* for theu* effective ate. ind ittigna
ret pontibdiry for pi •fining, managing;
funding. «nd carrying out public
participation activiue* to EPA
manager*. Tb* Intent of iht Policy It to
enture that mtaager* pUa la advance
nrtdtd public involvement la their
program*. Lhal thty eoruujl with lha>
public on itfuea whtrt public cooua«ai
can b« truly btlpful that Utty om co*rr*cr
Sharon P. Frtuda. Special Aj«l»laal for
Public Participation, Offlca of (h«
Adminiatraior (A-100). EnvlranaeniaJ
Tb«
Policy which lake* ef/td'wiXh (hi*
publicaUon la Iht reaull of long end
cartful cenatdaration on th* pan of EPA.
Suit and local agtnat*. and Lbe divert*
public thai I* actively concerned with
EPA profranu. EPA already enjoy* •
aubauntial amount of involvement froa
an active and inttrtated public. Indeed.
to thai public goe* tubiiannal credit for
progrt la mad* In cleaning up
environmental pollution over the laal ten
year*. There haa been recofruiion,
however, both intide and ouitide iht
Agency, thai new tiep* nerd to be taken
lo enture thai member* of Q>« public
affected by EPA prog/am* art pvtn aa
earlier and belter opportunity to be
heard in EPA droaionmaUng.
EPA haa rveatvtd a aigruficaAt voluo*)
of thoughtful cnticiam of it* performance
In implernentlng in legally maadaud
public participation acuviiie* and its
more general rtiponaibiliry to Involve
th* public in governmental deoaloaa.
The d**ir* of the public 10 havt a
tlronger role in ihapmg goveramenl
program! which afTect Ibeu* live*.
butinettea. and comauniUe*. aod alao
th* grown* need for govrmmeotal unila
al all level* lo parUdpale la the.
program* of other governmental entitle*
baa ttimulaied thia cnUcJtm. *
Covemaeot dadiioo-maker* have
become Incrtaitngly aware of ibe
capability of the public 10 maa*
conacmcUv* uae of opportuAitlee for
laTolvemeaL Tola orw awareneaa haa
beta accompaaJed by lacrtaaed
practical experience la uauxg a vtrlary of
tachalque* to fadliuia public
tavolvtmtflt.
For theae reaaoa*. EPA bat recognized]
ih* oeed to isiprove public involvement
la governmental decltioot by
ta* rvgbu and reaponaibiUue* of
pattnual partapani* aad taoa*
rt*poo*tbl* for tdminiitertng pqbllc
participaUoa profraaa. Thit wAU lead to
better dtdtion*. more aaQtfactory
opporrunitJe* for ih* public to purru*
their goala througa goverruBent. aad
greater public canAdenca ta government
becaoae dedalon* will be mad* with
participaUoa by Interfiled and afftctadl
meabert of the public.
Both EPA and member* of the public
•have more demand* oiTihii/ tcarca time
and reaourc** than can be RUed. and
need to ate them where the rteulLi caa
be moil effective. Thi* roHrj'
retain will benefit the enurt Agency.
and will give iht public new
coo/irmaUon thai EPA Intend! to bt a*
retponiivt a* pottlbl* to public
quetilont. concema. and preference*.
Thi* Policy I* the rttuli of aoaiytia
and>*form» tnttilMtcd at the
Adalnittrau*tnn*. and trade
aiaodauona with 27%. Additionally. 15%
of comment cam* from Stale agenciaa.
10% from,dUient-*i-Urg*. 10% Irom
Appendix
2
-------
Federal Retiiter / Vol. 46. No. 12 / Monday. fanuary 19. 1M1 / Nolle**
5737
local ofTiael*. 9% (roes other federal
egenciee. end 2» (rom academic
injidtutioa*.
Over 49 ueue* were eddreteed. and
of theie. ihe OHM thai drew the ereeieel
•reouAl of diacuMion were, tha
following- US* compoaitioa of adrieory
group*: whether to provide financial
•iiiaiMca la tha panidpailng public.
•nd uader what criteria; whether ta
apply tha Policy ta Slat* ageaae*
carrying owl EPA program* e»d the
conitnt and UM a/ Re*poa»tveae*e
Suau&ane*.
. Eighty-five percarrl of (haee woa
commented iwppaned • Anal Policy ea
tlrorvg or auanaer thaa the aae lha
Agency proposed la late April and (hi*
tup port came, from »U Mctar* of the*—»a»
public, la (ha caae of Stale agenciee. for
example, only 7 of (he 44 who
commented were negative about EPA a
emphaai* aa: public participation or
wanted lo tee H weakened. The other 17
• |tno*! all wealed • Policy and
wanted u even monger thaa EPA
pro pood. Economic inure*)* eipreeaed
opiruona on both tide* of the laeua. but
3% wanted It »(ro«vger aad 30ft
•upported the Policy ta proposed.
Thoie who oppeeed lie propaaed
Poli.y laid thai EPA iheuld net be la (ha
b juirta of tiimulaiiog pasucipaUoo.
People who era really concerned, they
taid. wUJ coae forth aad participate o«
their ow«. Thi* aaaumea. however, thai
people on thet/ own w\U kaow thai
environmental declalona are about to ba
made, thai ibeea deOatoa* a/Teef the^
and thai thay "vU have eoavAB
btckfrouAd lA/onnauaa to ba able to
contribute lo what la ujually a '•>>«««••— i
anrl ooeiplei diaaiaaiao.
The Ajeacy e0rvae thai public
paruapauon auai aot ba a ooatflved
rxeruee. oor taauld II ba uadarukea
with ihe purpaea of maAlpuIaUAf tha
public into a(r*««eal with a
(otamiBental poaiuoa. EPA rernejilml
in reiponaibtlily la |)»e affected »ector«
of the public a fat/ opporruajty ta kaow
of forthcoaUrvi frtTtrnmreul dedalana
and lo be baard whaa thaaa oadatoBa
are Bade, dear requtreaiaatj w\U avaka
public Uwolvesent mart ooal-«fr«cu*a.
both lot G7A oxaAaaeaiaal aad for Iha
vinouj kectori o/ tha pwbUc
It U ciea/ {TOA wld*»u»»ad luppert for
an efTecUve Policy thai CPA'i eeaphacU
oo public partidpaUoa itruci a
(T»poo*4»» cbort la all aectan o/ lha
public The pubUc i tAaiichiAaiy
maonrd tUlaaaata for aajpUjytai or
itrenitherunf aipecu of the prnpijiiil
Policy bav« eoovuicad ua o/ (ha ovant of
a number of chanfra. EPA reoof^u&n
(he commiunenl 11 It aaw ""-^'"j to
more open and effective eoruullattoa)
with Lba publtc, Thl* Policy w\ll pro»-wle
a ttranf and practical framework to
guide our iaieractlona in the aioaihe>and
year* ahead.
Sumaary ol let paaea la Pttbttc
TVe foilowina aectiona retpond to
malor paiat* raiaed ta coavaeou aade
by tha pvhUc.
1. OA/ecti'rM of EPA '» •a/i'cyr There
wa» luppon from all eectar* for the
objectivea Hated la lha propoaed Policy.
but a ouaber of people called for
addidoaa «• wvtt. The«a lacluda the role
of the public la Ideao/ytrvf aad Mleeting
a«on4 altemaUvee. (Sa taportenee of
early aad cariUaulnf lavolvemeat (he
lifruAcanl opportunlfv thai public
partfdpajiori afTorda fjaeminiparn
redudni canflicta, and the need to
create equal aece«a to the regulatory
procaea. Coounentore alio pointed out
thai objective* need ta ba
cataprehenalve luvce Uiey provide the
y ardaUch for evaluattoo. Ail of theee
•uonQont have merit, and C?A ha*
added them to (ha Anal Policy.
Motl of (he law* admtnliiervd by
de«i(naie certain profraa* which can
ba •dminJitrrrd by a Slate. Inaiead of
by EPA. I/ (ha Slat* program veeta
Harulory and regulatory criteria. The
prepaaad Policy required EPA to provide
for public parOdpailoa la the proeeae of
deodlaa; to approve iaca Slat*
progreeje. It alao provided thai, after
appfwal the State would aaaoAa
reipaaalbtliry for okeerlAg tha public
paroapadoaj nMulreaienia.
la lha preamble (a lha propaaid .
Poucy. EPA drrw •iiroUoo w> iMa
•altar, aaal ipao/lcall* aaaad far
cooimaal o*. weather lha Aaeocy taowld
apply (ha Policy la EPA pregraaw when
coadtacled ay Slate*. A aup« proparuoa
of maiiaaaier* kom all calegonee
preferred tha epuaa a* prapaaad. oa lha
trounda (hal pa/rtctpaaoa la me^ed aad
beaaAoai ta program dadaloaa '
regardleea ol who adoUAlatan lha
progroa. A mach tanaTiar aitmber o/
oaairaiBlar* favorvd parmllUai Sutee lo
echleva -eubelaallaUy eqm*»aJ»n*
reeaJu* la EPA'i Pollcr hawevar. aana
reepanded la E?A'» re^uetl for ••ovaTie
ludeelioea for wordlnj and rrahiauea
criteria* Uooe *rub*taaUaUy *«;ut*alanl
pronatoavt have i axiiory of beiftt ***y
lo repavae but dVTloBll la deoioaitriie.*
After reiduxj all the ceoaaweu. E?A
cancludre (hal the Policy. •* propoaed.
haa fuffloevt flrubtllry withia a conie«l
of practical requwroktali (hat U will ba
beaaAoal la Scti* program
Two year* ago. w*-m EPA propoeed
It* refuialioa for public paruapauoa tn
Of an Water. OrUiklng Water and Solid
Wane prot/ama («0 CFR Pan 2H tha
quetUoa of ipplyin^ the reoj»irementa to
Slate* wa* inlenaely cantiovemaL Now.
with more than a year of eapenaaca in
thaaa prograou. the wont
apprchenaton* have not malerialLied
and public partidpaiiaa ha* begun to
prove it* eonalractive role. Moil Slate
ageociea. therefore, were not troubled
by (he propoiaL la view of tha
coounenit received and tha diicuicion
• above. EPA findi no need to alter thia
atpe«i ol the Policy.
X Consult off w/(A fan 23
Rei'jlatiort* /or Public Porljcjpation in
\\'at»r and Wattt Manafitnufit
Prasnff* la propoiin^ih* PoUcy. EPA
made e conacioua tl?ofi to cnaure
eompanbUjiy belween ita provulon* and
ihoie of (he earlier Part U regulation (or
pro|r«ma under (ha Clean Water Act
Safe Onrtkini Water Act. and Reaourca
Canaarvaiion and Recovery Act. Two
edditione (hal EPA la now cnaklnj 10 (he
Policy will funhar remove (he
difference! belween the two documenia
and Iwwj (he Policy Into cloaar
iLfiuaent with Pan li. One chanfa I*
lha re«julr*meal thai EPA review and
require further •flam a* seeded to
achttve tha balanced membership
re^uiremaaj for adviaory groupa. TSa
other chaAfe !• thai EPA may require
corrective ectloa oa. ihe part of Suie
program gnnue* la eruure ooaiplianca
with (ha PaUcy. While difTarencea IA
wording reaiala baiw«ao the two
documatilA. EPA aalda thai «0 CTX Part
U ful/Ula tha talent and roqulrementa of
(ha Policy In (he procedural aseea
(Sestioa) 0. of Policy) o/ common mbtect
maltar. U di/Tareneea remaia berwaaa
Pan U aad (he Policy. Pan U will
control Tha •ecUoni o/ lha Policy on
work pUna. aiilatanca lo (he public, and
aulhanry aad reipanalblUly augment the
rr^utremeni* contained In 40 O~R Pan
U. ind apply to all prog/aou of ihe
Afency.
4. /few 10 /aVnti/y (A« M>l< Who
SAoWa' ^/ticipaia. Many of ihoee who
coavoenied on (he Ideoiineailon tection
of the PoUcy Uied au/ eaphaiu on
d»»»lop*«4 a ooauct till of Lni*re«ie«l or
tCltctnj meabeni of (he public »i Ihe
ouitei of a p«ruap«uoa opportunity
S*»»r«l poutied out however, that
coniaci Uiti aeW frvqueal updating,
r«p*oaUf oa len^ihy pro^ecta. Th'ii
ch*n|« we w tncorporeiuvf A ouoiber
of ihoif who commented On thli Ma)onry of aoauaenli taaed
for amplification of (he Ou(rvach
Appendix x
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5738
Federal- Retf*»ar / Vol. 441 No. 12 / Monday. f«nu*ry 19. 1981 / Notlett
section Commentert sent many
v*iuable suggestion*, many of which the
final Policy incorporatee. Some general
areas of concern with which we agree.
•nd have responded lo la the finel
Policy. IncWe (he following: (») P«W««
•CC*M la la/arauuan I* crtucti to
«ucc***ful public perticiperioa
program*; (2) Information au»i be
translated from "technical" language
Into language understandable lo Ihe lay
public (3| outreach activities should be
emphasised •* ongoing scuviUee to ih«
public can be ktpt up to dait on mailer*
of concern: and (4) the uninterested but
impacted publics' view* need lo be
solicited in tome manner.
Specific comments sddressed each of
the major lectiona of Outreach. Under
MtLhodt. commenter* suggested further
ute of a variety of techniques, many of
<*hich we have added to (he final
version. Under Content. It wee
suggested thai maierlals be prepared In
clcer. concise lanfuafe to Inform the •
public of triggering events which Initiate
a proposed action, and provide deiada
on i-.pporung reiearch analysis end
m»'hodolofy. These euggesuona. along
wuh the availability of Environmental
Impact Statements, were Included la the
final Policy. Under Notification, the
maior concert* were thai notices shouJd
inform (he public about (he Initiation of
a decision.making process snd thai we
should describe the type of media notice)
required, la Die Oepotitonet section.
commenters suggested public and
university librancs as appropriate
locations, and that consideration ought
to be given lo accessibility, travel tine.
parking, and availability during off-work
hour*. We agreed with these suggestions
snd included them in the final Policy.
8. Public Notification of Financial
Aitittanc* A<*ord»: We received
complaints from the public thai often
they never hear about EPA funded
projects that provide participation
opportunities In programs of Slat*.
subsists, and local government*. They
suggested that we Incorporate some type
of requirement thai notice be given
either at the time EPA receive*
application*, or after award acceptance.
After carefuJ consideration, and with a
conscious effort lo keep the Policy
consistent with 40 CTR Pan 23
regulation*, w* have added a section
under Timing thai the recipient give
public notice within 43 days of award
acceptance.
7 Method* lo Improve
Communication Between £P4 and tftt
Public: Many commenters were
dissatisfied with the Dialogue and
Hearing section. They felt we placed too
much emphasis on describing hearing
requirements, and did not give enough
attention to other method* of ensuring
communication, between EPA tad the
public. W* responded to these concerns
by amplifying the Ci'a/ef e* section la
include (he**1 suggestion* and listing
other method* of soliciting and using
public Input These method* Include
review group*, workshop*, conference*.
personal correspondence and
conversation*, meeting*, and citizen
panel*.
a. Suggtttiofit for Improvement of
Hearing Format: All sector* of the
public responding fell thai hearing
procedures needed lo move away from
ngi4 ritual* and be more attuned ta
listening and responding lo th* public'*
views. We sgree thai public hearing*
can be more successful If they are
conducted In a non-Intimidating manner.
and if the public haa been Informed of
the Isauea and haa access ta pertinent
Information prior ta the hearing. Toaa*
•who commented on the Content of
Notice sectlaa stressed the Importance
of early snd clear discussion of the
Issue* and elleraauvea the public I*
asked lo comment upon. Under Conduct
of Hearing, many commeoter* asked for
more lofoimaliiy and opportunity for
questions and answers in the hearing.
People slsa cora/nenied thai hearing*
are often located too far (ram th*
effected are*. We have revised the
Policy ta Incorporate these Ideea.
i. 4*~Oay Notice Prior ta Hearing*:
Although some cammeniert fell thu a
43-day notice prior ta the dale of e
bearing wee a needlesa delay of Ume
and would slaw down the procasa.
others felt that 44 daya was much too
short a lime ta expect Individual* or
group* to prepare adequately for
hearing*, and some said thai a 60 or flO>
day notice would be more appropriate
for proper preparation. Approximately
30% of Ihe respondents fsvored a 3O-dsy
or less aotice period, with the remaining
TO* favoring a 4S-day or longer period.
However, the bulk of the comments
favored keeping the hearing notice
requirement at 43 days. The major
reasons for the 45-day nolle* period
Include: (1) there la lillla control over
mail deliveries and often the Interested
public receives information too late to
prepare effectively for hearing*: (2)
many group* meet one* a month and
need time ta meet and discus* (he noi^c*
lo decide on a course of action: (3) travel
Ume over long distances la often
Involved to acquire and review material:
and (4) the review material It oflen
complex and require* lime for rssearch.
Additionally, w* received comments
concerning the discretion given to
Asslstsnt Administrator* and Regional
Administrator* la waive the 45-day
requirement la 30 days or l«s* in
emergency situations, or if th* issues are
not complex or controversial. Some
cammeniera obfeotM ta the waiver
saying It give* Ihe Assistant
Administrators and Regional
Administrator* too much discretionary
power, and feared they may use the
waiver more often (haa necessary. We
feel same flexibility must be maintained
here, and that the Assistant
Administrator* and Regional
Administrator* would be able to make
exceptlona they feel are warranted.
However, we have stated thai those
objecting ta a waiver may appeal to the
Administrator of EPA.
10. Competition ofAdvitory Cravat:
One of the subfects most widely
discussed la the proposed Policy ha*
been the composition of advisory
groups. Almost ail who commented on
this subject believed EPA was fair and
used good judgment to prescribe a
balance of backgrounds among advisory
group member*: however, a great many
cammenier* believed certain categoric*
•ympathcilc ta their own viewpoints
should be given added weight, or other*
of contrasting view* should be
prohibited.
Overall cammenter* favored EPA'*
propoaed balance of categories n*a-la»
one. and we Intend la reiala this
provision, with rwo Important addition*:
tribal officials have been added aa
another category of public officials, and
we have made, dear that elected public
official* should not be from the decision-
making body th* group Is advising.
Several people wanted "ciUxena with
economic Interests" and "organisations
with economic Interests" aa two
separate categories, but we do not agree
with this proposal We prefer lo leave
the citlian-at-leree category
unencumbered so sppolntlng officials
can have room to select a variety of
Individual* with potentially worthwhile
contribution*.
11. Proof of Effort to Achieve
Advitory Croup Composition: A number
of those who commented were
concerned thai the balanced
membership of advisory group* could be
manipulated If (her* I* not torn* degree
of oversight by EPA. They also pointed
out thai the 40 CFR Part Z3 regulation
has a section calling for demonstration
of "proof of effort' and this section haa
given valuable oversight lo agencies
with advisory group*. We agree thai
federal guidance may be valuable In (hi*.
section that requirsa advice, assistance.
review, and approval by EPA,
It Ute of Advitorf Croup
Recommendation* A number of people
Appendix X
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esj:icide Guidance
FY92
Fodofal Brejitar / Vol. 46. No. U / Monday. Unuary 19. 1981 / Notices
5739
tipencnod with *dvt*ory group*
reported ih*«r fruftrafioo with
whea in* group fall that*
recommeadiliooj wtr» being
§uppr»r»*d by th* afrnacf lh«y
•dvuod. Stact • »«iar purpo** of (hi*
Policy I* to laprov* op*aa«u en ih*
post of fo»«rui«nul to a tie*. w* havo
added • ihort Mcaoa to IB* Pollcr
wblcB aak«* It d*«r that idrnory group
r*coma*«d«(loej should b* pubUcly
available.
IX Tb* frtqv9i>ey w4 U** of
Hnpo»uvr**t» Svnatantt: Th* gr»«t
majority of the** woo eoav»efli*d on
ih* tubject of KeepoBtivene**
Sumaana* luppontd E"A'*
requirement *nd thought the**
luavaarUa would provide «a tapaeaaaaw*
idtliUon lo deo»lon-o«AiAg, A frw
people pointed out however. lh«» our
emp^im ibould nof b» on documtniin|
public vt«w* »* much •• it theuld b* ea
unrig tbf m. W* igre* with theie
conur.tnu *nd b«v» idded Mm*
l«ogvi«ge (o reflect thlf eoiphuit,
Additionally. lb«r» w** • crrtfio
•mount of mt*und*ni*ndlng ih«»
Reipontivenef* SuAfaart*-* wo*ld bt •
required *ft*r *«Tfy b**rwg or m*»nn4.
Thu it aot ou/ Lnitat bul r«th«r It if Lh»i
d«3*lon polnu." Th»»« wvU
in public p*/tiap«aoap*tloa ihooid ha built into
program operating budget*. Many
mrreber* of th* public. •* well if Slat*
•nd lubitu* ofTidali woo commenied
on th* Policy, lupported EPA'* eoipha*t*
upon work plan*. In fact »*v*ral Mid
work pl*na *hould b* dl«cuMod *orij*r
In the Policy. • *ugg**tioa wo hav«
liken. Additionally, wo have «dded
•om* clanfying a/id iiroftf theitiAf
Ungu«4* on th* content of work plena
•ad (he tiOMAg of IhaU preparation.
Work plan* will b* developed at both
the program and project level*, and EPA
wtll provide guid«ne*%i th* can lent of
th*** docuiamt*.
1•> n» Ut* of Pb&lic fundi ta A nut
' t*nuon to
cantlnu* lo fund *ucb
aoo •d|udiCfi«ry
17 Hw
p*>opl« who cwawn»ni*d
Policy Uird vh» A«»ne
• Kick ouiUa*d LB* •MiAonijr ««d
rvfpuuJtiUtjr of va/ioua Ajvocy
for *aawMi| IB*
''f Aw«mi*«a> in-' '*'
«i«fT rvtuu/ca* to ba tbt* to Admutittrcior T\*»* tacttuA*
Tpbre of •
of aa
run into IB* lbiML*«ndj W* da
ihr policy to
in
to
u« *r«
lh«l «U *p«rtiap«ntj
li rs» v«« grecier re»p*u»a ta Poucy
19. ftflotiontbip Bitwttn Public
PortiGiftOUan Policy and Environaitatai
Impact Stoi»f>»M IE1S) Procftt: S«««ral
ptopl* nottd thai ih* propo**d Policy
»•• nUnt on how ih* Policy flu with
th* Agency i US procaduret. QS'i *r«
undvrtakm primartly for grant* for
w*i irwaitr tr**tm*nl plan*. n*w *ourc« *
Nctionai Pollutant Difcaorgo
Dimlnatlon Sy«ttm (VPOES) prmlta. * '.
•nd c*rtaln ma|or rr-rulitlani. Maoy of
ih* goal* of thli public participation
Policy *nd CPA'i E1S ptr>fr«m« «r»
ftmllar. Th* r*^ulr«mmi* of ih* nrw
Policy will »*rv* to rttnforc*. *nd In
•om* e**#i. iuppUm»nt tiiiting EJS
procrdurv*. tn rrwttinf ih* Po6ey. w*
h*«* iddrd • niuabor of r«f*r*f«c** to
EI9** Ta •intiiiiiiia««ii*ni'iiiiiw>*-|i ,
20. O* trail £ra/uatiaa ef
Sa«*r«l comm»nl»r» from
or Slit* go*«rrun*nl •|»ncJ«».
• • "*U •• tdvtrti aUMt* with y**rt of
t *p*n*nc* «i «ctt«* paruclpantt. drtw
• itiniioo to ih* impo/unt* of « v*luatinj
th* Policy Th«y laid tiu thould bo
dona both to overt** how w*ll It*
protliioni *r» b*«/ig followed «/td lo
Uvfllify. wh«r* poiiibl*. lb* rtiulli of
Unpra*«d public lA*ol«*m*nt oo Agmcy
dratloA* *nd profriat iaipl*m*nt*tlon.
f7A I* aoavaiiitrd to *>*lu«nng (bu
Policy wtlhla lh/«* y««rt from th* d«i*
of publlcaOeA. TSli will *>• don* u/tdrr
th* dlrwrtloa of ih* Admmi«ir*>or'i
So«^*l Ajiimni for Public
P»r«iapatl«M T»U *««lu*Uoi« will
includ* twch ai*ll*rt •« *T»<)i*»n««i of
t \pvmitiuf**. »li«rn«n»« pwoltc
p«mionaiian i»»ihoO» puhlx
•nd rrparlinc rw^
ai*d* •
F7A
wr at
lo UM prvao*«vl
(\>licy oo th* U4»>« of wKai it lr«mr>l
(rum th* pobltf dunA( ih* com«»«i
p»ndd, !rtil— I ih* f««i»«d Policy n»r'f
<• • fuod *t«mpU of Kow
• o/i. T>»
c«me (r\>m
in public |«>Uc> All r»fl».
Ur «ullo*4 they (tie k>A ••MI
the
u/
if ji* (he
^ '.
rm«n (n.m •
«m <[ut* u> it
iK« public K*« ciu-w
I*
-*d Lhai Cf A nrmii
b«*«d a&iw* uU force* or
t* «U ih*
Kppendix X
-------
Pesticide Guidance
5740
Reff*l*r / Vol. 4A No. 12 / Monday. January 19.1981 / Notice*
policy Item*. They should be givea •
deadline. *nd only if they failed to
produce, ahewld EPA ttep ia aod do the
work. That would b* real
participation," be Mid,
A major national chemical
manufacturer opened it* statement by
saying th* Policy it not needed. MAC*
the company believe* It duplicate*
evicting procedure*. The company
continued, however. Iq urje substantial
reform of EPA practical la order to pve
the public a much earlier opportunity for
participation before the bureaucratic
momentum become* too grsat to accept
any change*. Th*y alto advocated
genuine rttponsivcnc** to the public.
not juit a "superficial consideration of
comment*."
A citizen group that ha* been working
forbear* to reduce advene: •
environmental consequence* (rota two
oil refinerie* cited a fenea of
disappointing Interactive with E7A:
delay* In obtaining requested material*
for review prior to hearing*: difficult!**
in teeing pertinent material* even when
they visited Slate office*; th* high co*t*
of reproducing document*: end • feeling
Lhai government agencies were giving
substantial amount* of time and
•ttittance io industrial applicants, but
were not even willing to antwer the
question* of opponent*, let slon* assist
them more substantially. The group also
hud the impression that EPA had it*
mmd m»de up si the time of a public
hearing, and the citizen* fell their own
efforts were wasted.
Statements such as these reveal ihe
fnjsirution that many member* of Ihe
public have experienced when Irving to
work with the Agency, and they also
point to the motivation and high hope*
that the public continue* to hold about
participating In environmental
protection issue*. Public participation
lies at the heart of f Us M. Ce*4»
ITaal &P.A~PoGcy o*> Public
Ptrticipa.Uo*
ThJ* Policy addre**** participation by
the public la decision-making,
ruietnaUng. *ad program
Implementation by ihe Envtronaeatal
Protection Agency fEPA). and other
governmental e« lilies carrying out EPA
program*. Th* term, "the public" •• it is
used here, mean* the people •• • whole.
the general population. There are a
oumber of Identifiable "segment* of ih*
public" wbV may have a particular
lateresi or who may be effected one
way or another by a given program or
decision. In sddiUoa to private citizen*.
Ih* public" Includes, smong other*.
representative* of consumer,
environmental, and minority groups: the
business and Industrial communities;
trade, industrial, agricultural and labor
organization*: public health, scientific,
and profession*! sodetiea: dvlc
associations: universities. educational.
and governmental association*: and
public ofFidala. both elected aad
appointed.
'Public participation" Is that part of
the agency's decision-making process
thai provide* opportunity snd
encoursgement for the public to express
their view* to the sgency. and assure*
that the sgency will give due
consideration to public concerns. value*.
•nd preference* when decision* are
mad*.
A. Scoff
The requirement* and procedure*.
contained In this Policy *pply to ih*
Environment*! Protection Agency and
other governmental entitle* carrying out
EPA programs (raftered Io herein as
~*gency"). "Die acUvuie* covered by ihia
Policy *r*c
EPA ruiemeklng, when regulations are
classified as significant, (under terms of,
Executive Order 12D44):
The administration of permit
progrsms as delineated In tpplicabi*
permil progrsm regulations:
Program actinias supported by EPA
financial assistance (grant* and
cooperative agreements) Io Siai* and
subsist* government*:
—The process leading to a
datarmtnatton of approval of Slat*
administration of a program jn lieu of
Feder.*! administrations. , * . , .
. — *Xa(o» policy decisions, a*'
aion» of the Policy
shall b« Included at *ppropri*U point*
In th**e document*. Before those
change* sre m*d*. the provision* of th*
existing regulation* or program guidance
•hall govern.
8. Porpei*
The purpose of Lhi* Policy I* to
strengthen EPA's commitment Io public
psrUdpation and eaiabliih uniform
procedure* for participation by the
public IA EPA's decision-making
process. A strong policy snd consistent^
procedures will make It easier for the
public to become involved snd affect the
outcome of ihe agency's decisions.
This In turn will assist EPA la
carrying out Ita mission, by giving a
belter understanding of the public's
viewpoint*, concerns, snd preference*.
II should *Iso make the ageocy'a
decisions more scceptsbl* to those who
sr* most concerned and affected by
them.
Agency officials will provide for.
•ncouTtg*. snd sasitl participation by
the public Officials should strtv* to
communicate with snd listen to sll
sector* of th* public, Wfecr* '
appropriate, (hla will require them to
give extr* eneourcgeiaeat and
•ssisunca to som* sector*, such ••
minor) tie*, that may have fewer
opportunities or resource*.
The Policy Idantiflea thoM actions
which are required and other* that are
discretionary, on the part of sgency
manager*. The Policy aaaume*. however.
thai agency employeea wit) strive to do
more than the minimum required, snd ts
not Intended to crisis barriers to mor*
substantial or mor* significant
participation. The Policy recognize* ih*.
agency's need to set priorities Tor Us use
of resource a. and emphasfzes'
participation by (ha public In decisions
wTTcrTopilons sr* available and
alternative* muaiJu weighed, or where
"substantial agreement Is needed from
the public If s program Is to be carried
out.
Public participation must begin early
In the decision-making process snd
continue throughout the process ss
necessary. The agency must set forth
options and alternatives beforehand.
snd seek the public's opinion on them.
M*r*ly conferring with the public after a
'• «w»da do** no! achieve this
Agency offlclala must tvold advocacy
and preeommltmenl to any particular
alternative prior to daclilon-maklng The
role of agency official* Is to plan snd
Appendix X
-------
Rrritler / Vol. 4«. No. 12 / Monday. |e.nu«ry 19. 1M1 / NoUect
5741
conduct public parttdpaltoo
thai provide equal opportunity lot *U
individual* 4/: d group! to be beard.
Official* thould activaly tee*. 14
facilitate. resolution of latua* among
diMcreein* inter**!* whenovar pomblo.
DecUioo-oukm are •*•!« that
laeue* •hica are aol rvaolvod to l»o
••lit/action ol (ho caecaraod public oujr
uliiaiataly fee* o«i*-aon»u«iA« w«o«».
I/ bSo ob|*cU*«o of CTA • public
pomciDauoa prefT^ni *r» *caie-v*d>
delay* la (coamaiodate lit 14*1100 4* ex Id
b* reduced.
la eetabiiaaiAf, • policy oa pualtc
perttapouaa. E7A a** lae followwe,
objective*;
. —To MO al) featible naarw to
early and ODnrmutAf, opportuaily far
public pasuopouoo la iffaacy
—To promote the pubLc •
ieal la (•plimannraj
1. Mtntificaltan. It la aeceeaary 10
Identify group* or maBber* of the public
who way bo interedod ta, or afTectod
by. a fonhcaaiuvi action TSi"i nay bo •
dona by a variety of eaeena developing
a conuci lul of poreona and
organiiaUona wbo may nava eipreaaad
an intereti in, or amay by taa nature of
(aelr purpeao* or ecUvlllee bo a/Tectad
by or fcave an utiercet ta • fonhrawatAg
activity. r«qu««fiA« fc*oe» otWr* la (ho
ajeftcy or from kry public powoa. ibo
name* o/ lalareated aad affected
InidivtdMla la Indudat uaiag
i|inillnan«lm or eurwy* la find] out
level* o/ awannn*. afjff oiaer awana.
If L7A U r»«>ir*4 to BJa aa
tnsi
P'
idrnnry i
TW reettonaibU aflScwKt) UaU
a oaataci U*l for tack prao/am
and add «o taa I
•ppropnat* cooinunJcaUon tool*, tnd
thould be tailored la (tan ti ihe public'*
let el oi faoulianty wlih ih
The followuve, tmoof other
• pproacbea. aay b« u*ed (or 0
pu/poao:
(1) publication*, fact theev*.
•ummartea. bibllofriphlea:
(21 4v**Uonnaina, turveya.
|}| public Mrvlc* 4nnounotn«nti. and
iinp4lr«il>»» o/ poiMUtJ
co»*r»»»
—To •aUat mlifirmi
1 f>*ra»Lft TW pvailc caa aaa
(41 educaUoaeJ tctlvttlet carried oul
by public orftmuuona.
b CantfKL Outrvach material* mu*l
Uiclud* backfround Information (e |
' baai*. rationale, or la«
I evaol af (he actlont •
[ o/ prayotfd «cciaoa: ;.
i of lenj^T j&cuBeni't or
! oMlert*! where rvlevene 4 ••'
drllnetrioa al U«ue«e aliemalUe coortet
of tcdoa or ieB(itl»* determination*
1 aa O3 uv. or wlO bo. ivailable.
ecu*e pamd^ano* by ta« public and
* enialili and <•
UafcUM p»nfti aadn^Uadliiej af a«o»»
IXrvrtor. or >»gir»iJ *-'—-.r-—•—
a* ttal afl ar^4*
ry MI (vtBaBO (4auJi«4 vili ito
< lae uwaairal **U
Appendix X
-------
5742
Federal Register / Vol. 48. No. 12 / Monday. January 19. 1981 / Notices
generally should b* oo In* thin to
days. Where; participation opportunist*
are to be provided ia programs o( Slat*.
subsiata. and local government*
supported by C7A financial assistance.
notice; shall bo given by (h« recipient to
lh* public within 44 days after award
aceveuaca.
a. /iee* /or Copying. Whaiwvar
poaalbio. tho agency should provide •
copies of relevant document*, freo of
eharfs). Fre* copies may bo reserved for
private dtlzana and public interval
organisation* with limited funda. Any
charge* must b« consistent with
requirements under the Freedom of
Information Ad aa MI forth ia «0 CFR
Part r
f. Orpotitorirt. The agency shall
provide one or more central collection*
of document*, reports, studies, plana,
etc relating to eootrovenial Ueue« or
significant draslons In a locatioa or
locations convenient to the public,
Depository arrangement* should b*
made wb«n poaaible with public
libraries and uAivertlty Ubrartoa.
Consideration must bo given to
accessibility, travel time. parking,
bansil. and to availabiUry during off-
work hours. Copying faciiliiea, al
reasonable charges, should be available
al depeattortee.
1. OiaJogv*. There mutt bo dialogue
b«fwe«a officiate responsible for tho
forthcoming sctlon or decision and tho
Interested and effected member* of Iho
public. This Involves exchange of views
and opn exploration of laauea.
eiiemallvea. and consequence*.
Public cansuliatloa must be preceded
by timely distribution of Information
and must occur sufficiently ia advance
of decision-making to make lure that the
public's options are not foreclosed, and
to permit response to public views prior
to agency action. Opportunities for
dialogue shall bo provided at times sod
plicae which, to the maximum extent
feasible, facilitate attendance or
participation by the public Whenever
possible, public me'eunga should be held
during nan-work Hour*, such as evenings
or weekend*, and al locations
•ccessible to public transportation.
Dialogue may take a variety of forma.
depending apon the Issue* to bo
addrtased and the public whoeo
Involvtment I* sought Public hearings
are the most familiar forum for dialogue
and often are legally required, bul their
use should not serve ss the only forum
for citizen Input. When used, hearings
'should bo st the end of a process that •
has given the public ssriler opportunity
for becoming Informed and Involved.
Often other techniques may serve a
broader purpose:
• flev/ew group* or oo* hoe
committee* may confer on the
development of a policy or written
materials:
• WorksAopt may bo uaed la discuss
the consequences of varloua
alternatives, or to negotiate differences
among dlverae parties:
• CoaftnncM provide an Important
way to develop concensus for changing
a program or the momentum to
undertake nrw directions:
• TatM /ore** can give concentrated
and experienced attention to an Issue
• Ptnonal co/trenatiosu and
pfnonoJ corrrtpondtnct give tho
individualized alientloa thai somo
Issues require:
• Mfttingt offer a good opportunity
for diverse Individuals snd groups to
express their questions or preferences:
• A seriee of at filing* aay be Iho
best way to addreaa a long and complex
agenda of topics;
• TWA/re* linn can aid dialogue.
especially when many questions can bo
anticipated or tloo Is shore
• A/leon/n1 pone/composed of
peraooa trota representative public
group* may bo uaed la non-adtudlcatory-
beaiiaga to llstea to presentations aad
review tho hearing summary.
Tola list la oot exhaustive, but II
Indicate* Iho Importance for program
mi oarer* In being Qsxjbls and choosing
the right technique* for tho rlgoi
oeca alone.
a. Ar^tu/rmentf for public Aewrrng*,
(1) Timing of Notice. Notices must bo
well publicized and mailed to all
Interested and afTected partieaoa the
cootact Usl (seo t. sbove) and to tho
media si least 45 days prior to the dale
of the hearing. However, whee tho
Assistsnl Administrator or Regional
Administrator find thai no review of
substantial documents la necessary for
effective participation and there are no
complex or controversial matter* to bo
addressed, the notice requirement may
b« reduced to no less than 30 days In
advene* of the hearing. Additionally, la
permit program*, nolle* requirements
will be governed by permit regulations
and will b« no less then 30 days. Notlca
for CIS'i sre covered by OS regulation
which calls for a iVday review period,
with an optional It-day extension.
Notice of the CIS hearing Is |*n*r*lly
contsined la the Draft US. Hearings on
OS's if* usually held before the end of
the OS review period, bul no earlier
than 30 daya after the OS nolle*.
AMlsfsnl Administrator* or Regional '
Administrators msy further reduce or
wefvs the requirement for sdvanc*
notice of a hearing In emergency
.situations whsre there Is Imminent
danger 10 public health and safety, or In
situalions where there Is a legally
mandated timetable. Assistant
Administrators may also reduce this
requirement if they determine that all
affected parties would benefit from •
shorter time periixL
Members of the public who ob|ect to a
waiver may appeal ta the Administrator.
staling their reason* la detail.
(2} Content of Notice. Tho nolle* must
Identify the mattar* to bo discussed al
the hearing and must Include or bo
accompanied by: (a) a discusaioa of
alternative* the public la being asked to
comment upon snd Iho sgcncy's
tentative conclusions on major Issues (if
any); (b| Information on the availability
of an E1S and bibliography of other
relevant materials (if spproprlale): (c)
procedures snd contacts for obtaining
further Information: and (d) Information
which the agency particularly MlldU
from (ha public. •
(3) Provision of Information. All
reports. OS*si and other documents and
data relevant to the discussions al
public hearings must bo available to tho
public oa request after the node*, aa
soon aa they become available ta
agency staft Background Informadoa
should bo provided oo later than 30 daya
prior to the hearing.
(4) Conduct of Hearing. Tho agency
conducting the hearing must inform tho
aodlanco of the Issues Involved la tho
dedaloa to bo made, the considerations
the agency wtll take Into account under
law and rrgulaliona. tho agency's
tentative conclusions (If any), and tho
Information which the agency *•
particularly solicits from the public.
Whenever possible, the hearing room
should bo sal up Informally. The agenda
should allocate time for present a tlooa.
questions and answer*, aa well aa
formal commentary oa tho record. When
needed, a prv-hearing meeting to discuss
the Issues should be held. Procedures
must not Inhibit free expression of
views. When the subject of a hearing
addresses conditions In a specific
geographic area, the hearing Itself
should be held in that general area.
(S) Record of Hearing. The hearing
record must be Isfi open for al leaal ten
days to recelv* sdditional comment.
Including sny from (hose unable to
attend la person, snd may bo kept open
longer, at the discretion of lha hearing
officer. Ths agency must prepare a
transcript or record of the heertng Itself
and add additional comments to the
complete record of the proceeding. This
ami b* svsllsti: if r-»lle Inap-^xn
and copying al cost at convenient
locations. Alternatively, copies shall be
provided free. If tape* are used, thsy •
should be svsllabls for ui* snd copying
on conventional equipment Whan a
Appendix X
-------
*r / VoJ 44. No 12 / Mund«>
JTU
t» • ivM h» ••***•*•*•• »A « a» »»••••»• j^.. ) . .^f ._.. T». T^_,
b A»*r9tn*ii fur mf
al »Jt
OMIhod* Ital CM b* rfcnin U
T !• 1*T-1 Uir»i^il'»'T Kl IU 4M !•>.«>•
• >J •.!>•*«* lh«l II »•• wl*J»»l.««l «1.l
<*••! *•% Q2T* •>
*1 •*
«M«ta«rtM* W
..^^M. ru
W p.*il« »..*..«« •» «^b»l A« f« >''• « ••^^•^•—
m w »^^» >-•' i* *»' *•&•
J.f ^^«« t^«. *^BM. f > « •««».ll«»« l»> *^MK>| W*. ^« •~^>
%t^ « 4ba •••^^^•^ » p *>MV ^^**^»** **
!**&• • • •i»»i.«« k>4 W«MfW.t »•< »<^ >rfH^* *•• «-*
|»«4m^«v IKW fi»W » !• • i • • • r»->«'" | • 4 M^'jbOTg ».^-»--| k^ |»i«-.*«rf (LAI U«Jka>4 ^-»
• I.
Appendix X
-------
5744
rVieraJ Rentier / Vnl 4fl. No 12 / Sfonday f*-u»ry 19. 1981 / Notice*
preamble* and final regulation* must b»
provided 10 el) who commented.
£. Work PtoitM
A work plan It • written document
uaed for planning • public partldpeUon
progfaav It may b» ui element ol
rvfuiatory development plaoa or
prograa) plan*. Each work plan should
include the following element*:
objective*, schedule*, technique*.
•wdleno* and reeaurcee requlreaentav
Wart plan* should bs> completed en
both • program snd praltct level or far
each activity identified under Scop* of
the Policy.
Public participation work pi ana.
undertaken by &A of by applicant* for
O»A flnandal assistance, shall MI forth.
•I • minimum:
1 Key decisions subject to pubUe
participation:
J, StafT contact* and budget resource*
(o be elloeaied (a public participation;
3 Segment* of the public targeted for
involvement
« Proposed achedule for public
participation activities ro Impact
program decision*:
i Mechanism 10 apply the five basic
function*—identification. Outrtteh.
Oi*lofut. AMunilaUon. «nd F»«db*ck—
ouilinrd Ln Secuon 0 of that Policy.
R«*»on«bl« coau of public
p«rtjflp«don Lncurrrd by n»i»lrd
•genact. Lncludldf •dvttary group
*ip*n*«t. and IdtnU/lrd la an approved
public participation work plan, will b«
tli|ibla for ruianoal aaaiatane*. nibjact
10 tiarutory or rrfuJalory UmJUOona.
Aaaittant Adnunlatnton and
Rrfional Admlniitntor* w
-------
Fadaral R»fUl*f / Vol. 4& No. 12 / Monday. f«ru«ry 19. 1M1 / Nolle**
5743
Control
III !• §!•!• fuf •(
I «»«loit» 4iuiu«Uy pubUe paracip«Uaa lhaa wouJd b* provided by
i •cflvltic* oCSuit. \b» Policy. *•'
. or UXAJ cntitir* rmtuij •nd Th« AdAlnl*nior of YCPA h*« fin«4 Suit T»%K
14 th«« •• o»o»««r)r •ytbonry i
(111 •AoourM" aear^UMflon of p«bbc C9(*pM«nc
(I) (upport tad «MWI tb« public «ntk (!>••• pvbiu p«ntctp«aaa W«it> • •^•••i n •«• c**mit.
P4ruap«ae> cetlviaM of KUcdquancrK r*^uu««i«ait tfcouJd tint 0*0/7 **• |CTQA N» «*ja&|
(JJ truur« ikal RrftoaiJ «i*/T 4f« *ppfopn*'* H»fional Ad*liU«lr«iar or fidb «J f n»ufri^ i*in^«»fa «uW
, tod i^xiwuii «Uoc»i»d far *--'•*—* AdSUnUavlar. «*d lh«« tl 11 h i« i^ Aa (%* L
Z. M.
| taoarpanu ••••wv* to ••
icy lgpll«»Ha» Oc^rcar. Off**
A •or»i<«a> kjLt u laonaal
~ * L ^ ^K^A^^^^-^^h^dft ft^ ftft^ ^M A ^^4 ^^k.^^Kj A ^^
^••^B •^^^^^^^^rfL ^ •^1 ^B ^^^•^^^•A • i*fc wBVB^««^HB*V ^ MAW ftdBH IMflBU V
bi* lur »«ALn|
Mrf i .' • >w>«T (OT1A
Appendix X
11
-------
5744 F*d«JJ£»*Ut*r / VoL «&. No. 12 / Monday. f«nu«ry 19. 1981 / Notlc**
w«i** MUfloa IVafrri fa«n u4 twcnuia
•u •§ Suw «arf )Mf«utt
ft fviUOOB »H»ll
•4muiu*mOBk (CTOA i
W
pro^«Bfc» la SUM
K7DA »8t.
!• Cmni far Suit uvt •r»
«M_U«Mno* a/
Pub L »* Mn SMtiaiw jaa *
PSd. L •*-!
Pb& L
l*»
; K
» JlA. UC Pnmm uwtv SOV» A> MPOCS
.nd !
tnd OM I
A ex.
1 QiK «.!•• MM t.lfe4» ••
Appendix X
12.
-------
§ 31.26
allowable costs to determine the net
allowable costs. Program income shall
be used for current costs unless the
Federal agency authorises otherwise.
Program Income which the grantee
did not anticipate at the time of the
award shall be used to reduce the Fed-
eral agency and grantee contributions
rather than to increase the funds com-
mitted to the project.
(2) Addition. When authorized, pro-
gram income may be added to the
funds committed to the grant agree-
ment by the Federal agency and the
grantee. The program income shall be
used for the purposes and under the
conditions of the grant agreement.
(3) Cast tearing or matching. When
authorized, program income may be
used to meet the cost sharing or
matching requirement of the grant
agreement. The amount of the Federal
grant award remains the same.
(h) Income after the award period.
There are no Federal requirements
governing the disposition of program
income earned after the end of the
award period (I.e.. until the ending
date of the final financial report, see
paragraph (a) of this section), unless
the terms of the agreement or the
Federal agency regulations provide
otherwise.
131.2* Non.F«d«r*l audit.
(a) Basic rule. Grantees and sub-
grantees are responsible for obtaining
audits in accordance with the Single
Audit Act of 1984 (31 U.S.C. 7501-7)
and Federal agency implementing reg-
ulations. The audits shall be made by
an independent auditor in accordance
with generally accepted government
auditing standards covering financial
and compliance audits.
(b) Jub0ran£«es. State or local gov-
ernments, as those terms are defined
for purposes of the Single Audit Act.
that receive Federal financial assist*
ance and provide 125.000 or more of it
in a fiscal year to a subgrantee shall:
(1) Determine whether State or local
subgrantees have met the audit re-
quirements of the Act and whether
subgrantees covered by OMB Circular
A-110. "Uniform Requirements for
Grants and Other Agreements with
Institutions of Higher Education. Hos-
pitals and Other Nonprofit Organiza-
40 at Ch. I (7.1-90 Edition)
tlons" have met the audit require-
ment. Commercial contractors (private
forprofit and private and governmen-
tal organizations) providing goods and
services to State and local govern-
ments are not required to- have a
single audit performed. State and local
governments should use their own pro-
cedures to ensure that the contractor
has complied with laws and regula-
tions affecting the expenditure of Fed-
eral funds;
(2) Determine whether the subgran-
tee spent Federal assistance funds pro-
vided in accordance with applicable
laws and regulations. This may be ac-
complished by reviewing an audit of
the subgrantee made in accordance
with the Act. Circular A-110. or
through other means (e.g.. program
reviews) if the subgrantee has not had
such an audit:
(3) Ensure that appropriate correc-
tive action is taken within six months
after receipt of the audit report In in-
stance of noncompliance with Federal
laws and regulations;
(4) Consider whether subgrantee
audits necessitate adjustment of the
grantee's own records: and
(S) Require each subgrantee to
permit independent auditors to have
access to the records and financial
statements.
(c) Auditor selection. In arranging
for audit services. I 31.38 shall be fol-
lowed.
CBAUCCS. PHOFOITT. AJ«O SUBAWAWJS
I31JS Chance*.
(a) General. Grantees and subgran-
tees are permitted to rebudget within
the approved direct cost budget to
meet unanticipated requirements and
may make limited program changes to
the approved project. However, unless
waived by the awarding agency, cer-
tain types of post-award changes in
budgets and projects shall require the
prior written approval of the awarding
agency.
(b) Relation to cost principle*. The
applicable cost principles (see {31.22)
contain requirement* for prior approv-
al of certain types of costs. Except
where waived, those requirements
apply to all grants and subgranu even
Appendix XI
-------
Environmental Protection Agoncy
If paragraphs (c) through (f) of this
section do not.
(e) Bvdpet change*. (1) tfonconstruc*
tion project*. Except as stated in other
regulations or an award document,
grantees or subgrantees shall obtain
the prior approval of the awarding
agency whenever any of the following
changes Is anticipated under a noncon-
stniction award:
<1) Any revision which would result
in the need for additional funding.
(11) Unless waived by the awarding
agency, cumulative transfers among
direct cost categories, or. if applicable.
among separately budgeted programs.
projects, functions, or activities which
exceed or are expected to exceed ten
percent of the current total approved
budget, whenever the awarding agen-
cy's share exceeds SI00.000.
(ill) Transfer of funds allotted for
training allowances (i.e.. from direct
payments to trainees to other expense
categories).
(2) Construction projects. Grantees
and cubgrantees shall obtain prior
written approval for any budget revi-
sion which would result in the need
for additional funds.
(3) Combined cent true tion and non-
construction project*. When a grant or
subgrant provides funding for both
construction and nonconstruction ac-
tivities, the grantee or subcrantee
must obtain prior written approval
from the awarding agency before
making any fund or budget transfer
from nonconstruction to construction
or vice versa.
(d) Programmatic change*. Grantees
or subgrantees must obtain the prior
approval of the awarding agency
whenever any of the following actions
is anticipated:
(1) Any revUion of the scope or ob-
jectives of the project (regardless of
whether there Is an associated budget
revision requiring prior approval).
(2) Need to extend the period of
availability of funds.
(3) Changes in key persons In cases
where specified in an application or a
grant award. In research projects, a
change in the project director or prin-
cipal investigator shall always require
approval unless waived by the award-
ing agency.
§31.31
Under nonconstruction projects.
contracting out. Kubgrantlng (if au-
thorized by law) or otherwise obtain-
ing the services of a third party to per-
form activities which are central to
the purposes of the award. This ap-
proval requirement is in addition to
the approval requirements of I 3 US
but does not apply to the procurement
of equipment, supplies, and general
support services.
(e) Additional prior approval ' re-
quirement*. The awarding agency may
not require prior approval for any
budget revision which is not described
in paragraph (c) of this section.
(f) Requesting prior approval. (1) A
request for prior approval of any
budget revision will be in the same
budget formal the grantee used in its
application and shall be accompanied
by a narrative Justification for the
proposed revision.
(2) A request for a prior approval
under the applicable Federal cost prin-
ciples (see i 31.22) may be made by
letter.
(3) A request by a subgrantee for
prior approval will be addressed in
writing to the grantee. The grantee
will promptly review such request and
shall approve or disapprove the re-
quest in writing. A grantee will not ap-
prove any budget or project revision
which is Inconsistent with the purpose
or terms and conditions of the Federal
grant to the grantee. If the revision.
requested by the subgrantee would
result in a change to the grantee's ap-
proved project which requires Federal
prior approval, the grantee will obtain
the Federal agency's approval before
approving the subgrantee's request.
I 31 Jl Real property.
(a) Title. Subject to the obligations
and conditions set forth in this sec-
tion, title to real property acquired
under a grant or subgrant will vest
upon acquisition in the grantee or sub-
grantee respectively.
(b) Use. Except as otherwise provid-
ed by Federal statutes, real property
will be used for the originally author-
ized purposes as long as needed for
that purposes, and the grantee or sub-
grantee shall not dispose of or encum-
ber its title or other interests.
Appendix XI
-------
Pt.12,
had a civil Judgment rendered against them
for commission of fraud or a criminal of-
fense in connection with obtaining, attempt*
Ing to obtain, or performing a public (Fader-
aL State or local) transaction or contract
under a public transaction; violation of Fed-
eral or State anti-trust statutes or nommis-
sion of embesBlement. theft, forgery, brib-
ery. ffriaifi^Hfm or destruction of records,
making false statements, or rscetvtng stolen
(b) Are' not presently indicted for or oth-
erwise criminally or etvuly charged by a gov-
ernmental entity (Federal. State or local)
with commission of any of the nffmsas enu-
merated in paragraph (3Xa) of this eertifl-
6. Workplace
*
must
(c) Have not within a three-year period
preceding thU propoaal had on* or more
public transaction* (Federal. State or local)
terminated for cauae or default. Where the
prospective lower-tier participant la unable
to certify to any of the above, such prospec-
tive participant •**•" ****rh an TTplanf tty\*i
to this propoaaL
[53 PR 19196. 19304. May 2C. 19*4. as
amended at S3 FR 19197. May 24. 19W
Arrcvszz C TO PAJTT 32— Cntrmca-
TZOK RXGAXBDVQ Dftuo-Pux Wouc-
PLAC* RxQirnuDcxim
Instruction* for Gertt/tcorion
1. By •ifTting and/or submitting ***** appli-
cation or grant agreement, the crantee is
providing the certification set out below.
2. The certification set out below is a ma*
terial representation of fact upon which re-
liance Is placed when the acency awards the
grant. If it is later determined ***** the
grantee knowingly rendered a false certifi-
cation. or otherwise violates the require-
ments of the Drug-Free Workplace Act. the
agency, in addition to any other remedies
available to the Federal Government, may
take action authorised under the Drug-Free
Workplace Act.
1. For grantees other than individuals. Al-
ternate I applies.
4. For grantees who are Individuals. Alter-
nate n applies.
5. Workplaces- under grants. for grantees
other than individuals, need not be Identi-
fied on the certification. If known, they
may be Identified in the grant application.
If the grantee does not identify the work-
places at the time of application, or "p0"
award, if there is no application, the grantee
must keep the identity of the workplace^)
on me in Its office and make the informa-
tion available for Federal inspection. Fail-
ure to Identify all known workplaces consti-
tutes a violation of the grantee's drug-free
workplace requirement*.
Appendix XII
actual address of buildings (or parts of
buildings) or other sites where work unde>
the grant takes place. Categorical deserts-
tions may be used (eju au vehicles of t
mass transit authority or State highway d*>
partznent while in operation. State employ-
ees in each local unemployment office, pa>
formers in concert halls or radio studios).
T. If the workplace identified to tbt
the grant, the grantee shall inform tot
agency of the changetsK if It previoojlj
iA**it4ti{t4 the workplaces in Question (sat
paragraph five).
t. Definitions of terms In the Nonprocor*
and Debarment
rate and Drug-Free Workplace common rofe
apply to this certification. Grantees'
tion is caned, m particular, to the f oUowmg
efinltions from these roles?
Controlled fubstaaet means a controDai
substance in Schedules I through V of **jt
Controlled Substances Act (21 U.8.C. 111)
and as further defined by regulation (31
CFR IJOtUl through 1308.1*);
Conviction mesas a finding of guflt (ts>
eluding a plea of nolo <**yn*jfr"Vr*? or tnxposV
tion of sentence, or both, by any Judicial
body charged with the responsibility to de-
termine violations of the Federal or Saw
criminal 4r"g statutes:
Criminal dnta it&tute means a Federal or
non-Federal criminal statute involving tbt
>n«Mnfmj-ym"^ distribution, dispensing. OBI
or possession of any controlled substance
Xmptoyee means the employee of a grant'
ee directly engaged in the performance of
work under a grant, including: (1) AU di«d
cAarpe employees; (11) All indirect cAam
employees unless their. Impact or invotv*
ment is t««
-------
workplace and apatifjing the ac- Place of Performance (Street address, city.
uiat will be taken against employees county, date, alp code)
of such
program to tnf i
dangers of dmc abuse m the Cheek DUthere are workplaces on flle that
^^^^^••^a> ^^* ^P ^^w VHB* VHgtt ^mWMr^Bmm^f ^^^» ^fm^^mf ^^ vm^*. flfe^^A V_4&4BMM^^4 g^l m^^Jl ^^ 4^^^^^
^•^•^•4 A«a^^a> Ja^g^^AAa^aHMgw%M A^L^^^^VMA
- ^_- «*»**•• *»"<* «* mamtalnmca !«*•*«•; substance to conducting *"T activity with
(c) Making it a requirement that each em* QV> grant!
ptoree to be engaged to the performance of (b) If convicted of a criminal drug offense
tat crant be given a copy of the •fsfrrrxmt resulting from a violation occurring during
neutred by paragraph (a* the oortrtiMt. of any grant activity, he or the
from an employee or /^>n*^'|**v^> of the user, the superseded text
receiving actual notice of such follows.
Employers of convicted employ*
ev must provide notice, mchadtng poattton Appendix C to Part M-QprrmcATiow R»-
ttte. to every grant officer or other fVwtgnrr ^.^T^B Dmvo-Paxs WOSJCTLACS Rxatmuv
ea whose grant activity the convicted em- KBVTS
atoyee was working, unices the Pederal
has dmignat^d a central point for /Mtmerkms for Oertt/tcorion
1. By rtgning aa^i/or lubmitting this *ppU-
sranti ttcn of grant agreement, the grantee is
(f) Taking one of the foDowtnc v^l^p* providing the certification set out below
vtthin M calendar days of reecfrtng notkae ^ Th* certification avt out below is a ma-
sufer paragraph (dX2> with respect to any fcerUi representation of fact upon which re-
enptoyee who is so convicted— Uance was placed when the agency deter-
(1) Taking approprlifT ^^^-.-^r^i fyf^j^p mtoed to award the grant. If it is later de-
•uch an employee. 09 to and tocrud- termtoed that the grantee knowingly ren-
lnatioBu ^rnt'r^-^nt wtth thf requn^- dered a false certification, or otherwise vio-
of the P^hiiMH»r*Lr*i Act of 1971. as I**** ta* requiremenU of the Drug-Pree
or * Workplace Act. the agency, to addition to
(1) Requiring ntrh employee to parttci- *n' other remedies Available to the Pederal
pate sadsfactorlly to a drug •***&? •— *-*-Te Oorernmcnt, may take action authorized
n program approved for ^K»h under the Drug-Pree Workplace Act.
by a Pederal. State, or v*«pj *• ^or grantees other th^tt Individuals, Al-
boalth, law enforcement, or other appropri- ternate I applies.
•it agency: *- :For grantees who are individuals. Alter-
(g) Making a good faith effort to continue nate n applies.
ts malnTstn a drug-free workplace through ___ „„ ~ n .. • _ _ _
taplementatkm of paragraphs (a), (b), (c), Cfrnmnon /Cegantinp Dnto-rree
(d). (e) and (f ). Wor*ptoc« Requiremento
B- The grantee may insert to the space Ait»m»i* T
Provided below the sited) for the perform- ««*rn«*e i
of work done to connection with the A. The crantee certifies that it will pro-
grant: vide a drug-free workplace by:
Appendix XII
-------
P«rt»
(a) Publishing a statement notifying em-
ployees ***** the unlawful manufacture, dis-
tribution. «*t«r>**"*"ti possession or use of a
controlled substance is prohibited In the
grantee's workplace and specifying the
tlons that will be taken against employe
for violation of such prohibition:
(b) »»»*>*»«>tfrtg a drug-free ai
program to inform employees about—
(1) The dangers of drug abuse m the
workplace:
(2) The grantee's policy of msrntarnrnf a
drug-free workplace:
<2) Any available drug counseling, reha-
bilitation. *"** employee assistance pro-
grams; and
(4) The penalties that may be
upon employees for drug abuse violations
occurring in the workplace:
(c) Making it a requirement that each
ployee to be engaged In the perfo
the grant be given a copy of the
required by paragraph (a):
(d) Notifying the employee in the state*
ment required by paragraph (a) that, as a
condition of employment under the grant.
the employee will—
(1) Abide by the terms of the statement;
and
(2) Notify the employer of any criminal
drug statute conviction for s violation oc-
curring in the workplace no later fh*n five
days after such conviction;
; (e) Notifying the agency within ten days
after receiving notice under subparagraph
(dX2) from an employee or otherwise receiv-
ing actual notice of such conviction;
(f) Taking one of the following actions.
within 30 days of receiving notice under sub-
paragraph (dX2). with respect to any em-
ployee who Is so convicted—
(1) Taking appropriate personnel action
against such an employee, up to and Includ-
ing termination: or
(2) Requiring such employee to partici-
pate satisfactorily in a drug abuse assistance
or rehabilitation program approved for such
purposes by a Federal. State, or local
health, law enforcement, or other appropri-
ate agency.
(D Making a good faith effort to continue
to maintain a drug-free workplace through
implementation of paragraphs (a), (b). (c).
(d). (e) and (f).
B. The grantee shall Insert in the space
provided below the iit«<«) for the perform-
ance of work done in connection with the
specific grant:
Place of Performance (Street address.
city, county, state, zip code)
The grantee certifies that, as a coodttfeB
of the grant, he or she wfll not engage IB
the unlawful manufacture, distribution, dfe.
P^i^«gt possession or use of a controlled
substance in conducting any activity vtth
the grant.
(54 PR 4*62. Jan. SI. 1M93
FAIT »—PtOCUtEMEMT UNOB
ASSISTANCE AQtEEMEMTS
23.001 Applicability and
23.006 Definitions.
of this put
of 23.108 Applicability and scope of this «s>
23.110 Applicant and recipient certifica-
tion.
23.115 Procurement system review.
23.205 Applicability and scope of this sab-
part.
22.210 Recipient responsibility.
22.211 Recipient reporting requirements.
22.230 Limitation on subagreement »wari
22.225 Violations.
22.220 Competition.
32.225 Profit.
22.240 a™*" minority, women's, and labor
surplus area businesses.
33.245 Privity of •ubagreement.
33.250 Documentation.
33.255 Specifications.
32.260 Intergovernmental agreements.
33.265 Bonding and insurance.
33.270 Code of conduct.
33.275 Federal cost principles.
33.280 Payment to consultants.
33.285 Prohibited types of subagreemenu.
33.290 Cost and price considerations.
33.295 Subagreemenu awarded by a
tractor.
SMAU. PumcHASSs
33.305 Small purchase procurement.
33.310 «m*n purchase procedures.
33.315 Requirements for competition.
POSKAI. ADvnmszxo
33.405 Formal advertising procureaa*
method. .j
33.410 Public notice and solicitation «
bids.
33.415 Time for preparing bids.
33.420 Adequate bidding document*.
33.425 Public opening of bids.
12.430 Award t
sffile bidder.
SSJ06 Competi
mentmetho
22J10 Public n
rvaluatl
Necottat
SU2S Options
totiation ac
for arehitac
>t m
S2J08 Applieal
part.
SU10 Nonapp:
S2J15 Nonapp:
dons.
Addltior
menu.
8.1005 AppUa
part.
tt.1010 Requir
13.1015 Subagr
U.1016 Labors
n.1019 Patentt
clause.
». 1020 Violatii
U.I 021 Energy
8.1030 Modeli
8.1105 Applies
part.
8.1110 Redpie
8.1H5
8.1120
8.1125
8.1130
8.1140
8.1146
Protest
Umitat
Filing r
Review
Defem
Award
Appendix XII
-------
Annual State Cer"feifieatilon Plan Report:
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 mav consider using completed EPA Forms 570Q-33H (9-9o)
as part of their State Plan reports because the outputs reported on
Form 57QQ-33H (1-90) are the same as the first three items below
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.
The annual report on State Plans must include:
a) The total number of applicators, private and commercial, by
category currently certified.
b) The number of applicators, private and commercial, by
category, certified during the last reporting period.
c) The number of applicators, private and commercial by category,
recertified during the last reporting period.
d) Any changes in commercial applicator subcategories.
e) A summary of enforcement activities related to use of
restricted use pesticides during the last reporting period.
f) Proposed changes in plans and procedures for enforcement
activities related to use of restricted use pesticides for the
next reporting periods.
g) Any significant proposed changes in required standards of
competency.
h) Any other proposed changes from the State plan that would
significantly affect the State certification program. (For
example, any changes in recertification periods by category
should be reported.)
Appendix XIII
-------
FORMAT FOR WORKER PROTECTION IMPLEMENTATION STRATEGY AND COMPLIANCE
MONITORING STRATEGY
As part of the worker protection activities in FY 91,
states/tribes are required by the grant guidance to develop an
overall implementation strategy, which will address both program
and enforcement activities. A distinct part of this document will
be the compliance monitoring strategy. The format for this
document should be as follows:
Implementation Strategy
A. Outreach/Communications
B. Training/Education
C. Establishment of Cooperative Relationships with other
Agencies where applicable
D. Compliance Monitoring Strategy
1. Compliance communication strategy
2. Interagency coordination for enforcement (applies only
in cases where more than one agency has jurisdiction
and responsibility for enforcing worker protection)
standards)
3. Targeting scheme
There may be some overlap in some States between the two
documents with regard to communications. If a grantee is concerned
bout the distinction between the "outreach/communication" section
f 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. If the state wishes to integrate the two documents,
rather than complete two separate documents, the following
alternative format may be followed. This is only a change in
format, not a change in content. If the alternative format is
followed, the state should take particular care to distinguish
program elements from enforcement elements, keeping in mind that
both OCM and OPP must be able to show what types of activities are
being funded by enforcement versus program monies. The state may
end up funding the same activity with both enforcement and program
monies, but it is the state's responsibility to clarify this in the
implementation strategy.
Appendix XIV
-------
Worker Protection Program Implementation/Compliance
Monitoring Strategy
1. Communications/Outreach
a. Program elements
b. Compliance elements
2. Interagency Coordination
a. Program elements
b. Compliance elements
3. Training (program element)
4. Inspection Targeting Scheme (Compliance element)
Appendix XIV
-------
Monday
July 28, 1980
jpendix XV
Part VI
3»
Environmental
Protection Agency
Statement of Policy on the Labeling
Retirements for Exported Pesticides,
Devices, and Pesticide Active Ingredients
and the Procedures for Exporting
Unregistered Pesticides
-------
• •
50274 Federal RggUtar / Vol 45. No. 146 / Monday. July 28.1980 / Rok* and Regulation*
ENVIRONMENTAL PflOTECTIOM
ACMCY
40 CFR Part* 162.163,164,168,166,
167.166, 166, 170,171.172.171,174,
.175,176,177,176,17*. and 160
IFWL 1*4*3-4)
Statement o( Po6cy on tha Laoa6n0/
Raquhamanu for Ezportad I
Davteaa, and Paaticsaa Act*
glaU
Purahamr Adatowledgemat
SloiaoBBflfa. After thirty day*
date of *fc^ notice, exporter* of
unregistered! pesticide* win be te
violation of FIFRA tf the foreigar
purchaser •cknowledgement stal
have not bean arnnlred be/on aUnpaaat
with thi* polk?.
re* for exporting unregistered
paattdda an set forth below.
Deled: Mr Ul Men,
AattogAiuutaBtAdauMitratorfor
AOCMCY: Office of Enforcement
Environmental Protection Agency (EPA
or the Agency).
Acnosc Notice of policy statement
SUMMAMY: The Federal Insecticide.
Fungicide, and Rodenticide Act (FIFRA
or the Act) was amended by the Federal
Pesticide Act of 1978 on September 30.
1978. Section 17(a) of the Act was
modified so that pesticides, devices, and
active ingredients used in producing
pesticides which are manufactured for
export must now bear certain minimal
labeling, and the producers of such
products are now subject to the
requirements of both FTFRA sections 7
stablishment registration) and 8
and records). In addition, unless
cade is registered under section 3
or is being sold under section 0(a)(l) it
cannot be lawfully exported unless.
prior to export (1) the foreign purchaser
has signed a statement acknowledging
that the purchaser understands that the
pesticide is unregistered and therefore*
cannot be sold in the United State*, and
(2) a copy of that statement ha* been
transmitted to EPA for tranamittal to the
appropriate official*, of the '
country. This foreign purchaser1
acknowledgement statement moat bet
acquired by the exporter and
transmitted to EPA for the first shipment
of eech unregistered peetSdd* to si
particular purchaser for each Importing
country, annually.
This notice informs the public of the
s'cope of the new labeling requirement*
and of the procedures that an exporter
of unregistered pesticides must follow to
acquire
which will be transmitted by the US.
Government to the government of the
Importing country.
vncnvf OATH: Labeling. Labeling
requirements for exported pesticides.
devices, and pesticide active ingredient*
bgcame effective March 29.1979.
(feral Pesticide Act of 1978. Pub. L.
396. 92 Slat 833). Therefore, exported
products which fall within the purview
of this notice must now bear label*
which comply with the statutory
requirement* of FIFRA section 17(a)(l).
John J. Neyien in. Office of Enfo
Pe*tX3oa* and Toxic Snoetancea
Enforcement Dtviaion (EN-M2), BPA,:„
401M Street S.W, Waahington, ad
20400 (202] 755-1212,
Wedneeday. July 16.19TB. EPA** OtBsieV-
of Enforcement published * ptopueed
statement of policy oa the labaHna . .
requirements for exported pesticide*..
device*, and pesticide active Ingredient*
and the procedure* for exporting^ • n ...
unregistered pesticide*. [44FB^lBflKj.~ ~
That proposed policy statement
explained in some detail what
information would be required to appear
on the label* or labeling of pesticide*.
device*, or pesticide active ingredient*
destined for export in order to be
considered in compliance with the law.
It alao described the procedure* for
acquiring from • foreign purchaser of
unregistered peetlrlrlea a stateaaant ht
which the purchaser acknowledge* the
registration status of the pesticide. Both
of the** requirement* became eflautita
180 day* ^P^r ^t data of enactmessl of
the Federal Pesticide Act of 1979 (March
The Inly 18 notice Invited the pnfaBe to
comment oa the proposed policy befoea
September 17.1079. Twenty-three
wvefi. Pi
major modification*
the policy statement made a* a result of
». v^ssiKneet wvion* and active}
mgradBeaU used in producing pesticide*
which an manufactured for export must
now bear labeling which wiH serve to
bath Identify the product and tha
producer and to protect person* who
coma la contact with the product ,
Certain of tha label item* must be
sari Ran hi both the g«gii«h language end
In the language of the importing country.
Thee* KiH«g»«i labeling requirement*
' apply to the product's ingredient
statement and It* warning and
precautionary statement*. Exporter* of
pesticide* which are not registered for
use In the United States (in accordance
with thia policy) must obtain a
statement from the foreign purchaser of
the pesticide in which the purchaser
acknowledges the registration status of
the product The pesticide must also
bear labeling to indicate that it is not
registered in the United States. For
purpose* of this policy an unregistered
paatldrl* la one which (1) «*"«•'"« an
active ingredient not found m a
federally registered product or (2) bean
i«h»iing faf t Qg4) which is currently
subject to denial or cancellation of
registration: or (3) is not similar in
iaderaHy registered product
Tha acknowledgement statement must
(1) Identify the purchaser, the exporter.
fs Identity and the product's
destination: (2) be obtained for the first
shipment of a particular pesticide to e
particular purchaser for each importing
detailed fTmlansHnn wma country. anniiaJlv; (3] be obtained. 6e/om_^.
* • i i ^ _nw^^™*^ ^* *_*j »_1 I I i f\ V _
ociooeoT c*T wnKn prooiuct* WUT DW
considered a* not registered for u*e tn.
the United State*, for purposes of thia
policy statement
(2) The policy statement •«p'-*"« ta
greater detail what Labeling is
to appear on exported pesticide*.
summaries) ot
ingredient*.
Appendbc A
the comment* mad* to the July 18. 1S7B
policy statement and the Agency**
response to them.
Accordingly, the Office of
Enforcement's general statement of _
policy on the labeling requirements far
exported pesticide*, device*, and
pesticide active Ingredient* and ther
exportation take* place; and (4) be
transmitted to EPA within seven. (7)
day* of receipt by the exporter.
auk *^**VO*a\ttD2 jCate^^2«^9^D6lQtB
Section 17t*) of FIFRA baa been
amended to provide as follows:
•*?ffPsWSSr«a3D5T?ceerS?to3i
IxporL—notwithstanding toy other provision
of this Act. oo pesticide or device or active
tneredJent used ta producing a pesticide
intended solely for export to any foreign
Btry shall be deemed in violation of this
^) when prepared or packaged seconding
ta the specifications or direction* of the
foreign purchaser, except thst producers of
I pesticide* md device* and active
I used in producing pesticide* shall
be rafajeri to sections 2(p). 2{aJ(l)(A). (C). (D).
ff6T|g|tij>l ftfl. 4oJ(ZXA). (Bl. (
(1H). and (D). 7. and 8 of this Act
-------
ective ingredient used In producing a
pesticide must bear a label or labeling,
in English aria the language of th*
fanporting country, which meets th*
^ecuirements of FIFRA section ITtaXlV
^•ViddinoQ, ^TT***" information which.
wul satisfy FIFRA section* J<»*-.
(•) If highly
croHbonee and •tatementa of pracdcai
treatment in caae
(f) lnrlm*T warning and caution
ii n .-_ .••-
(§J do not aaK» talee repreeeatafleoc
•flh) are not in ip»**»Hf»*| of other
pBuuctSi and
(1) in the caae of unregistered
peedcidee, bear the •tetcment "Not
Registered for Use in th* United Statee
of America." All rach receured .
•tatementa most be conspicuous and
readable. ^
To MitUfjr FIFRA aectiaa 2tqJ(]J(E). .
the labehng provieiooe eet Garth beeow •-
must appear in the P»g<'«>« Language and
in ^T Language of t^tm \rrtrf<*^T't country.
statement "Not Registered for Use in
the United State* of America." This
vtatement anal appear biUnmaily.
d> losnditot StotvotoL Th*
mgredieBt •tatea*at most appear
bilinflBalty unices *h« (ngredienta are
easily HTn^^n^1* despite ****** >^<"g
listed ta a foreign language.
e. Us* Clonifioatioa SiatuataL Th*
(Reetrtdbed Uea Pesticide or General Ue*
Pecncid*) must appear oa ^tw I'^n^g of
the peetlrlrle: however, eommary
•taenMBta regarding ^** terms
reet^cUon. * w, Tur retail sal* to and
application oaiy by Certified
Applicators ..." exe not required.
L Jdmatity of Parti**. Name and
addreea of the producer, registrant or
i produced for mast appear ia the
This sertoa specifies that required
•tatementa must be represented ". . . m
such terms aa to reader it likely ta b*
reed aad •^•^'•'••"i by th* ordinary
individual . . ." Therefore, the foOowmg
information must appear bilingnally on
exported product labeling:
(a) die warning-end caution
(b) the ingredient statement
(c) where required, the word "poison"
and B* statement of practical tr*e*aa*at
aad .-. . - ... ...
(d) the statement "Not Registered for'
Use in the United States of America,"
. TV Inflowing nvajr provide nor*
specific guidance on particular «iem*ata
which most appear on the label or
labeling of a«cb^exported prodoct -
. EftadlittiOMat Nuaabtr. Th*
blishment Number "«*jf,
g, Nft WafeAt The net weight mast
appear OB the labeling m either
QUltS.
k HimbJy Toxic Pmticidm. If th*
to highly *»™^, ta*
etateawnt of precticel treatment most
on th* labeling, Th* word
cad the statement of practical
iskel** Ula^nal TheakmH
and croesbooes may be in red or black.
For grridanre on what pestiddee are
requireJoy FgRA not conflict with
labeling requirements of die topcrting
ooontry. Such a Bttaalkn might arise, for
exempt*, where pewwrlrtes are being
rt*d to a foreign country with strict
labeling aajd registration Laws i
this coaatry has. To avoid such potential
ifliots. yet •ttH meet th* statutory
i may
i supplemental labeling. Pesticides.
, and active ingredients used in
producing pesticides may. therefore.
bear a label with the appropriate
information required by FIFRA section
ITtaXl) or may be accompanied by
supplemental labeling in instances
where FIFRA required labeling ia ia
uuuOaventlnn of foreign labeling
EBOjoiremflnts. Supplemental labeling
may be attached to or accompany the
ggJe^e^g^g^gj4jlHgjgpBBj»B^^e*Te^B(iBja»^e^^gj^g^e^gJJi^g^e^a»e»eBM
DDL Foreega Purchaser Acknowledgment
Section 17 of FIFRA has been further
amended to provide a* follows:
(a) Peroddea aad Devices Intended far
Bxpurv Mmwtthataadmg aey otnar
ptmUtuu oTmfii Act. no pesodaa or drrlce
or acttre mendiaat need iaprottnoac a
Deaacide tataadad aolaly far export to any
foraisB oooatry •hall be deemed in violation
Tfl In The ease of ear pesticide other than a
pMrtriiie rrgtstarad ondar Mctioa 3 or told
COOB 8(«M1) of this Act. it prior to
the farviso purchaser hat »lgn*d a
that mch pnocUia is not
in uw United States and
caaaot be soU ta the United States undar the
AcL A copy of that tutemeat •hail be
dttad to an appropriate official of the
t of t^tm J
This notice also delineates what
pesticide products are affected by this
provision and procedures EPA believes
would satisfy the purposes of section
IV. Products Subject to th*
Requirements for aa
. Many pesticides which are produced
• ta* United SUtee eoiely for export
contain active Ingredients that are also
registered as components of pesticides
used within the United States, However.
th* export formulations in many cases
aughtly different percentages of
active ingredients and are labeled
differently. Several factors dictate tbe*e
minor modifications in formulation and
labeling, such as different systems of
measurement, pests to be controlled
which are
-------
Federal Register / VoL 45, No. 14* / Mondky. July 28. 1980 / Ruler end Regulation*
Ingredients which are regiatered in the
United States. Rather, it ia the Agency'*.
view that the export amendment* were
meant to apply in cases in which either
(1) an advene decision cumjuuiiaj uW
use of the pestidde in the United State*
ha* been mad*, or (2) no decision ha*
pestidda. The requirement for obtaining.
(such a* a pesticide \
on a crop which tanot grown at the •.
United State*) also do not qualify aa •>
flTaOilaV QeML
Pesticide product* whki an aobjeef '
to the requirements of section 17l*)(2}
must alee bear the label statement. "Not
foreign purchaser win apply to peertriti*
product* in which:, . . . .
(a) The pestidde active ingredient haa
been fudged to poee •^mreaaonable
advene effect*" to man at the
environment and the registration* of
Cadocta with that active
ve been cancelled or
fb) Either. (1) no
concluaive sssesament ol the heard
resulting from uae of the pesticide haa
been made by EPA (while the pesticide
may haw been need under United-
BL
(2) the pesticide haa never bean
regiatered under section 3 because
registration for the pestidda active
ingredient haa not been sought or ha*
not yet been granted, or (3) the pestidde
ia being exported for a uae which 1*'
substantially different from any
currently regiatered uae of that pesticide
(*.g, a pestidde which is registered m
thia covntty for uee a* e tanBtocide ft* "
exported bearing direction* for uae on
food crops).
Consequently, the Agency interpret*
section 17(a)(2) to apply to:
(a) All pestidde products which
contain an active ingredient that ia i
found in a federally regiatered product:
(b) All pestidda products bearing _
labeling for a use which ia currently
subject to denial or caAcellatioa of
reglstiaBou (section l^taJfZ) wffl ,
apply to uses not considered by the .
Administrator during a cancellation or
denial determination); and
(o) All peattdde
not similar in composition
pattern to a federally registered product.
To be considered simi
composition and use pattern, a pestidda
product must contain only the same
ingredient or combination of active
aaitBaBl4 a^aV
the shipment did not take place before
the exporter had the signed
g«*i p iftt\ifi\fmvrt**tt itatamant in hand*
' The Agency wifl consider the reoKqst
of purchaser acknowledgement
statementa by local company
representatives tn foreign oountnae to- • •
be receipt by the exporter, rteverthelcev*
2(fJ(lXH)ofthi*Ao£
A pesticide product
rnicahaab.
Witt be considered aa registered far
pnrpnae* of tntj potter. A peettdda>
piuduct which may be legaOy need only
(Sectiaai 5) or an
(Section !•) wdHsot be i
mtmimutmmt iiinf* gtiH
be transmitted to EPA within seven
24{e)e!FVlUt-- day* of receipt or by the date of export
whichever ocean fint*
Arimumii^fffmiq] statement* may be
acquired st any time in advance of
shipmsBst For example* an exporter that •
ships to the same
federally registered. Nor will a pestidrfe
•si in inoTestate commerce because the
producer has filed an application for
federal registration m i
the Hiuuaiksaa food m aotTft I
Technical grade and manufacturing uee
pesticide* which are not federally
registered wtQ b* considered aa
regiatered for puiyuess of thia policy, if
they T"«Ufy •*. H"*"g •*«""•• *•
.
composition to a registered formulation
use pestidde. (Law if the products have
the same active Ingredients and
category of scuta Uaddty^
_ ' s: W. ~"~ ~> *' "* C" '"
Section 17t«K2) requires that before e
peattdde which la not registered for use
in the United States can be exported. the
foreign purchaser of the pesticide moat
_ —L—^—^^J^^l^^ ^M ^^^^A^^^v fc^^A hh^ • ' «• • •
ari nowiaoge sa-wnDng mat ne>
understands the registration statue of
the pesticide and that the pestidde
cannot be sold m the United Statea. An
have recetved tte required
acknowledgement statement befon the
product is released for shipment The
Agency feels that reo>niring.cxpc4 the.
Environmental Protection Agency within
seven days of receipt by the exporter, or
by th*demeaserVwBJiijisiTiBaiiian'
first The certification must state thai
serves the purpose of slerting the foreign
government that a certain pestidde i*
entering Its uuuiilry. The Agency
believes that the first notice fulfills thia
purpose; repetitive notices would be of
only marginal value, and In cases of a
high volume of exports to a foreign
country, might result m_s flood of paper.
After considering the administrative
burdens plsced on exporters, EPA, and
foreign governments and the valae of .
reyeUOe noBes* tfie'Xgeacy haa'
concluded that each exporter should. _
Appendix XV
-------
first shipment of a particular prodact to
of tha same product to • diflarent
rnifLhaeer vt to **L* •***»* i
^pnositfoB to • (Unsiant i
' woald abo trig
t tor obtaining a i
i a format for mis '~v
eckaowieogemcai statement. However,
the statement mast ******** the fallowing
ha* forwarded tha statement to EPA.
Exported peatiddea. devices, and active
ingredients oMd in producing pestidde*
which do notbearlabela or labeling la
with FIFRA section 17l«)W
(e) Name of the prodact and the active
a mdfcatfoa dut the
to not registered far eae a (he Untied
Will M Considered tO be ml«t»^f"
&4*uta»a of such products wlU be
ffnbfect to dvil or criminal liabilities far
violation of FIFRA sections 12(a)(l) (D)
nr Cn mlshiamting TTiixnlars nf
subject to
dvfl or criminal Hahillttee for violation
any weald aot
if different than purchaser's
• (Q Data of tha farajgn pnrdiaaar'a
la Part VI mar aaaart a date
iaa TIHIA f-"
(a) Tna axportar moat provida tha
forai^s puichaaar with tnatractioBa
about taa m^uind btfonnatlon on an
acJUHj Hiau(CBaBt vtatcBmt asatDfann
tha foraiM& purdiaaar t&at a&ipo^ant of
tha pcattdda canaot ba ondartakea
onlaaa tha axpuftar haa racarrad from
tha fuiaiiu pofchaaar a
.prior to
markad wifl not ba diadoaad. with tha
i n i mtrtrai irf ititrltmrt to tha foralfn
raa aat forth ta «D CPU Part
2. 7 USC laab, and thia policy rtataaant
If aadi dahn la not ataartad. EPA may
dladoaa *^*^ *T>^"grn^>f/**i to
oompletad. signed, and dated
^^^*^^^j ^M^^^^^K^^^k ^^^^^^^
UeBOWieDgeSBSBBI VUmHSI
(b) Tha exporter must i
withoot providtnt nottoa of cttacloanra or
an opportunity to object.
an adoiowiadaiama&t
tament which **«^*^ff* the)
ormation outlined in tha Atqulnd
Information section of this nottoa. Such
a statement must be aacuiad for tha first
purchase each year of a particular
pesticide product by a
destined for a parttcniar
fe) Tha
statement wffl be forwarded to the
appropriate foreign government m its)
e&lirety aa rao^uiraQ by aactlon 17.
lnnalrip to Othar SUtatory
u;.
acknowledgement statement along with
tK» certification that *yrMrtittgi> did not
. taJce place mrtQ a stgaed .
acknowledgement statement waa
rwatvad, wtthia •evesi (7)d«yaaf
whichever occur* first to the foflowtog
report rsquirementiv as well aa the
rsoaidkaieotasj isnifceassiiti of FIFRA.
Tha Agency has piuposed •meadmaata
to a* regviatiane which are
addreaa: Bavironmental Protectkm
Substancea, Enforoement Division (KN-
M2). 401 M Street SW, Washington,
Sutement.
VL Raqoirad mfi
As previously stated, a foreign
purchaser of a peaOdd* which ie swt
registered for use m the IMtad Stale*
must sign a itatamenl acknowiadging
hi* ondarstaading that (he product is
(hose parts of the Act (sections 7 and 8)
to bring them into conformity with the
regulations are found at 40 CFR Part 187
Peattddaa. drvicea. sod peetidde
coasidBrad to be hi violation of FIFRA
directions of tha foreign purchaser.
of unregistered peattddaa.
foreign purch
slstrmept in which he admowbdga*
that ha ondasatands ^* registration
ttataa of tha peettdda and tha exporter
registered tf they fail to
. aptopariycomnlat
and da
la not
prior to
i signed.
statement
from tha foreign purchaser of tha
peatidde. p^lfjfl^H^ of tha required
certification may inb)ert an exporter to
'UUAC.M01. --—
Commeat No. 1. Applicability of
olcsaakint Procaduna. Two
itara ttatad that tha Agency
ahouid kava 'Tl*"'"'tad tha export
provlaiona of FIFRA through tha
procadma aatabliabad by tha
Adminiatradva Prooadurea Act for tha
promulgation of "robatantivt" nilea. Tha
Agancy diaaoraaa. Aa mentioned
export labeling and pordtaaer
acknowledgement •tatementa were
•tarotorily effective March 28. 1979. 180
daya from enactment of the Federal
Paaddda Act of 1978. Tha law lists tha
type of information required on an
exported peattdde'e labeling and tha
lafialatiTe hlatory makea it dear that
purchaser acknowledgement statement*
are to ba trans/ erred to foreign —
cancellation notice* are furnished The
Agency's petition, therefore, is that
there Is no need for rolemakmg bat
rather there Is a need for a general
ststaaiant of policy on soch matters aac
ld con
(a) wbaA wo
stitute minimally
acceptable labeling, (b) how such
labeling could be attached or
acnompajtiy shipments, and (c) how
foreign purchaser acknowledgement
statements are to be transmitted to
foreign governments.
Vrii irmiiH* No. i Use of Suspended
and Cancelled Pestiddes List Another
oommenter suggested that foreign
countries can be adequately informed of
the hazards of U.S manufactured
perdddes through an expansion of tha
Suspended and Cancelled Pestiddes
List Thii la not the intended function of
the Suspended and Cancelled Pestiddes
list That list constitute* only a guide
axiix XV
-------
50271 Federal gagbtar / VoL 4& Mb. 148 / Monday, foly 28. lfl» / Rafe* aad Regulations*
for Government
>«' it ia oot tit*.
final authority atrtfaa statue of • gi
pesticide. It ia the- intent of Cangreea -
that the procedures that an followed fos>
notifying foreign governments of the-
suspension or cancellation of pestlddea
them that an unreftatered pesticide will
b« entering tha* coumtry. TIenf at* mav-
channel of eommanicatloo described fa
thia policy ia derived from the.
procedures already used to notify
suspension or ^*>"**^?^
r»«nim««t No. x Scope of the FIFRA
SecttoD \j Kequirecoentav A
contained in this policy •tateaent of -an
unregistered pesticide. The Agency • •
agrees that clarification on thia point la
neccMary. It la oot EPA's Intent to limit
rrport of a chemical if it ia
labeled and the exporter r***pii»* weai
the procedum for obtaining and
transmitting to EPA a property executed
acknowledgement statement. A more
detailed explanation of which product*
will be regarded aa unregistered for the
purposes of thia policy oaa been given,
One commenter objected to including
products with denied or cancelled uaea
and products with different composition
or «se pattema with products weAdei.-
contained no registered active
ingredient In drafting thia policy
statement EPA adopted a broad
interpretation of the registration statua
of a pesticide.
Toe Agency could have required
exporters of ail pesticide products that
were not registered under section 3 to
acquire an acknowledgement statement
from tha foreign inmUaeei.The eefectee*
thia would be that an acknowledgement
statement would have been required for
the overwhelming majority of exported
peaticidaa
shoold bo considered aa tf the* v
registered. Since registration data for
technical grade prodncta which are
•object to-PIFRA are subject to thia
cperimentml
with
bear registration* under section M(cJ of
I'sVtA »U. fcuwepe^ be aeeHeTear^a:
regiatared
product oust amply with eacuosi V oc '•
FIFRA, A multi-use prodnct for which no
f-*Hf*A» claims are made and which la
product in the United Statae ia oot .
titta ooocf. eea* if *«T »•-«.•
dargomg suliseu.iaeiHls processed into a pesticide?
Keg^BfevttoA wuT be) oonaiojereQ tsi
_
feeV t&elt t&OeW pOTuCiflaVef
wnxcn
.- aboold not be subject to tiee
requirement tot an adoujwledgenietit
statement In order to adequately —' ~
enforce a policy which took thia
approach, the EPA would have to
procedures ooodneted by otaes*
and to regulate exports baaed'opon tile
polidee of (he iapartutg uuuutry. Thua,
EPA policy would be different for
mimtimr shipBenb) going to different
countries. The Agency refscta diia
comment Not only would It be
administratively «» is an
ent Language. Any language in
which official government business ia
commonly conducted in the country, ox
which is the predominately spoken
Language of the country. Is acceptable aa
registration statue. That U, If the product
ia registered (in accordance with the aar
of that term in thia policy), no-
acknowledgement statement ia required:
if tha product la not registered, aa
acknowledgement statement wiO be
required.
Comment No. & Technical and
Multiple Use Chemicals. Some
commenters asked for clarification of
the impa^ct.of thia policy upom -,.-. •+.* •&,_•_
formulated and technical grade products'
' EigEsh: Is one of these languages, then a
bilingual label la optional, except aa .
may be required by the importing
country. One commenter asked if e
translation of the U.S. Label would be
satisfactory. Such a label would be •
acceptable If the necessary elements -
appeared both in English and in the
foreign language.
Comment No. 8. Foreign Labeling
Requirements. Several commenters
policy to labela. which comply with the
. Laws, of ma imyHrtiaaiopeatrf.it ie-aee^^-
-------
the intention of this policy to supersede
the labeling requirement* of foreign
government!. However. FIFRA now
requires that exported pesticide*,
devices, and pectidde active ingredients
bear certain «H'HJ»M' labeling. If the
labeling which currently appears on
•exported pesticide* does not meet tha
minimum FIFSA requirements, even
though it may meet the foreign country's
requirements, additional labeling must
interpretation oFwhat constitute*
receipt of the acknowledgement
statements ha* been provided in the
final policy statement to facilitate
compliance. One commenter suggested
that a signed acknowledgement in the.
hands of a local company representative
b* considered a receipt by the exporter.
The Agency agree* that this would be
acceptable so long as th* information
required on tha •acknowledgement
^1 •! -^* ~»^y ft • jf*S»ia*ya _ *^^£
Comment No. 9. Supplemental
Labeling, Several commentan fuggmtad
that supplemental labeling be liberally
allowed. The Agency Intenda to be aa
flexible aa posaibl* in this respect
Exporters will be permitted to OM a
variety of types of labeling to comply
••wRh the FIFRA export requirements. -
Til* Agency's principal interest will be
to ascertain that products to which this
policy applies bear labels or labeling
which, taken together, conform to tb»
FIFRA section 17(a)(l) requirement*.
Comment No, 10. Establishment
Number*. One commenter requested the
option of substituting another cod* for
the EPA Establishment Number on the
labeL The Act clearly require* mat an
Establishment Number appear on the
label The Agency must reject this
suggestion since permitting other mean*
of identifying th» production
establishment would negate th*
usefulness of such number*.
Comment No. 11. Restricted Use
Pesticides. Several commenter*
requested guidance on label
requirements for exported restricted us*
pesticides. If the product is a restricted
use pesticide, then the statement
"Restricted Use Pesticide" must appear
on the label or labeling. The
supplementary statement of the terms
and conditions of restriction is not
required.
*.«' lrrwin>|^«4gti»»iit Statement
Comment No. 12. Prior Possession of
Acknowledgement Statements. A
number of commenter* questioned th**
requirement that the acknowledgement
statements be in the exporter's
possession before shipment of the
pesticide can take place. Other
commenter* stated that in their opinion
foreign importer*, through oversight or
bureaucratic inefficiency, will not
comply with the acknowledgement
statement sequirementln the proposed
policy statement, the Agency clearly
recognized the problem of non-
compliance by foreign importers. For
this precise reason. EPA must reject the
contention that acknowledgement
statements should not be required to be
in the exporter's control before shipment
can take place. A more liberal
stated time period. U a company
anticipates several order* in a year, the
acknowledgemant statements may be
obtained in advanc* of the actual order.
On*) ''"""*«••««•» f*Bt*H *"*•* tha
requirement that acknowledgement
statement* b*> sent to EPA within seven
day* of receipt \jj Qie exporter we* too
ratrictiv*. This commenter suggested
that transmittal of the acknowledgement
statement should be tied to the date of
> Th* Agency disagree*. Where
possible, acknowledgement statements
will be sent to foreign governments as
far in advanca of shipment aa possible.
This will provide th* government some
time to review tb* information received.
The Agency feels more timely
notification will occur if transmittal of
th* acknowledgement statement Is tied
to data of receipt
No. 1?i C"-*r*tftr
commenter* objected to filing, along
with th* acknowledgement statement a
certification that tha order was not
shipped before the acknowledgement
statement waa received. The Agency
believes that a certification statement is
necessary. While some monitoring of
compliance will be through inspection of
required book* and records, a
certification requirement will serve to
remind axpurtais that shipment must
wait until the acknowledgement
statement has been received.
Comment No. 14. Destination of
Shipment One commenter suggested
that there waa no need to include in the
acknowledgement statement the
destination of the export shipment if
different than the purchaser's address.
This '•""""•"» is rejected because
without this information the Agency
would be unable to determine if the
Labeling complied with the bilingual
requirements nor would It know the
proper place, to send the
acknowledgement statement
Comment No. 15. Annual Reporting.
Several commenter* stated that the
requirement that a new
acknowledgement statement be
acquired each year that a particular
• product is exported is overly
burdensome. They point out that the law
requires an acknowledgement statement
only once per country, not once per
country, per year. The Agency must
reject this comment Although FIFRA is
not clear on this point the law seems to
indicate that an acknowledgement
statement should be acquired for each
export shipment of an unregistered
pesticide. It is the Agency's position that
Imposing such a requirement would be a
burden for all parties concerned-
exporter*, importers, and the U.S.
well
goVerameritlh-3Seyona any Tegulatflry ~ii**
purpose it may serve. The requirement
to send an acknowledgement statement
once per year, which is similar to that
being considered under the Toxic
Substance* Control Act is not overly
burdensome, and yet accomplishes the
•puipu** of regular notification to foreign
government*.
Comment No. 16. Notification of
Foreign Governments. Several
commenters questioned the procedure
for notifying foreign governments. It was
suggested that either the foreign
•purchaser or the exporter should
directly notify the foreign government
The EPA rejects this proposal. First, it
would be difficult if not impossible, for
the Agency to monitor compliance under
such a procedure. Second, aa previously
explained, the procedure for
transmitting acknowledgement
statements parallels that of the
notification of foreign governments of
suspended or cancelled registrations. It
is the understanding of the Agency that
such a procedure, namely govemment-
to-govemment contact was the intent of
Congress.
Comment No. 17. Problems with
Importing Countries. Two commenters
suggested that tha policy be different for
nnnaUt* or communist countries. These
commenters cited their experience
exporting pesticides to these countries
where the "importer" is an agency of the
government These import agencies are
said by the commenters to be staffed by
.very conservative bureaucrats who are
reluctant to sign unusual requests. As
has been discussed earlier, it is not the
intent of this Agency to write a different
export policy for different countries.
However, should numerous problems
arise with any particular country, the
Agency will work with industry and the
Department of State to solve them.
|f* OK. B-OOE» KM 7-a-Mt Ml UB|
Appendix XV
-------
FY92
Pesticide Guidance.
'•'seel Quality Assurance Project 3 1 a n "or State 3 e s t i c i c e '.aciorj:;'--;.*
All cooperative agreements involving envi - . nmental1y related
•nea surer-ants or data generation are required oy cne EPA
Gmc ?egula*ion (40 CrS Part 31.45) to develop and implement
quality assurance practices consisting of policies, proce:jrei,
s;ecificat ions, standards . and documentation sufficient to
produce data of quality adequate to meet project objectives
anii to .^ini.rrize loss of data due to ou t-of-con tro 1 conditions
or -a 1functi on s .
To assist states participating in f.= pesticide enforcenent
grant prograi witn this requirement, OC.'-i has developed the
attached nodel project plan specifically for state pesticide
laboratories. The forrrat and content of this "odel confor-
to the requirement set forth in the Quality Assurance
Xanage~ent Staff (CAMS) gui-ance and has oeen reviewed by
tne 3AMS. The codel nay 5a .-noaified to suit the needs of
ea ch s tate.
In addition, tne !tate "ay wish to utilize the two documents'
referenced Delow *hich are available from the Regional
quality assurance officer.
* Guidelines and Specifications for Preparing Quality
Assurance Project Plans (QA'-'S -.DC4/30, September 20, l?rj
* Interim Guidelines and Specifications for Preparing
Quality Assurance Project Plans (QAMS - 035/30, Dece-der
29, 133G)
Appendix XVI
-------
-iC. on o.
Revision No."
Date:
Page r of
QUALITY ASSURANCE (QA) PROJECT PLAN FOR
THE STATE OF
PESTICIDE ENFORCEMENT PROGRAM
Aoproval for Implementation by the State
Project Manager
Name:
Title:
Signature: Date:
State Quality Assurance Officer (Laboratory)
Name:
Title:
Signature: Date:
Stats Qualfty Assurance Coordinator (Field)
Name:
Title:
Signature: Date:
Approval by the Region
Project Officer
Name:
Title:
Signature: _ Oate:_
Regional QA Officer
Title:
Date
-------
rigu-a I
Formulations
Section, Chief
'fame:
Quality Asslr'snca Person
HP!:
CJiemi st 1
Technician 1
Laboratory
Mams:
Residua Section
Chief
flame: •
Quality Assurancs ?er-aa
.'Jarre: "
Crami sr 1
Technician I
Technician 2
Appendix XVI
-------
Page
F i gure 2
*MOtC «C*« «f
'
Suoervisor
State Insoector
Name:
Insoector 1
Inspector 2
Inspector 3
Pesticide Program Director
Name:
Quality Assuranca
Officer for inspections
Name:
Appendix XVI
-------
FY92
Pesticide Guidance
Ca:e:
Page i of
Quality Assurance Objectives for Measurement Cata in Terms of Precision,
Accuracy, Cc.-nolecgness. Representativeness and Ccmaarao]1ity'
The objective of data collection in terms of precision, accuracy, completeness,
representativeness and comparability, as applicable, is to produce da:a that is
reliable, scientifically sound, defensible and reflective of state-of-the-art
methodology. Ultimately each analytical result or set of results generated
in support of the pesticide enforcement program should be able to be defended in
any legal action, whether adninistrative, civil or criminal in nature.
The degree and fora of data collection and confirmation will vary according
to whether the sample(s) 1n question are residue (i.e. environmental) related
to misuse investigations or formilatlon (product or tank-mix) 1n nature. Resi-
due samples will generally involve the detection and measurement of known or un-
known pesticides at unspecified and unpredictable levels. Formulation samples
require specific assay procedures to verify compliance with a predetermined or
known label declaration for the pesticide product in question: those products
in probable violation will be Indicated after the first analysis. Thus quality
control measures for formulation analyses will concentrate on those identified
potentially violative samples.
In general, a pesticide investigation will consist of a small number of loca-
lized and/or unique samples that do not lend themselves towards the establish-
ment of ongoing quality control data as recommended for long range monitoring
programs, thus 1t will be the objective and policy.of the laboratory to pro-
vide adequate quality control and adheranca to established standard operating
procedures such that each sample or group of samples will stand on their own
merits with respect to the establishment of reliable data quality.
Appendix XVI
-------
Samo 17 rrq Procedures
Sampling procedures will follow prescribed procedures set forth in:
1) NEIC Pesticide Sampling Guide (1)
2) EPA Pesticides Inspection Manual (2)
3) Other established state, federal or association guide, as applicable
e.g. (3)
In all cases, pesticide samples will only be taken as needed to establish
compliance or violation of existing state or federal laws. Professional
judgement win be exercised in the field to obtain adequate numbers of
and types of samples ta establish or confirm pesticide misapplication, pro-
duct quality, or poor disposal practices. Professional judgement and guide-
lines, as listad above, will also be employed to assure the obtaining of re-
presentative samples that are free frcm induced cross-contamination. Likewise,
all samples will be properly documented, packaged (preserved, if necessary),
maintained under custody and transferred to ttic laboratory in a fully defensible
manner. It will be incumbent upon the Inspectional staff ta seek assistance as
required fnsn senior laboratory staff when new situations, new pesticides or uni-
que circumstances are encountered in the field. Likewise, it is incumbent upon
the Quality Assurance Officer or Laboratory Director to notify the appropriate
Inspectional staff when problems are encountered with quality of incoming pesti-
cide samples that could affect the reliability and defensibilicy of analytical
results.
1) NEIC Pesticide Sampling Guide. John Ellison, 1381. Available from
U.S. E.P.A., National Enforcement Investigations Center, Box 23227,
Denver, CO 80225
2) £?A Pesticides Insoectton Manual (latest edition), Available frcm
U.S. E.P.A., OPTS, PTSED (EN-342), 401 M St. SW, Washington O.C. 2C460
Appendix XVI
-------
Sectien 'Jo. 6
Revision No. Q.
Date:
Page 2 of- 3
3. Minimum Quality Assurance Requirements for the Collection and Analysis of
Pesticide Fomulat1on Samples. Document Control #R3-QAO-32-MR-03t
"Revision 1, March 1932.
It 1s Incumbent upon the Inspectlonal staff to transfer the samples as quickly
as possible to the laboratory. Pesticide residue samples may have a short
holding time depending on the pesticide. The Inspectors must see to It that
the laboratory can meet holding time requirements as established by the
I ay
laboratory 1n their Quality Assurance manual. Hold time begins when the
f\
sample 1s taken.
Appendix XVI
-------
FYQ2
Pesticide Guidance
goie Custody
Sample custody consists of two exponents, documentation and actual physics'
custody.of the official sample, and two distinct phases, i.e. custody in the
field and custody in the laboratory.
The following principles will apply to all handling of samples frcm "the poir.t
of collection through ths placing of a sample in permanent abeyance (when all
contemplated or real legal action is complete). The sample is considered in
"custody" if:
1) It is in one's actual physical possession or view.
2) It is in one's physical possession and seesred so as not to be tampered
with, i.e. under locJc and restricted key or under official seal.
3) It is retained in a secured area with restricted access.
4) It is placed in a container and secured with an officail seal(s)
evidence tape such that the sample can not be reached without
breaking the seal(s).
In the laboratory, all custody procedures will conform to those specified in
the NEIC Pesticide Products Procedures Manual and Standard Ocerating Procedures,
Residue (environmental) samples in general will follow those procedures speci-
fied for formulation samples except that appropriate preservation procedures
will also be followed, i.e. freezing, refrigeration or extraction, etc. To
the degre* possible, analytical standards, standard and sample v^orJcing solu-
tion and primary standards (i.e. potassium acid phthalate, etc.) will also be
maintained under custody prscadures.
Field custody problems identified by laboratory personnel wiTT be teedlately
relayed by the Laboratory Director back to the appropriate program representa-
tive for corrective action and/or resampling.
8
Appendix XVI
-------
••'•avisicn 'o.
'Oats:
Page
Call bra tier. Procadurgs and
Each major piece of equipment utilized routinely in the pesticides analytical
program is maintained, calibrated, serviced and_ monitored as follows:
Depending on the specific Instrument and associated operating parameters (detector,
column, cells, etc.), calibration and overall system reliability vn'Jl be based en
the sensitivity, reproducibHity and resolution of analytical standards of the
pesticides being analyzed. Independent audit procedures will also be utilized
when available for periodic use or when malfunction is suspected; such pro-
cedures are provided in the Instrument operation manuals, the HEIC Pesticide
Product Laboratory Procedures Manual. and the EPA Analytical Quality Control
for Pesticides Manual. Standards used to prepare calibration and audit solu-
tions are received from EPA/Beltsvllle, EPA/RTP, MBS or other reliable source.
In some cases (e.g. holmiiun oxide for uv/vis spectrophotcmeter), audit materials
are obtained from Instrument manufacturers.
Corrective action will be taken, before any further official analyses are under-
taken, whenever Instrument malfunction, improper sensitivity resolution and/or
reproducibility is indicated.
All instruments will be maintained as specified in the three references described
above, and adequate spare parts will be kept en hand to assure minimal dcvm-time,
particularly fuses, connectors, pens* septa, spare calls, syringes, o-rincs and
recorder paper.
All servicing, preventive maintenance, major modifications, and audit data will
be maintained In Individual logbooks for each instrument to provide a documented
historical record of proper operation and overall reliability.
•
Particular care will be paid to maintenance and operation of analytical balances,
as accurate sample and standard weighings form the basis for all rellabile quanti-
tative measurements. Balances will be professionally cleaned, serviced and cali-
Watsd at least once yearly and verified for accuracy at least quarterly by
analytical staff using class "S" weights. All calibration data and servicing
are recorded in dedicated logbooks. 9
Appendix XVI
-------
?.av:s:cn .'Is.'
Data:
Page
Analytics! Prccad
Analytical procedures or methodology, to the degree possible, will adhera to
official (co 11 aba rj tad), or standard (professionally accepted) methods for -ioth
residue and forrulation analyses, particularly when verifying compliance with
regulatory, tolerance or action levels. It is recognized that in-house pro-
cedures often provide a higher level sample throughout or efficiency, hcwevar,
all such routinely used procedures will be verified for --liability through
establishment of pr-ci si on/accuracy data and comparability with core estab-
lished procedures.
To the degree possible, potential violations, I.e., verification of misuse and
product non-ccmpliance will rely on confirmation using inathodology frcm the •
foilcxing established sources:
Residues:
1. Pesticide Analytical Manual, Food and Drug Administration
Vols 1-4, U.S. Department of Health, Education, and Welfare
Published 3/1/77 and updated periodically.
2. Official .Methods of Analysis of the Association of Official Analytical
Chemists. 13th Edition, 1930. Published by the Association of
Official Analytical Chearfsts, P.O. Box 540, Benjamin Franklin Station,
Washington, DC 2G044. Updated annually.
3. Manual of Analytical Methods for the Analysis of Pesticide
Residues in Human and Environmental Samples, (latest edition)
J. F. Thompson, Editor, U.S. Environmental Protection Agency,
Health Effects Research Laboratory, Environmental Toxicology Division
Research Triangle Park, Worth Carolina.
10
Appendix XVI
-------
Pesticide Guidance
Section .'.'o. ]_
Sevisicn .'.'o. I.:-
Qata:
Page 1 of
Specific Routine Procsduras to be Used to Assess Data Precision, Accuracy ard
5le"*r3S3 of Sceciflc '-teasurement Parameters" ~~~~
Routine procedures used to assess quality of data are specified in- the Standard
Operating Procedures which individually addrsss formulation .and residue tasting.
To the degree possible, these procedures will be followed to assess reliability
and data quality of all results related to official pesticide analyses;
In general, with respect to formulation analysis, precision is established through
duplicate analysis for all potentially violative and non-uniform samples. Dup-
licates are analyzed by the original analyst using a differently prepared stand-
ards, if applicable. Accuracy is established through confirmation analysis by a
second analysis, use of official /standard methodology and verification of calcu-
lations. If necessary, two or more individual methods .are employed to confirm
accuracy. If necessary, when established methods are not available, a spiked
sample recovery is also performed. Laboratory blanks, periodic analysis of
check samples and participation in collaborative studies also will be used to
evaluate overall accuracy of results.
For the residue analysis program, duplicates will be used to establish precision-,
spi.'od sample recoveries will be used to establish accuracy (based on non-incurred
residues); and blanks will be analyzed to assure non-interferences from solvents,
reagents and containers.- Analysis of check samples, participation in collaborative
studies, system evaluations and review of data will also be used to verify on-going
accuracy of generated results. Confirmation of pesticide residue identity will
be performed either through a non-equivocal instrumental technique such as inass-
spectrometry or Infrared, or by a three point matching system using retention
values, fraction-matching- and/or specific cetsctor(s).
'.Vhen pesticide/matrix types are encountered more than an average of 5 samples
per .ronth and established methodology is not available, the reliability of the
nethod used will be established through the analysis of at least four samples
spiked at IQx the aetection limit for che pesticide/matrix of interest. Th:s
11
Appendix XVI
-------
-f.-m' :ar official ^i-TtUs. " " ~"~ " •'•-• •* :"
situations ret ccnfarrtirrg ta tu.s St^cir^ ::«-•«----
.f -s gu:danc3 :rr/fc3ct in tte =T^ Cualftv C^:rJ fsr
ta_foT laved tp tr.e cagrsa possible! " '
Appendix XVI 12
-------
FY92
Pesticide Guidance
Data:
Pace
?_er*;r—ar.ca arc S/starns Audits
"The Laboratory is fully committed to participating in the analysis af av'iTab'e
-"-.- * • ' * •
'and a'pprcpriata parforr.anca samples and lending itself to any necassary en-sita
systam audits by qualified representatives of EPA. The Laboratory- is also
cc-.mittsd to using the results of such parformanca and systems 2ud:tc ta f.rsrcve
tne reliability, dafensibility, capability and efficiency of the Laicr2.-cry
operations to the degree passible.
Systans audits will be perfonwd by qualified representatives of £?A, careralTy
frcn the National cnforcarnent Investigations Center (NEIC) and/or the Regional
Cffica. Tne audit will be conducted upon joint ccnsent of the EPA Segicn and
the State, and a report of all findings and recsrrendations will re mada prc-ptly
to the Stats.' The systems audit will be restricted to the pesticide analytical
program only, and be limited to those areas tafrdiataly impacting'overall quality
assurance and specific program grant requirements.
The Laboratory will participate in pesticide performance audits as available.
Formulation check samples are provided by NEIC at a current rate of four per year..
The Laboratory vn'71 also participate in the A^PCO Check Sample Program for Pesti-
cide Formulations, which are provided at the rate of six per year. Unsatisfactory
results wfTT oe fully evaluated and .such samples reanalyzed at the earliest con-
venience, if necessary. Pesticide residue check samples are currently restricted
to watar matrices only. One set of watar check samples will be analysed per year
as agreed upon between SPA and the State Laboratory Director. In the event of
peer performance, the data will be reevaluatad and a second set analyzed, if
necassary, within the current year. Other pesticide check samples for pertinent
matrices will also be analyzed periodically as they become available.
13
Appebdux XVI
-------
Oaca:
3f
Internal Quality Control Checks
Quality control is.considered an integral.aspect of analyses performed in con-
junction.with the pesticide enforcement program!' Quality control data gener-
ated for each sample, or batch of samples will be used to provide an overall
assessment of (1) precision, (2) accuracy, (3) quality of containers, solvents
and reagents, and (4) an overall reliability of the method.
Basically required quality control' measures will procedurally differ depending
on whether residue or formulation samples are being evaluated (see Section 5).
Specific measures are spelled out in the Standard Operating Procedures, out,
in short, encompass an analysis of a representative number of duplicates
(precision), spike sample recoveries (accuracy), blanks (to assure non-inter-
ferences from containers, solvents and reagents) and standard reference materials,
1f available and appropriate (also for accuracy). Quality control procedures
for formulation analyses will differ in that accuracy data will be generated
by utilization of several methods (if available and appropriate) and through
a check analysis by a second experienced analyst for potentially violative
samples.
14
Appendix XVI
-------
Paqe ? or 2
4. Analytical Methods for Pesticides. Plant Growth Regulators, and Food
Additives, Vol I-XI, Gunter Zweig, Ed, Vol VI-XI edited by J. Shema,
"Academic Press Inc., Ill Fffth Avenue,.New York, .NY 10003.
5. Methods for Pesticides in Water
Federal Register, 44, No. 233, Dec. 3, 1979.
Minimum Quality Assurance requirements for collection and analysis of
pesticide residue and formulation samoles are detailed in the following
documents:
1. Minimum Quality Assurance Requirements for Trace Organic Analysis.
Document Control IR8-OAO-92-MR-04, Revision 1, March 1932.
2. Minimum Quality Assurance Requirements for the Collection and Analysis of
Pesticide Formulation Samples, Document Control JRS-Q.AO-82-MR-OS,
Revision, March 1982.
\
Formulations:
1. Official Methods of Analysis of the Association of Official Analytical
Chemists, 13th Edition, 1980. Published by the Association .of Official
Analytical Chemists, P.O. Box 540, Benjamin Franklin Station, Washington,
O.C. 20044. Updated annually.
Appendix XVI
-------
tib-~C-
,o. :_
.Revision "o. :.-/-:
Data:
Page i of
Cata Seduction. Validation ard .Resorting
Data reduction will be provided on a sazple by sample (or case by case) basis
as necessary far possible enforcafrent action. Data is collected from various
Instrjzents cr iranual tachniques and reduced to quantitative results through
comparison of response wit.*: standards of known purity, titrants of known nor-
mality or sore other well known or referenced basis of comparison. Questioner's
data, whether arising from the quality of the sample, quality of the method,
lacic of validation, time constraints or other factors will be clearly identi-
fied and qualified. Samples where the pesticide(s) of interest are not detsctad
will be reported as sucn along witn a realistic detection limit.
,
Validation of data will be as described in the Standard Operating
generally consisting of review of procedures and calculations by the analyst
an analysis by a second analyst (if appropriate), analysis by a second .Tethod
(if appropriate) and final review by the laboratory supervisor or other desig-
nated senior chemist. Quality control" procedures as described elsewhere will
also be utilized to the extent possible to validate data generated for official
samples. The Quality Assurance Officer will conduct periodic in-depth audits
to assure proper operation of the validation system.
Reporting will be acccmplished according to the format provided in the S-rincirt
Operating Procedures according to fitemo format or other fom(s) as required for
necessary compliance action. In general, in addition to specific results,
(pethod(s) of analysis, quality control results and any pertinent observations
about the sampla(s) or their analysis will also be provided. It will be the
function of the Compliance Office ta furnish results bade to inspected parties,
if necessary.
16
Appendix XVI
-------
r~r s: -.i:: :-3 .
.J ta r^::c-.ved
:sgr22 passibU.
Appendix XVI
17
-------
Corrective ^ ;*:';."!
Corrective action vn'l^ is takar. '.vhenavar data is da tarsi red net to is accaptas'e,
either through .ccnjcar-isca with pre-established quality control data, as a result
of scientific evaluation by the super/isor, senior analyst(s) or quality assurance
offlcsr, or through an apparent conflict of rasults with a seccnd analyst cr
lasontary.
Corractive action will in general fallow tte steps in orcsr provided baicv, as
tta first listed are tte xost likaliest sourca(s) of error:
1) Review of raw data and calculations
2} Review of procscarss - was the .tstncd followed?
3) Review of .-setnod - is it applicable?
4) Review of instrument operation, calibration and .r^intanar.ca
As a result of the above review further positive corrective action ,T:ay be
identified and will be pursued as necessary:
1) Reanalysis of the sample(s) in question
2} Acquisition of correct or bettar instrumentation
3) Additional training of staff
4) Hiring of adaitional staff with necessary skills
V
Persistent prcblenis will be dealt with through a thorough review of all analytical
data (including quality control izeasuratfents) , increased level af check sample
and r-farenca material analyses and requests from outside for analytical assist-
ance and systems evaluations.
18
Appendix XVI
-------
Cats:
A quality ass^rinca .•sport '.-nil ba jsnaratad by • _ and S3- :
ta tha lifioratary .iianageiTent ones every _ . It will csntain a
scn.rary o* da"3 accuracy, precision and ccrtpleianess far :f?2 r^parrin^ :5.-Tc_.
?!asulv:s of all systam and psrforranca audits during z^e rapar-ing pario-1 -.nil
be included. Significant QA problems and racrr^.ia.idad solutions ^11 b
19
Appendix XVI
-------
resticiae ouiaance
Contaminant Screening Guidelines - 1990 Revision
I. Purpose
Pursuant to Section 23(a) of the Federal Insecticide,
Fungicide and Rodenticide Act, as amended, the U.S.
Environmental Protection Agency has implemented a
pesticide enforcement grant-in-aid program to State lead
agencies (SLAs) whose responsibility it is to enforce
state laws. Included in the annual guidance and as a
condition in most grant agreements is the requirement that
the state pesticide enforcement laboratory establish and
maintain a screening program to detect cross-contaminants
in officially collected pesticide formulation samples.
The intent of this document is to provide guidelines to
participating states as to the overall need, required
level of effort and recommended methodology for carrying
out such a screening program.
II. Objectives
1) To ensure that pesticide products and tank-mixes
that have a high potential for contact with man,
domestic animals, the food supply are routinely
screened to minimize undesirable effects and inci-
dents by detection of cross-contaminants.
Appendix XVII
-------
r t:b __'—_<—t. -j__i_c...^i . . „ L.
2) To assure a high degree of quality control at the
manufacturing, formulating, packaging and user
levels of the pesticide production/sales/use
chain.
3) To provide guidance to federal, state' and other
concerned laboratory personnel with respect to
the necessary scope of the cross-contaminant
screening program and to provide some basis for
evaluating specific cross-contaminants that are
detected.
III. Background
A basic concern to FIFRA, as amended, is to ensure that
pesticides registered for use within the United States
perform their" prescribed functions without causing
unintended deleterious effects on man or the environment.
Numerous provisions within FIFRA and its regulations have
been created to allow for these safeguards. One provision
is Section 12(a)(l)(E) of FIFRA which states that it is
considered an unlawful act to sell any pesticide that is
adulterated or misbranded.
Although not specifically addressed in the FIFRA
regulations or included as standard labeling instructions,
failure to adequately clean mixing and/or application
equipment could result in pesticide carryover to
subsequent application(s). Depending upon the original
pesticide(s) and the specific subsequent application(s),
there could potentially be a violation of FIFRA Section
Appendix XVII 2
-------
12(a)(2)(G) in that the contaminant may be applied for a
non-registered use, thus, possibly causing harm to man or
the environment.
IV. Discussion and Definition of Contamination
For the purposes of these guidelines, contamination does
not normally include impurities that arise as by-products
from the manufacturing process(es). However, such
impurities should be verified and reported when the
determined quantity substantially exceeds 2x the quantity
in typical technical material, or the known actified
limit, if the latter has been established, particularly
when such a finding is related to an incident
investigation.
Contamination of pesticide products and use dilutions may
arise from activities such as failure to clean production
equipment, reuse of inadequately cleaned containers,
production and/or formulation mix-ups, and failure -to
properly clean application equipment between uses.
Based on practical considerations, i.e., time, cost and
resource limitations, the following guidelines should be
used for determining whether to further verify and report
the presence of a suspected contaminant:
1) Wettable powders and emulsifiable concentrates
(major active ingredientfs) present at 20% or
greater)
Appendix XVII
-------
Report verified contaminants present at >0.05%
for all highly toxic (Category I) , pesticides
and those pesticides that have been suspended,
cancelled or severely restricted in use. Verify
and report contaminants >0.25% for all other
pesticides.
2) All other products with major active
ingredient(s) less than 20%.
Report verified contaminants present at >0.01%
for all highly toxic (Category I) pesticides and
those pesticides that have been suspended,
cancelled or severely restricted in use. Verify
and report contaminants >0.05% for all other
pesticides.
3) Any verified contaminant(s) discovered in a
product suspected of causing human injury or
death/ crop residues or damage, domestic animal
injury or death, or other environmental harm
should be verified and reported regardless of
the level.
Appendix XVII
-------
FY92
Pesticide Guidance
V. Requirements
A. Pesticide formulations and related materials to
Screen:
1) At least 25% of those pesticide formulations and
tank-mixes intended for use on agricultural
commodities that will be used for human or
animal consumption, or at least one per batch
from each producer or applicator.
2) Those pesticide formulations used in the home
and for home gardening.
3) Those pesticides and tank-mixes used to control
pests on vertabrates, including domestic ani-
mals, fowl and man.
4) Those pesticides used in food processing
facilities and institutions.
5) Those products and tank-mixes involved in or
related to human or animal injury, plant damage,
illegal residue or other documented
environmental damage.
Other pesticide products need not be routinely
screened unless specifically requested to do so.
B. Contaminant Detection and Confirmation
Appendix XVII e
-------
Thin-layer chromatography (TLC) is recommended as the
primary procedure for the screening of pesticide
products (formulations) and tank-mixes for cross-
contamination; the procedure is adequately sensitive,
efficient, economical and relatively easy to perform.
If TLC is not feasible, gas chromatography (GC) with
the use of special detectors [Hall electro-
conductivity (HECD) for chlorinated hydrocarbons and
flame-photometric (FPO) or nitrogen-phosphorus (NPO)
for organophosphates] may also be used if specific
methodology is developed, validated and documented.
Confirmation of identity and quantitative determina-
tion will generally be performed by gas or high-
performance liquid chromatography, as appropriate. A
second TLC solvent system can also be used for
confirmation; the referenced TLC procedures specify
alternate mobile phase solvents. At least three
independent chromatographic retention values should
be used to confirm identity if infra-red spectroscopy
or mass spectrometry is not available or applicable.
Quantitative determinations should be made in true
duplicate (independent standard solutions) on at
least one subsample.
TLC method references are provided as follows:
Appendix XVII
-------
1.) Chlorinated hydrocarbon detection-AOAC-13; 6.027
or as modified for use with pre-coated plates-
(NEIC-TLC-1)
2) Organophosphate and carbamate determination-
EPA-TLC-1)
Copies of the above methods are available from the
Pesticides and Toxic Substances Branch of the
National Enforcement Investigations Center (NEIC).
Training, in screening techniques either through
workshops or on-the-job is also provided by NEIC.
C. Report of Analysis
The results of contaminant screening and the identity
and percentage of each contaminant, if found, should
be reported along with primary assay results.
Appendix XVII
-------
Pesticide Guidance FY92
. (Revised February 1991)
Guidelines for Using EPA Form 5700-33H
Reporting Requirements for the Pesticides Enforcement Component Output Projections
and Quarterly Accomplishment Report
EPA form 5700-33H must be used by states/tribes participating in the FIFRA cooperative
agreement program for reporting output projections and accomplishments in the
enforcement program. There are three pages to form 5700-33H: Output Projections and
Quarterly Accomplishment Report on two pages for compliance activities and annual
projections and quarterly accomplishments for certification and training activities. The
Quarterly Accomplishment Report should be accompanied by a narrative portion as
described in these guidelines.
To insure uniform reporting, these guidelines and definitions must be followed when
completing this form.
A, Reporting Categories
The EPA Form 5700-33H provides the state/tribe two categories for reporting pesticide
enforcement activities: (1) Cooperative Agreement Only and (2) state activities only.
States/tribes are encouraged to include all of their pesticide enforcement activities under
the cooperative agreement program. If a state/tribe decides to include only a portion of
its program in the cooperative agreement (at least 15 percent of the total costs), this form
provides the state/tribe the opportunity to report activities outside of the cooperative
agreement by checking the "State Activities Only" block on a separate copy of the form.
1. Cooperative Agreement Only
"Cooperative Agreement Only includes all activities conducted under the cooperative
agreement.
2. State Activities Only
"State Activities Only" includes all activities conducted outside of the cooperative
agreement program. Reporting of these activities is voluntary. EPA encourages
states/tribes with pesticide enforcement activities outside of the cooperative agreement
Appendix XVIII
-------
Pesticide Guidance FY92
program to report these activities on a separate copy of the form with the "State Activities
Only" block checked. This will give EPA and other concerned parties a complete picture
of all pesticide compliance activities being conducted by the state/tribe.
B. Output Projections
The Output Projections side of the form must be completed for all four quarters and
submitted with the cooperative agreement application. These numbers represent the
state's/tribe's quarterly commitments under the cooperative agreement.
As stated in the FY92 guidance, the states will negotiate with their Regional office and
commit to conducting an agreed-upon number of federal facility inspections. These would
fall under the other categories of inspections listed on the reporting form, but would be
conducted at federal facilities. The number of inspections to be conducted at federal
facilities must be negotiated and included in cooperative agreement applications.
States/tribes are not required to make projections for activities to be conducted outside
of the cooperative agreement program.
C. Quarterly Accomplishments
States/tribes are required to report all pesticide inspectional and enforcement
accomplishments performed under the cooperative agreement program on EPA Form
5700-33H, with the block "Cooperative Agreement Only" checked.
The Quarterly Accomplishments side of the form must be completed for each quarter.
The accomplishments to be reported include inspections conducted, samples collected, and
enforcement actions taken. Quarterly reports must be submitted to the Regional Office
by the state/tribes within thirty 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.
The following are uniform reporting requirements for reporting accomplishments:
o Inspections should only be reported if an appropriate inspection report is
completed.
o Inspections should be reported during the quarter that they are completed.
o The initial reason for the inspection determines the appropriate inspection
category for reporting.
Appendix XVIII 2
-------
Pesticide Guidance FY92
o If more than, one type of inspection (of the eleven standard inspection
categories) is conducted for the same visit, and each inspection is completely
documented, then each inspection can be counted as a separate inspection.
o All state/tribal enforcement actions resulting from inspections conducted
under the cooperative agreement are to be reported on Form 5700-33H.
This includes enforcement actions for both Federal and state/tribal violations.
o Enforcement actions should be reported for the quarter in which they are
issued, regardless of when the inspection was conducted.
o Enforcement actions are to be reported under the inspection category
heading for the initial inspection which led to the enforcement action.
o Enforcement actions which are not the result of inspections in the field are
to be reported in the narrative portion of the report.
See section E. Inspection Category Definitions for additional uniform reporting
requirements for use and followup inspections.
For inspection, sample and enforcement action accomplishments performed outside of the
cooperative agreement, EPA encourages states/tribes to report these activities on a
separate copy of the form with the "State Activities Only" block checked. Use the same
instructions as described above for reporting accomplishments. This will give a complete
picture of the total pesticides compliance activities being conducted.
D. Total Applicators Holding a Valid Certification as of September 30th
The Office of Compliance Monitoring uses the number of certified private applicators and
commercial applicators as of September 30th as part of the formula for allotting
enforcement cooperative agreement funds. It is important that each state participating in
the enforcement cooperative agreement program report this information along with their
fourth quarter report.
E. Inspection Category Definitions
It is understood that many states/tribes conduct inspections which are not specified as
separate inspection categories on Form 5700-33H or defined in these guidelines. The
state/tribe should consult with their Regional Office to determine which inspection
categories most closely match such inspections. Inspections which do not fall within one
Appendix XVIII
-------
Pesticide Guidance FY92
of the eleven standard inspection categories of the form should be reported in the
narrative portion of the quarterly report.
The eleven standard inspection categories listed on EPA Form 5700-33H are defined, for
uniform reporting purposes, as follows:
Use Inspections
A use inspection may be initiated as an observation of an actual pesticide
application or as an inspection following an application. This type of inspection is
usually selected using a neutral or routine inspection scheme. Use inspections also
include the investigation of the many facets of the use of a pesticide including
storing, handling, mixing, loading, and disposal. Section 18 and section 24(c) use
inspections will be included in this category for reporting purposes.
Uniform reporting requirements are:
o Use inspections are differentiated from followup inspections by the initial
reason for the inspection.
o Use inspections are initiated without a reason to believe that a violation has
occurred or is occurring.
o Use inspections remain use inspections even if a violation is encountered.
o A use inspection requiring multiple visits should be reported as only one use
inspection even though many sites may be visited.
For example, in a use inspection all of the following sites may be visited:
application site, adjoining property, dealer where the pesticide was purchased
to review sales records, and place of business of certified applicator to review
records. The visits to the dealer and applicator should not be reported as
separate inspections if these visits were part of the use inspection.
1. Agricultural Use Inspections
Agricultural use inspections include the inspection of pesticide applications in conjunction
with the production of agricultural commodities as defined in 40 CFR 171.2(e) as follows:
The term "agricultural commodity" means any plant, or part thereof, or
animal, or animal product, produced by a person (including farmers,
ranchers, vineyardists, plant propagators, Christmas tree growers,
Appendix XVIII 4
-------
Pesticide Guidance FY92
aquaculturists, floriculturists, orchardists, foresters, or other comparable
persons) primarily for sale, consumption, propagation, or other use by man
or animals.
2. Non-atpricultural Use Inspections
Non-agricultural Use Inspections include the inspection of non-agricultural pesticide
applications.
Followup Inspections
A followup inspection is usually initiated in response to a complaint, damage report,
referral, tip, etc. following a pesticide application. Section 18 and 24(c) followup
inspections will be included in this category for reporting purposes.
Uniform reporting requirements are:
o Followup inspections are differentiated from use inspections by the initial
reason for the inspection.
o Followup inspections are initiated when there is reason to believe that a
violation has occurred or is occurring.
o Followup inspections remain followup inspections even if a violation is not
detected.
3. Agricultural Followup Inspections
Agricultural followup inspections are inspections of a suspected misuse of pesticides
in conjunction with the production of agricultural commodities as defined in 40 CFR
part 171.2(e).
4. Non-agricultural Followup Inspections
Non-agricultural followup inspections are inspections of suspected misuse of
pesticides in all categories of non-agricultural applications.
5. Experimental-Use Inspections
An experimental-use inspection may be an actual observation of an application or
a followup inspection of records to determine compliance with the experimental-
Appendix XVIII 5
-------
Pesticide Guidance FY92
use permit. All inspections must be conducted on site; telephone calls or
correspondence reviews will not be counted as inspections.
6. Producer Establishment Inspections
A producer establishment inspection is an inspection of an establishment where
pesticides or devices are produced and held for distribution or sale, for the purpose
of inspecting the facility's products and obtaining samples. While conducting
producer establishment inspections, product labels, containers, and records should
be examined for compliance. Inspection of the books and records required by
section 8 are also part of these inspections.
7. Marketplace Inspections
A marketplace inspection is an inspection conducted at the retail, distribution,
wholesale, or user level for the purpose of determining product registration status,
proper storage and display, any labeling violations, any product decomposition, and
for collecting official samples. To be counted as an output, the marketplace
inspection must be documented in accordance with the provisions set forth in the
EPA Pesticides Inspection Manual.
8. Import Inspections
An import inspection is an actual inspection of a product being imported into the
United States to determine whether the product is in compliance with FIFRA.
Telephone calls and review of import papers in the inspector's office will not be
counted as inspections.
9. Export Inspections
Export inspections are considered to be intensive section 8 books and records
inspections that will involve the review and collection of a large number of
documents and several affidavit statements by regional/state inspector(s) from
responsible company officials. Inspection activities will consist of three (3) parts:
pre-inspection document collection and review; on-site inspection activities to review
and obtain additional documents; and inspection report writing and organization of
inspection documents.
An export inspection is an inspection directed toward those pesticides that are
intended for export to determine whether they are prepared and packaged in
accordance with the specifications and directions of the applicable foreign
Appendix XVIH 6
-------
Pesticide Guidance FY92
purchaser and consistent with the EPA Statement of Policy on the Labeling
Requirements for Exported Pesticides, Devices, and Pesticide Active Ingredients and
the Procedures for Exporting Unregistered Pesticides.
10. Certified Applicator License and Records Inspections
This type of inspection is normally conducted at a pesticide applicator's place of
business. The purpose of the inspection is to determine if: (1) the applicator is
properly certified and/or licensed, (2) the required records are being maintained,
(3) the applicator is applying pesticides only in those areas for which certification
has been issued, and (4) the records indicate that all applications have been made
in compliance with all applicable laws and regulations.
Inspections of non-certified applicators, pest control operators, etc., for the purposes
described above should also be reported in this category.
11. Restricted-Use Pesticide Dealer Records Inspections
This type of inspection is conducted on-site at dealers who sell restricted-use
pesticides. The purpose of the inspection is to determine if: (1) the dealer is
properly licensed or certified (if required) and maintaining the required records, and
(2) restricted-use pesticides are being sold only to certified applicators or other
properly authorized persons by reviewing the dealer's records.
* Comprehensive Inspections
Comprehensive inspections, covering all pertinent elements of each type of
inspection, as explained in the inspector's manual, shall be conducted.
We have highlighted the importance of just a few of these elements on the
reporting form. Of the inspections reported under each type of inspection, please
verify how many included compliance monitoring for: a) worker protection; b)
ground water; c) endangered species; and d) cancellations/suspensions.
Nationally, it is expected that each of these elements (a-d) would be routinely
addressed under each type of inspection, with the possible exception of export and
certified applicator record checks, as indicated in the footnote on the reporting
form. However, if a state finds it necessary to report compliance monitoring for
these elements under these two types of inspections, they can do so on the
reporting form.
Appendix XVIII
-------
Pesticide Guidance
* Federal Facilities
Inspections at federal facilities shall be conducted. They would be reported under
the applicable inspection category on the reporting form. According to the Office
of Management and Budget Circular No, A-106, dated December 31, 1974, and the
EPA Federal Facilities Compliance Strategy dated November 1988, federal facilities
are defined as; "buildings, installations, structures, land public works equipment,
aircraft, vessels, and other vehicles and property, owned by or constructed or
manufactured and so leased to, the Federal Government."
F. Sample Definitions
Physical samples refer to extracted volumes or other substances taken for analysis
in determining product formulation, use dilution and residue concentrations. *.
New sections.
* New Sections
Documentary or non-physical samples may include such items as product labels, photos
or copies of sales receipts which may be needed as evidence in properly conducting
inspection reports and case development activities. Many documentary samples result in
enforcement actions and are significant functions. However, since the number of samples
is also used for determining laboratory workload and productivity, documentary or non-
physical samples should be differentiated so as not to be reported as sample projections
on 'EPA Form 5700-33H. Documentary samples may be projected in the narrative portion
to accompany EPA Form 5700-33H, if a state would like to do so. However, as stated
above, only physical samples are required to be projected.
G. Sample Accomplishments
With respect to samples collected, both physical and documentary samples shall be
reported.
H. Enforcement Action Category Definitions
Only those enforcement actions initiated as a result of an inspection should be reported
on EPA Form 5700-33H.
It is understood that many states initiate enforcement actions which are not specified as
one of the standard categories for enforcement action on EPA Form 5700-33H or defined
in these guidelines. The state/tribe should consult with their Regional Office to determine
Appendix XVIII 8
-------
Pesticide Guidance FY92
which reporting categories most closely match such enforcement actions. Enforcement
actions not readily falling within one of the ten standard categories on the form should be
reported in the enforcement action category "Other Enforcement Actions" and described
in the narrative portion of the quarterly report.
The eleven standard categories of enforcement actions listed on EPA Form 5700-33H
are defined, for uniform reporting purposes, as follows:
1. Civil Complaints Issues
Civil Complaints include any written notice proposing a monetary penalty for a
violation(s). These actions should be reported during the quarter in which they are
issued to the respondent.
2. Criminal Actions Referred
Criminal Actions are those legal actions pursued in a court of law. These actions
should be reported during the quarter in which the case is referred to the judicial
system (e.g., State Attorney General, District Attorney, or County Prosecutor).
3. Administrative Hearings Conducted
An Administrative Hearing is when an alleged violator is required to appear before
a state, tribal or federal hearing officer to explain why the violation occurred.
These actions should be reported during the quarter in which the hearing is
conducted.
4. License/Certificate Suspension
5. License/Certificate Revocation
6. License/Certificate Conditioning or Modification
These are usually administrative actions taken to further restrict the use of
restricted-use pesticides by certified applicators by suspending, revoking or modifying
the terms of the applicator's license or certification.
Appendix XVIII
-------
Pesticide Guidance FY92
7. Number of Warnings Issued
To be counted, warnings must be a written notification pointing out the violation(s)
and placing the recipient on notice that further violation may result in additional
enforcement action. Warnings should be reported during the quarter in which the
warning was issued.
8. Stop-Sale. Seizure. Quarantine, or Embargo
All official written orders for removing products in violation from sale or use should
be reported in this category.
9. Cases Forwarded to EPA For Action
This includes all inspectional files which document violations of FIFRA and are
forwarded to EPA for enforcement action.
10. Other Enforcement Actions
Any other written, verifiable enforcement action initiated by the state, tribe, or
federal agency that is not comparable to one of the above enforcement action
categories.
11. Number of Cases Assessed Fines
Indicates the number of enforcement cases resulting in the assessment of a
monetary fine (e.g., civil complaint settlements, criminal court actions, or
administrative hearing orders).
Narrative
The Quarterly Accomplishment Report should be accompanied by a narrative portion as
described below:
1. Inspections Conducted
Inspections which do not fall within one of the eleven standard inspection categories
should be reported in the narrative.
Appendix XVIII 10
-------
Pesticide Guidance FY92
Worker Protection Enforcement
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 requirements. Monitoring for
compliance with worker protection requirements shall be another element of
comprehensive inspections.
On the reporting form, the grantee must document that compliance monitoring for
the revised worker protection requirements was indeed a component of each of
their inspections (as discussed on the reporting form). (It is expected that
nationally compliance monitoring for worker protection would not be routinely
addressed during export and certified applicator record checks only. However, if
a state finds it necessary to report compliance monitoring for worker protection
under these inspections, they can do so in the appropriate blocks on the reporting
form.)
If monitoring for worker protection was not included as part of every inspection,
the grantee must explain why in the narrative section of the quarterly report.
Ground Water/Endangered Species/Cancellations/Suspensions
On the reporting form, the grantee must document that compliance monitoring for
the labeling and other requirements associated with ground water, endangered
species, and cancellations/suspensions was indeed a component of each of their
inspections (as discussed on the reporting form). (It is expected that nationally
compliance monitoring for ground water and endangered species related
requirements would not be routinely addressed during export and certified
applicator record checks only. However, if a state finds it necessary to report
compliance monitoring for ground water and endangered species Under these
inspections, they can do so in the appropriate blocks on the reporting form.)
If monitoring for ground water, endangered species, and cancellations/suspensions
was not included as part of every inspection, the grantee must explain why in the
narrative section of the quarterly report.
2. Enforcement Accomplishments
Enforcement actions not readily falling within one of the eleven standard categories
on the form should be reported in the enforcement action category "Other
Enforcement Actions" and described in the narrative portion.
Appendix XVIII 11
-------
Pesticide Guidance FY92
Enforcement actions which are not the result of inspections in the field may be
reported in the narrative.
Some examples of what would be included under "other enforcement actions"
include the following; advisory letters, agreements on remedial action, notices of
intent to sue, consent agreements, reports of substandard treatments, treatment
correction notices, and stop work order notices.
A "field notice" would be included under the category of "other enforcement
actions" (as opposed to the "warning" category) only if it does not meet the
definition of a "warning" as described on page 10 (under item #7).
Appendix XVIII 12
-------
United StelM EnvkorunenUi Prcxocoon Agency
^^ MBMBJB^ Jft • WMhinglon. DC 2O460
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^^ •«•• * * Cooperative Agreement Output Projections
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-------
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b) Ground Water
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d) Canceflattons/Suspenslon*
Simple* Collected
Physloat
Documentary
CMI Complaint* Issued
Criminal Actions Helen ed
Ucensa/CerWrcale Suspension
Lloense/Ceftirieate Revocation
Lloanse/Certmcate Conditioning or ModWcatton
Number ot Warnings Issued
Stop-Sale, Seizure, OuaranHne, or Embargo
Cases Forwarded to EPA lor Action
Other Enforcement Actions
Number of Cases Assessed Fines
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EPA Form S700-33H (fto*. f-W) PravkMM edKlona ar« obeoMe.
• Comprehentrve lnsp«ctlont thatl b« conducted. Of the *lnsp«ctloni conducted' which are reported on the firtt line, please
verify how many addressed the element* lifted above as a-d.
/ It It expected that nationally element* a-d would not be routinely addressed for export and record Inspection* only.
However, If • state find* H nece**ary to report compliance monitoring for these elements under these Inspections, they can
do so In the block* Indicated above.
-o
c
-------
ANNUAL CERTIFICATION AND TRAINING PROJECTIONS
Certification Projections
(Annual)
Training S*«slon« To B«
Participated In or Monitored
Applicator* To Be Certified
Applicator* To Be Recertified
CERTIFICATION AND TRAINING ACCOMPLISHMENTS
THIS QUARTER
Certification
Accomplishments
This Quarter
Training Sessions Participated In
or Monitored
Applicator* Certified
Applicators Recertified
PHv-s
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Total Applicator* Holding a Valid Cer-
tification as of September 30th
Recertlflcatlon Period (In yvan)
•
EPA Fonn STOO-UH lJUv. »-«0) Previous edWoot are obw>M*.
-------
Pesticide Guidance 7Y92
The Model of Priority Setting Plans was
unavailable upon publication of this Guidance.
It will be sent to the regions in late August, 1991.
Appendix XIX
-------
)3/ia/9i
POPULATION
(1000S)
OFFICE OF COMPLIANCE MONITORING
PESTICIDES ENFORCEMENT GRANTS
STATE STATISTICAL DATA
FARMS ACRES PRODUCERS PVT-APP
(1000s)
COM-APP BASEFUND
* REGION :
rr
4A
IE
m
RI
i/T
* Subtotal
3287
6016
1228
1109
1003
563
**
4000
6900
7300
3200
770
7100
440
690
1450
510
73
1520
13206
* Subtotal **
29319
29270
69100
4683
* REGION
NJ
NY
PR
VI
2
7730
17990
3599
0
3300
39000
21800
0
880
3400
954
0
10234
* REGION 3
DC 607
DE 666
\D 4781
?A 11882
VA 6187
WV 1793
* Subtotal **
25916
0
3000
15600
54000
47000
21000
140600
0
590
2300
2300
9000
3700
17890
163
235
311
31
0
577
5
27
94
282
87
23
518
7936
2434
13727
9523
0
25689
0
1610
4744
20332
16413
4591
47690
* REGION 4
AL
FL
GA
KY
MS
NC
SC
TN
<* Subtotal
4041
12938
6478
3685
2573
6629
3487
4877
**
44708
47000
41000
48000
96000
41000
65000
25500
91000
454500
10600
11200
12600
14200
13300
10000
5300
12600
89800
114
1148
285
104
90
227
91
160
2219
12255
9717
17835
57528
14877
61988
12399
38771
225370
5927
5739
6671
8032
3329
' 7384
3155
6688
46925
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
856800.00
2081
2085
1761
895
1412
791
9025
7357
31513
2593
0
41463
832
992
3475
8039
7767
1476
22581
5927
5739
6671
8032
3329
7384
3155
6688
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
642600.00
107100.00
107100.00
107100.00
56700.00
373000.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
642600.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
ppendix XX
-------
03/18/91
STATE POPULATION
(1000s)
OFFICE OF COMPLIANCE MONITORING
PESTICIDES ENFORCEMENT GRANTS
STATE STATISTICAL DATA
FARMS
ACRES
(1000s)
PRODUCERS PVT-APP COM-APP BASEFUND
•* REGION 5
IL 11431
IN 5544
MI 9295
MN 4375
OH 10847
WI 4892
* Subtotal **
46384
* REGION
AR
LA
NM
OK
2351
4220
1515
3146
TX 16385
* Subtotal **
27617
* REGION 7
IA
KS
MO
NB
NF
* Subtotal **
10372
86000
71000
55000
90000
87000
81000
470000
49000
35000
14000
69000
18600
135600
187500
28500
16400
10800
30000
15800
17600
119100
15700
9300
44500
33000
132000
234500
2777
2478
5117
0
0
10500
69000
108000
0
0
33500
47900
30400
0
0
111800
* REGION
81
CF
CO
MT
ND
SD
UT
WY
8
0
0
3294
799
639
696
1723
0
0
0
27000
24700
33500
35000
13000
0
0
0
33500
60600
40500
44300
11300
0
3218
96
164
24
68
593
Subtotal **
7151
133200
190200
872
295
403
0
0
1570
0
0
92
78
93
125
26
0
414
156925
2827
3662
3144
5791
167322
945 182746
48790
20592
35746
0
0
105128
0
0
11621
8491
21517
20821
2721
0
65171
6897
4583
4939
7936
7678
9944
41977
276
7771
1419
6727
13198
29391
10305
5976
5040
0
0
21321
0
0
1929
2360
35054
3256
3630
0
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
642600.00
107100.00
107100.00
107100.00
107100.00
107100.00
535500.00
107100.00
107100.00
107100.00
0.00
195200.00
516500.00
140500.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
0.00
46229 783100.00
.ppendix XX
-------
fesciciae vjuiaance
)3/18/91
POPULATION.
(1000s)
OFFICE OF COMPLIANCE MONITORING
PESTICIDES ENFORCEMENT GRANTS
STATE STATISTICAL DATA
FARMS
ACRES
(1000s)
PRODUCERS PVT-APP COM-APP BASEFUND
* REGION 9
VI
^S
\z
:A
3U
ii
4R
YI
tfV
IT
* Subtotal
0
0
3665
29760
0
1108
0
0
1202
0
*•*
35735
0
0
8100
84000
0
4650
0
0
2500
0
99250
0
0
36000
31300
0
1720
0
0
8900
0
77920
* REGION 10
ID
DR
SB
WA
550
1007
2842
0
4867
**
9266
** Total ***
249674
600
22300
37000
0
38000
97900
1866920
1010
13700
17800
0
16000
48510
904637
0
0
109
792
0
34
0
0
26
0
961
1
55
113
0
194
363
10948
0
0
664
29755
0
1554
0
0
207
0
32180
784
15357
10278
0
12865
39284
888119
0
0
3245
15828
0
948
0
0
759
0
20780
294
10585
4365
0
10848
26092
305784
280000.00
28500.00
107100.00
107100.00
42600.00
107100.00
28500.00
81500.00
107100.00
22300.00
911800.00
107100.00
107100.00
107100.00
30000.00
107100.00
458400.00
6367900.00
Pesticide Guidance
-------
POP
FARMS
ACRES
PROD
PVT-APP
COM-APP
1
2
3
4
5
6
7
3
9
10
13206
29319
25916
44708
46384
27617
10372
7151
35735
9266
29270
69100
140600
454500
470009
185600
187500
133200
99250
97900
4683
10234
17890
89800
119100
234500
111800
190200
77920
48510
GRAND TOTALS FOR ALL REGIONS
249674 1866920 904637
163
577
518
2219
3218
945
1570
414
961
363
10948
7936
25689
47690
225370
156925
182746
105128
65171
32180
39284
838119
9025
41463
22581
46925
41977
29391
21321
46229
20780
26092
305784
Appendix XX
-------
Pesticide Guidance
33/18/91
r.ft
POP
OFFICE OF COMPLIANCE MONITORING
PESTICIDES ENFORCEMENT GRANTS
FORMULA PERCENTAGES
FARMS
ACRES PRODUCERS
PVT-APP COM-APP
FY92
TOTAL
0.3291
0.6024
0.1230
0.1110
0.1004
0.0564
0.7740
1.8013
0.3604
0.0000
0.0608
0.0667
0.4787
1.1898
0.6195
0.1795
0.4046
1.2955
0.6486
0.3690
0.2576
0.6638
0.3492
0.4883
1.1446
0.5551
0.9307
0.4381
1.0861
0.4898
0.2354
0.4226
0.1517
0.3150
1.6406
0.2781
0.2481
0.5124
0.0000
0.0000
0.0536
0.0924
0.0978
0.0429
0.0103
0.0951
0.1111
0.5223
0.2919
0.0000
0.0000
0.0402
0.2089
0.7231
0.6294
0.2812
0.6294
0.5490
0.6428
1.2855
0.5490
0.8704
0.3415
1.2186
1.1516
0.9508
0.7365
1.2052
1.1650
1.0847
0.6562
0.4687
0.1875
0.9240
0.2491
0. 1406
0.9240
1.4462
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.1005
0.1576
0.0251
0.0297
0.0365
0.0228
0.5366
0.7102
0.0708
0.0000
0.0114
0.0617
0.2147
0.6440
0.1987
0.0525
0.2603
2.6215
0.6508
0.2375
0.2055
0.5184
0.2078
0.3654
2.2424
1.2948
0.7604
1.1943
1.1897
0.6668
0.2192
0.3745
0.0548
0.1553
1.3541
1.9912
0.6736
0.9203
0.0000
0.0000
0.0167
0.0172
0.0226
0.0091
0.0048
0.0188
0.0274
0.1546
0.1073
0.0000
0.0000
0.0181
0.0534
0.2289
0.1848
0.0517
0.1380
0.1094
0.2008
0.6478
0.1675
0.6980
0.1396
0.4366
0.4433
0.2611
0.1375
0.4105
0.2086
0.3060
0.0318
0.0412
0.0354
0.0652
1.8840
0.5494
0.2319
0.4025
0.0000
0.0000
0.1021
0.1023
0.0864
0.0439
0.0693
0.0388
0.3609
1.5458
0.1272
0.0000
0.0408
0.0487
0.1705
0.3943
0.3810
0.0724
0.2907
0.2815
0.3272
0.3940
0. 1633
0.3622
0.1548
0.3281
0.3383
0.2248
0.2423
0.3893
0.3766
Oi4878
0.0135
0.3.812
0.0696
0.3300
0.6474
0.5055
0.2931
0.2472
0.0000
0.0000
0.6020
0.9719
0.3549
0.2366.
0.2213
0.2319
1.8100
4.7342
0.9576
0.0000
0.1130
0.2354
1.1262
3.1801
2.0134
0.6373
1.7230
4.8569
2.4702
2.9338
1.3429
3.1128
1.1929
2.8370
5.3202
3.2866
2.8074
3.6374
4.0260
3.0351
1.1561
1.6882
0.4990
1.7895
5.7752
3.4648
2.3707
3.5286
0.0000
0.0000
Appendix XX
-------
03/18/91
STATE
POP
OFFICE OF COMPLIANCE MONITORING
PESTICIDES ENFORCEMENT GRANTS
FORMULA PERCENTAGES
FARMS
ACRES PRODUCERS
PVT-APP COM-APP
TOTAL
81 .
CF
CO
MT
ND
SD
UT
WY
AI
AS
AZ
CA
GU
HI
MR
NI
NV
TT
AK
ID
OR
SB
WA
** To
0.0000
0.0000
0.3298
0.0800
0.0640
0.0697
0.1725
0.0000
0.0000
0.0000
0.3670
2.9799
0.0000
0.1109
0.0000
0.0000
0.1204
0.0000
0.0551
0.1008
0.2846
.0.0000
0.4873
tal ***
0.0000
0.0000
0.3616
0.3308
0.4486
0.4687
0.1741
0.0000
0.0000
0.0000
0.1085
1.1248
0.0000
0.0623
0.0000
0.0000
0.0335
0.0000
0.0080
0.2986
0.4955
0.0000
0.5089
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.2101
0.1781
0.2124
0.2854
0.0594
0.0000
0.0000
0.0000
0.2489
1.8085
0.0000
0.0776
0.0000
0.0000
0.0594
0.0000
0.0023
0.1256
0.2580
0.0000
0.4430
0.0000
0.0000
0.1308
0.0956
0.2423
0.2344
0.0306
0.0000
0.0000
0.0000
0.0075
0.3350
0.0000
0.0175
0.0000
0.0000
0.0023
0.0000
0.0088
0.1729
0.1157
0.0000
0.1449
0.0000
0.0000
0.0946
0.1158
1.7195
0.1597
0.1781
0.0000
0.0000
0.0000
0.1592
0.7764
0.0000
0.0465
0.0000
0.0000
0.0372
0.0000
0.0144
0.5192
0.2141
0.0000
0.5321
0.0000
0.0000
1.1269
0.8003
2.6868
1.2179
0.6147
0.0000
0.0000
0.0000
0.8911
7.0246
0.0000
0.3148
0.0000
0.0000
0.2528
0.0000
0.0886
1.2171
1.3679
0.0000
2.1162
24.9999
25.0004
0.0000
25.0001
9.9998 14.9996 99.9998
Appendix XX
-------
Pesticide Guidance
33/18/91
T^: FORMULA
PERCENT
* REGION 1
2T
HA
HE
NH
RI
VT
* Subtotal **
* REGION 2
NJ
NY
PR
VI
* Subtotal **
* REGION 3
DC^fc
OE^
.•ID
PA
VA
WV
•* Subtotal **
'* REGION 4
AL
FL
GA
KY
MS
NC
sc
TN
** Subtotal **
0.6020
0.9719
0.3549
0.2366
0.2213
0.2319
2.6186
1.8100
4.7342
0.9576
0.0000
7.5018
0.1130
0.2354
1.1262
3.1801
2.0134
0.6373
7.3054
1.7230
4.8569
2.4702
2.9338
1.3429
3.1128
1.1929
2.8370
OFFICE OF COMPLIANCE MONITORING
PESTICIDES ENFORCEMENT GRANTS
FUNDING ALLOTMENTS
FORMULA
FUNDING
33420.03
53955.03
19702.27
13134.85
12285.47
12873.93
145371.58
100482.15
262819.11
53161.16
0.00
416462.42
20.4695
405559.27
95652.35
269630.80
137133.15
162869.91
74551.09
172807.09
66223.84
157496.06
1136364.29
BASE
FUNDING
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
642600.00
107100.00
107100.00
107100.00
56700.00
378000.00
0.1130
0.2354
1.1262
3.1801
2.0134
0.6373
6273.19
13068.23
62520.99
176543.25
111773.90
35379.71
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
642600.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
856800.00
TOTAL FUNDING
(ROUNDED TO
NEAREST $100)
140500.00
161100.00
126800.00
120200.00
119400.00
120000.00
788000.00
207600.00
369900.00
160300.00
56700.00
794500.00
113400.00
120200.00
169600.00
283600.00
218900.00
142500.00
1048200.00
202800.00
376700.00
244200.00
270000.00
181700.00
279900.00
173300.00
264600.00
1993200.00
Appendix XX
-------
13/18/91
JTATE
=» REGION 5
CL
CN
«
4N
3H
*I
* Subtotal
* REGION 6
\R
LA
*M
3K
rx
* Subtotal
* REGION 7
IA
KS
MO
NB
NF
* Subtotal
* REGION 8
81
CF
CO
MT
ND
SD
UT
WY
•* Subtotal
FORMULA
PERCENT
5.3202
3.2866
2.8074
3.6374
4.0260
3.0351
**
22.1127
1.1561
1.6882
0.4990
1.7895
5.7752
*•*
10.9080
3.4648
2.3707
3.5286
0.0000
0.0000
**
9.3641
0.0000
0.0000
1.1269
0.8003
2.6868
1.2179
0.6147
0.0000
**
OFFICE OF COMPLIANCE MONITORING
PESTICIDES ENFORCEMENT GRANTS
FUNDING ALLOTMENTS
FORMULA
FUNDING
295350.90
182455.60
155852.81
201930.26
223503.39
168493.58
1227586.54
64180.39
93720.42
27701.99
99344.09
320610.23
605557.62
192348.37
131609.41
195890.23
0.00
0.00
519848.01
0.00
0.00
62559.85
44428.65
149157.70
67611.72
34125.07
0.00
BASE
FUNDING
107100,
107100,
107100,
107100,
107100,
107100,
107100,
107100,
107100,
107100
107100
00
00
00
00
00
00
642600.00
00
00
00
00
00
535500.00
107100.00
107100.00
107100.00
0.00
195200.00
516500.00
140500.00
107100.00
107100.00
107100.00
107100.00
107100.00
107100.00
0.00
6.4466
357882.99 783100.00
TOTAL FUNDING
(ROUNDED TO
NEAREST $100)
402500.00
289600.00
263000.00
309000.00
330600.00
275600.00
1870300.00
171300.00
200800.00
134800.00
206400.00
427700.00
1141000.00
299400.00
238700.00
303000.00
0.00
195200.00
1036300.00
140500.00
107100.00
165700.00
151500.00
256300.00
174700.00
141200.00
0.00
1141000.00
Appendix XX
-------
esticide Guidance
03/13/91
FY92
'*B^KE
•* REGION 9
AI
AS
AZ
CA
GU
HI
MR
NI
NV
TT
•* Subtotal **
'* REGION 10
AK
ID
OR
SB
WA^
* ^ibtotal **
'** Total ***
FORMULA
PERCENT
0.0000
0.0000
0.3911
7.0246
0.0000
0.3148
0.0000
0.0000
0.2528
0.0000
8.4833
0.0836
1.2171
1.3679
0.0000
2.1162
4.7898
99.9998
OFFICE OF COMPLIANCE MONITORING
PESTICIDES ENFORCEMENT GRANTS
FUNDING ALLOTMENTS
FORMULA
FUNDING
0.00
0.00
49469.42
389970.67
0.00
17476.12
0.00
0.00
14034.19
0.00
470950.40
4918.63
67567.31
75938.97
0.00
117480.84
265905.75
5551488.87
BASE
FUNDING
280000.00
28500.00
107100.00
107100.00
42600.00
107100.00
28500.00
81500.00
107100.00
22300.00
911800.00
107100.00
107100.00
107100.00
30000.00
107100.00
458400.00
6367900.00
TOTAL FUNDING
(ROUNDED TO
NEAREST $100)
280000.00
28500.00
156600.00
497100.00
42600.00
124600.00
28500.00
81500.00
121100.00
22300.00
1382800.00
112000.00
174700.00
183000.00
30000.00
224600.00
724300.00
11919600.00
Appendix XX
-------
'esticide Guidance
TATE
FARM LABOR
(1000s)
OFFICE OF COMPLIANCE MONITORING
FETICIDES WORKER PROTECTION ENFORCEMENT GRANTS
STATE STATISTICAL DATA
FARMS
NUR/GFN SITES PVT-APP QOM-APP
BASEFtJND
* REGION
iA
RI
7T
* Subtotal
**
15
17
35
6
2
13
4000
6900
7300
3200
770
7100
88
29270
510
716
339
216
109
174
2064
1483
1530
2011
809
430
1606
7869
2081
2085
1761
895
1412
791
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
9025 120000.00
* REGION
MJ
PR
* Subtotal **
28
107
0
0
135
8300
39000
21800
0
69100
1235
1886
0
0
2434
13727
9528
0
7357
31513
2593
0
20000.00
20000.00
20000.00
10200.00
3121
25689
41463
70200.00
* REGION 3
DC
DE
MD
PA
VA
WV
0
3
38
92
106
21
0
3000
15600
54000
47000
21000
* Subtotal **
265 140600
* REGION 4
AL 63 47000
FL 182 41000
GA 92 48000
KY 268 96000
MS 62 41000
NC 262 65000
SC 63 25500
TN 152 91000
* Subtotal **
1144 454500
0
106
614
2157
750
180
0
1610
4744
20332
16413
4591
832
992
3475
8039
7767
1476
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
3807
47690
22581 120000.00
543
3841
644
421
250
1243
351
921
12255
9717
17835
57528
14877
61988
12399
38771
5927
5739
6671
8032
3329
7384
3155
6688
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
8214
225370
46925 160000.00
Appendix XX
10
-------
Pesticide Guidance
FY92
STATE
FARM LABOR
(1000s)
OFFICE OF COMPLIANCE MONITORING
PESTICIDES WORKER PROTECTION ENFORCEMENT GRANTS
STATE STATISTICAL DATA
FARMS
NUR/G»l SITES PVT-APP CCM-APP
BASEFUND
** REGION 5
IL
IN
MI
MN
OH
WI
141
99
130
155
106
162
86000
71000
55000
90000
87000
81000
** Subtotal **
793 470000
** REGION 6
AH 682 49000
LA 46 35000
NM 29 14000
OK 65 69000
TX 231 186000
** Subtotal **
1053 353000
REGION 7
IA
KS
MO
NE
NF
** Subtotal **
174
70
102
0
'0
105000
69000
108000
0
0
346 282000
** REGION 8
81
CO
MT
ND
SD
UT
WY
** Subtotal **
0
49
35
40
42
30
0
0
27000
24700
33500
35000
13000
0
196
133200
737
565
1368
597
1459
759
5485
245
445
130
376
1658
2854
333
298
492
0
0
1123
0
438
134
78
30
195
0
925
39367
23190
12209
36459
18523
27177
156925
2827
36662
3144
5791
167322
215746
48790
20592
35746
0
0
105128
0
11621
8491
21517
20821
2721
0
65171
6897
4583
4939
7936
7678
9944
41977
276
7771
1419
6727
13198
29391
10305
5976
5040
0
0
21321
0
1929
2360
35054
3256
3630
0
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
120000.00
20000.00
20000.00
20000.00
20000.00
20000.00
100000.00
20000.00
20000.00
20000.00
20000.00
0.00
80000.00
28100.00
20000.00
20000.00
20000.00
20000.00
20000.00
0.00
46229 128100.00
Appendix XX
11
-------
Pesticide Guidance
FY92
STATE
FASM LABOR
(1000s)
OFFICE OF COMPLIANCE NCNTTOR1NG
PESnCIDES WORKER PROTECTION
STATE STATISTICAL DATA
GRANTS
FARJC
NUR/GRN SITES PVT-APP COM-APP
BASEFUND
** REGION 9
AI
AS
AZ
CA
GU
HI
MR
NI
NV
TT
0
0
49
811
0
17
0
0
6
0
0
0
8100
84000
0
4650
0
0
2500
0
** Subtotal **
** REGION 10
AK
ID
OR
SB
883
1
78
137
0
WA 257
** Subtotal **
473
*** Total ***
5376
99250
600
22300
37000
0
38000
97900
2128820
0
0
163
3263
0
1050
0
0
24
0
4500
66
415
1507
0
1184
3172
35265
0
0
664
29755
0
1554
0
0
255
0
32228
784
15357
10278
0
12865
39284
921100
0
0
3245
15828
0
943
0
0
766
0
20787
294
10585
4365
0
10848
26092
305791
5100.00
20000.00
20000.00
7700.00
200.00.00
5100.00
9800.00
20000.00
4000:00
178900.00
20000.00
20000.00
20000.00
5400.00
20000.00
85400.00
1162600.00
Appendix XX
12
-------
Pesticide Guidance
FY92
OFFICE OF COMPLIANCE MONITORING
PESTICIDES WORKER PROTECTION ENFORCEMENT GRANTS
FQRMJLA PERCENTAGES
FARM LABOR
FARMS
NUR/GPN SITES
PVT-APP
CCM-APP
TOTAL
CT
MA
ME
NH
RI
VT
NJ
NY
PR
VI
DC
DE
MD
PA
VA
WV
AL
FL
GA
ftt
NC
SC
TN
IL
IN
MI
MN
OH
WI
AR
LA
NM
OK
TX
IA
KS
MO
NE
NF
0.0698
0.0791
0.1628
0.0279
0.0093
0.0605
0.1302
0.4976
0.0000
0.0000
0.0000
0.0372
0.1767
0.4278
0.4929
0.0977
0.2930
0.8464
0.4278
1.2463
0.2883
1.2184
0.2930
0.7068
0.6557
0.4604
0.6045
0.7208
0.4929
0.7533
3.1715
0.2139
0.1349
0.3023
1.0742
0.8092
0.3255
0.4743
0.0000
0.0000
0.0470
0.0810
0.0857
0.0376
0.0090
0.0834
0.0975
0.4580
0.2560
0.0000
0.0000
0.0352
0.1832
0.6342
0.5519
0.2466
0.5519
0.4815
0.5637
1.1274
0.4815
0.7633
0.2995
1.0687
1.0099
0.8338
0.6459
1.0569
1.0217
0.9512
0.5754
0.4110
0.1644
0.8103
2.1843
1.2331
0.8103
1.2683
0.0000
0.0000
0.3615
0.5076
0.2403
0.1531
0.0773
0.1234
0.8755
1.3370
0.0000
0.0000
0.0000
0.0751
0.4353
1.5291
0.5317
0.1276
0.3849
2.7230
0.4565
0.2985
0.1772
0.8812
0.2488
0.6529
0.5225
0.4005
0.9698
0.4232
1.0343
0.5381
0.1737
0.3155
0.0922
0.2666
1.1754
0.2361
0.2113
0.3488
0.0000
0.0000
0.0161
0.0166
0.0218
0.0088
0.0047
0.0174
0.0264
0.1490
0.1034
0.0000
0.0000
0.0175
0.0515
0.2207
0.1782
0.0498
0.1330
0.1055
0.1936
0.6246
0.1615
0.6730
0.1346
0.4209
0.4274
0.2518
0.1325
0.3958
0.2011
0.2950
0.0307
0.3980
0.0341
0.0629
1.8165
0.5297
0.2236
0.3881
0.0000
0.0000
0.1021
0.1023
0.0864
0.0439
0.0693
0.0388
0.3609
1.5458
0.1272
0.0000
0.0408
0.0487
0.1705
0.3943
0.3810
0.0724
0.2907
0.2815
0.3272
0.3940
0,1633
0.3622
0.1548
0.3281
0.3383
0.2248
0.2423
0.3893
0.3766
0.4878
0.0135
0.3812
0.0696
0.3300
0.6474
0.5055
0.2931
0.2472
0.0000
0.0000
0.5965
0.7866
0.5970
0.2713
0.1696
0.3235
1.4905
3.9874
6.4866
0.0000
0.0408
0.2137
1.0172
3.2061
2.1357
0.5941
1.6535
4.4379
1.9688
3.6908
1.2718
3.8981
1.1307
3.1774
2.9538
2.1713
2.5950
2.9860
3.1266
3.0254
3.9648
1.7196
0.4952
1.7721
6.8978
3.3136
1.8638
2.7267
0.0000
0.0000
Appendix XX
13
-------
Guidance
FY92
OFFICE OF COMPLIANCE MONITORING
PESTICIDES WORKER PROTECTION ENFORCEMEOT GRANTS
POFMJLA PERCSTOGES
FAPM LABOR
NUR/GRN SITES
PVT-APP COM-AFP
TOTAL
81
CO
MT
ND
SO
UT
WY
AI
AS
AZ
CA
GU
HI
MR
NI
NV
TT
AK
ID
OR
SB
WA
***
0.0000
0.2279
0.1628
0.1860
0.1953
0.1395
0.0000
0.0000
0.0000
0.2279
3.7714
0.0000
0.0791
0.0000
0.0000
0.0279
0.0000
0.0047
0.3627
0.6371
0.0000
1.1951
Total ***
25.0003
0.0000
0.3171
0.2901
0.3934
0.4110
0.1527
0.0000
0.0000
0.0000
0.0951
0.9865
0.0000
0.0546
0.0000
0.0000
0.0294
0.0000
0.0070
0.2619
0.4345
0.0000
0.4463
24.9999
0.0000
0.3105
0.0950
0.0553
0.0567
0.1382
0.0000
0.0000
0.0000
0.1156
2.3132
0.0000
0.7444
0.0000
0.0000
0.0170
0.0000
0.0468
0.2942
1.0683
0.0000
0.8394
0.0000
0.1262
0.0922
0.2336
0.2260
0.0295
0.0000
0.0000
0.0000
0.0072
0.3230
0.0000
0.0169
0.0000
0.0000
0.0028
0.0000
0.0085
0.1667
0.1116
0.0000
0.1397
0.0000
0.0946
0.1158
1.7195
0.1597
0.1781
0.0000
0.0000
0.0000
0.1592
0.7764
0.0000
0.0465
0.0000
0.0000
0.0376
0.0000
0.0144
0.5192
0.2141
0.0000
0.5321
0.0000
1.0763
0.7559
2.5878
1.0487
0.6380
0.0000
0.0000
0.0000
0.6050
8.1705
0.0000
0.9415
0.0000
0.0000
0.1147
0.0000
0.0814
1.6047
2.4656
0.0000
3.1526
25.0001
9.9997 15.0000 100.0000
Appendix XX
14
-------
Pesticide Guidance
FY91
1
2
3
4
5
6
7
8
9
10
CHART-1 REGIONAL TOTALS REVER I FI CAT I ON OF STEP-1
FARM LABOR FARMS NUR/GRN SITES PVT-APP COM-APP
88
135
265
1144
793
1053
346
196
883
473
29270
69100
140600
454500
470000
353000
282000
133200
99250
97900
GRAND TOTALS FOR ALL REGIONS
5376 2128820
2064
3121
3807
8214
5485
2854
1123
925
4500
3172
35265
7869
25689
47690
225370
156925
215746
105128
65171
32228
39284
921100
9025
41463
22581
46925
41977
29391
21321
46229
20787
26092
305791
Appendix XX
15
-------
Pesticide Guidance
OFFICE OF COMPLIANCE MONITORING
PESTICIDES WORKER PROTECTION ENFORCEMENT GRANTS
FUNDING ALLOTMENTS
STATS
** REGION 5
IL
IN
MI
MN
OH
WI
** Subtotal
** REGION 6
AR
LA
NM
OK
TX
** Subtotal
** REGION 7
IA
KS
MO
NE
NF
** Subtotal
** REGION 8
81
CO
MT
ND
SD '
UT
WY
*•* Subtotal
FORMULA
PERCENT
2.9533
2.1713
2.5950
2.9860
3.1266
3.0254
*•*
16.8581
3.9648
1.7196
0.4952
1.7721
6.8978
**
14.8495
3.3136
1.8638
2.7267
0.0000
0.0000
*•*
7.9041
0.0000
1.0763
0.7559
2.5878
1.0487
0.6380
0.0000
**
6.1067
** REGION 9
AI
0.0000
FORMULA
FUNOINO
BASE
FUNQING
2.9538
2.1713
2.5950
2.9860
3.1266
3.0254
17120.22
12584.85
15040.62
17306.86
18121.77
17535.22
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
97709.54
86067.70
45812.16
0.00
6238.23
4381.20
14998.89
6078.27
3697.85
0.00
35394.44
0.00
120000.00
3.9648
1.7196
0.4952
1.7721
6.8978
22979.98
9966.80
2870.18
10271.09
39979.65
20000.00
20000.00
20000.00
20000.00
20000.00
100000.00
3.3136
1.8638
2.7267
0.0000
0.0000
19205.63
10802.58
15803.95
0.00
0.00
20000.00
20000.00
20000.00
20000.00
0.00
80000.00
28100.00
20000.00
20000.00
20000.00
20000.00
20000.00
0.00
128100.00
67200.00
TOTAL FUNDING
(ROUNDED TO
NEAREST $100)
37100.00
32600.00
35000.00
37300.00
38100.00
37500.00
217600.00
43000.00
30000.00
22900.00
30300.00
60000.00
186200.00
39200.00
30800.00
35800.00
20000.00
0.00
125800.00
28100.00
26200.00
24400.00
35000.00
26100.00
23700.00
0.00
163500.00
67200.00
Appendix XX
16
-------
Pesticide Guidance
FY91
OFFICE OF COMPLIANCE MONITORING
PESTICIDES WORKER PROTECTION ENFORCEMENT GRANTS
FUNDING ALLOTMENTS
STATE
** REGION 1
CT
MA
ME
NH
RI
VT
** Subtotal **
** REGION 2
NJ
NY
PR
VI
** Subtotal **
** REGION 3
DC
.
PA
VA
WV
** Subtotal **
** REGION 4
AL
FL
GA
KY
MS
NC
SC
TN
** Subtotal **
FORMULA
PERCENT
0.5965
0.7866
0.5970
0.2713
0.1696
0.3235
2.7445
1.4905
3.9874
0.4866
0.0000
5.9645
0.0408
0.2137
1.0172
3.2061
2.1357
0.5941
7.2076
1.6535
4.4379
1.9688
3.6908
1.2718
3.8981
1.1307
3.1774
FORMULA
FUND I NG
BASE
FUND ING
0.5965
0.7866
0.5970
0.2713
0.1696
0.3235
3457.31
4559.13
3460.21
1572.45
983.00
1875.01
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
15907.11
8638.94
23110.97
2820.33
0.00
34570.24
21.2290
41775.26
9583.69
25722.07
11411.16
21391.88
7371.35
22593.39
6553.54
13416.21
123043.29
120000.00
20000.00
20000.00
20000.00
10200.00
70200.00
0.0408
0.2137
1.0172
3.2061
2.1357
0.5941
236.48
1238.61
5895.69
18582.56
12378.52
3443.40
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
120000.00
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
20000.00
160000.00
TOTAL FUNDING
(ROUNDED TO
NEAREST $100)
23500.00
24600.00
23500.00
21600.00
21000.00
21900.00
136100.00
28600.00
43100.00
22800.00
10200.00
104700.00
20200.00
21200.00
25900.00
38600.00
32400.00
23400.00
161700.00
29600.00
45700.00
31400.00
41400.00
27400.00
42600.00
26600.00
38400.00
283100.00
Appendix XX
17
-------
OFFICE OF COMPLIANCE MONITORING
PESTICIDES WORKER PROTECTION ENFORCEMENT GRANTS
FUNDING ALLOTMENTS
ST*T£
AS
AZ
CA
GU
HI
MR
NI
NV
TT
** Subtotal **
** REGION 10
AK
ID
OR
SB
WA
** Subtotal **
FORMULA
PERCENT
0.0000
0.6050
8.1705
0.0000
0.9415
0.0000
0.0000
0.1147
0.0000
9.8317
0.0814
1.6047
2.4656
0.0000
3.1526
7.3043
*** Total ***
100.0000
FORMULA
FUND ING
0.00
3506.58
47356.22
0.00
5456.93
0.00
0.00
664.30
0.00
56984.53
471.79
9300.34
14290.62
0.00
13272.47
42335.72
579599.99
BASE
FUNOING
5100.00
20000.00
20000.00
7700.00
20000.00
5100.00
9800.00
20000.00
4000.00
178900.00
20000.00
20000.00
20000.00
5400.00
20000.00
85400.00
1162600.00
TOTAL FUNDING
{ROUNDED TO
NEAREST S100)
5100.00
23500.00
67400.00
7700.00
25500.00
5100.00
9800.00
20700.00
4000.00
236000.00
20500.00
29300.00
34300.00
5400.00
38300.00
127800.00
1742500.00
Appendix XX
18
-------
Regional Allocations for Oroupdwater* Endangered gpeoiea, and Worker Protection
Enforcement - Related Activities
ft>
3
O-
X
X
Regions
PESTICIDE INITIATIVES
CU - Factor Based on ' " '" 'V W Vl tf" V'» « «
CU vu.ner.biU«y and ,„ OQ Q w |fl 78 |? ^
pesticide ust (In X)
CU Grants (») 33J.3J3 1.33J 4,531 15,067 104,567 76,467 55.93J 57,567 19,100 11,900 4.867
ES « of ES FT 91
Cooperative Agreement*
per Reflion 51 6 4 6 6 6 5 1 54 4
ES grants ($) 333.333 39.216 26,144 39.216 52.2M 39.216 12,6*0 19,608 12.680 26.144 26.144
UP «of UP FT 91
Cooperative Agreement*
per Region 60 6 4 6 8 6 51 7 10 5
UP Grants (») 333,333 33,333 22,222 33,333 44,444 33,111 27.778 16,667 18,889 55,556 27,778
Total Grant
Distribution 1,000.000 73.882 52.899 87.616 201,298 149,016 96,391 93,841 90,669 95.599 58.788
-------
BACKGROUND INFORMATION ON EPA & FTC AUTHORITIES
EPA Authority Under FTFRA
Advertising-related violations under FIFRA occurs when the
claims mad* for a registered product differ from the claims made
at the time of registration, or when a product is misbranded, and
sale or distribution occurs. Under Section 2(gg), it states that
sale and distribution of a pesticide does not apply to the holding
or applying of registered pesticides by an applicator as long as
there occurs no delivery of any unused portion of the applied
pesticide to the customer. This section of FIFRA therefore exempts
applicator services from the violations discussed below since sale
and distribution of a product does not occur.
EPA enforces against the following types of advertising-
related violations: misbranding and "claims differ."
o A 12(a)(l)(E) misbranding violation occurs when false and
misleading claims, (as defined by 40 CFR, Section
156.10(a)(5)), are part of the product's label or labeling.
That in, the advertising must accompany the product at some
point in its sale or distribution, .pr it must be referenced
on the label, or literature, that accompanies the product.
o A "claims differ" violation under Section 12(a)(1)(B) occurs
when the advertised claims for the product differ from the
claims accepted by EPA as part of product registration. The
Statement of Enforcement Policies and Interpretations, 40 CFR,
Part 168, sets forth EPA's policy on "offers to sell" for
unregistered products or products bearing unregistered uses.
EPA has determined that "claims differ" violations could
extend to oral claims as well.
In summary, under FIFRA authority, EPA can take enforcement
action only if false or misleading claims are part of the product's
label or labeling (including oral claims), or if any product's
claims differ from the product's claims submitted as part of the
its registration. A FIFRA violation can occur only with product
sale or distribution, (including offer for sale).
Appendix XXII
-------
FTC Authority Under The FTC Act
The Federal Trad* Commission (FTC) has broad authority under
Section 5 of the Federal Trade Commission Act which prohibits
unfair, misleading, or deceptive (unsubstantiated) advertising
practices (similar to "claims differ" or misbranding violations
under FIFRA but without product sales and distribution). In the
past, FTC has been concerned primarily with safety-related claims
for pesticides that may lead consumers to believe that the
pesticide is less hazardous than the toxic data indicates, or as
indicated by the warning or precautionary statements, (e.g. claims
of absolute human or environmental safety such as "safe", "non-
hazardous", or "no danger"). The FTC handles claims which use
dangling or incomplete safety comparisons which do not inform
consumers, or provide the basis of the comparison or the
characteristics being compared, (e.g. "safer1*, "less toxic", or
"less hazardous") . The FTC is also concerned with claims which
contradict or are inconsistent with the label's safety instructions
(e.g. "easy to use", when, in fact, the label contains lengthy, and
detailed use procedures, or "no special protective clothing
needed", when the label warns the user to avoid contact with eyes
or skin).
State authority under "Little FTC Acts'1 handles primarily
local or intra-state advertising violations through the State
Attorney General's office.
Appendix XXII
-------
Pesticide Guidance ' 7Y92
-LOG OF LTTERATURE-
Literature Review Issue(s)/Date(s)
Name/Title Publication
-LAWN CARE VIOLATION LIST-
Company/Product Type of Violation • Action Taken Referral
(type/date) (agency/date) to State/
FTC
Appendix XXIII
-------
Funding for Pesticide Program Activities
Certification Procrr**™ Funds
FY 92 Grant Allocation Method
A total of $3.57 million is available to fund State
certification programs. The certification funds are allotted as
follows: A base funding level of $22,000 for each participating
State, Puerto Rico, the Virgin Islands, and the District of
Columbia; $23,000 the Pacific Island entities; $57,000 for the
Colorado Federal program; and $17,000 for the Colorado State
program for commercial applicator certification, and $119,000 for
the Nebraska Federal Program.
The remaining funds are then alloted according to this formula
developed in FY90 and first used in FY91.
o Total number of Farms per State in FY 90 5%
o Private Applicators (derived as follows) 40%
(a) Total number certified as of 9/30/90 (10%)
(b) Number initially certified in FY90 (10%)
(c) Average number/year recertified - FY 88-90 (20%)
o Commercial Applicators (derived as follows) 40%
(a) Total number certified as of 9/30/90 (10%)
(b) Number initially certified in FY 90 (10%)
(c) Average number/year recertified-previous
3 years (20%)
o Regional Discretionary Funds 15%
Allocation of Regional Discretionary Funds
Allocation of the 15% regional discretionary funds are based
on the proportion of each State's total funds for farms, private
applicators and commercial applicators, by region, compared with
the national total.
Appendix XXIV
-------
Pesticide Guidance FY92
Ground Water Program Funds
FY 92 Grant Allocation
A total of $5 million is available to fund cooperative
agreements to address pesticides in ground water concerns: $2.6
million for base funding, $2 million alloted based on ground water
susceptibility, and $400,000 for regional discretionary funding for
States, Tribes, and Territories according to need.
Base Funding. The base funding of $2.6 million supports
implementation and management plan development.
A base amount of $50K is allocated per State for the
geographic area within a State's boundaries. The Pacific Islands
will receive $50K for the entire group, including Guam, American
Samoa, Council of the Northern Mariana Islands .(CNMI), and the
Trust Territories of the Pacific Islands. Puerto Rico will receive
$30K, while the Virgin Islands and the District of Columbia will
receive a base of $10K each.
Funding Based on Ground Water Susceptibility. Of the
remaining funds, $2 million is allocated based on need relative to
the ground water susceptibility in each geographical area as
governed by the percent distribution from Table A at the end of
this appendix. This distribution percentage defines individual
needs in terms of likely ground water problems related to
pesticides. Table B shows a tiered assignment of these percentage
allocations.
The base amount plus the geographical needs allocation are
added together to yield the overall geographical area allocation.
The allocated amounts are based on the overall ground water problem
in each geographical area as a whole, regardless of ownership of
the land. The geographical area allocation will therefore be the
entire amount available for any and all OPP-sponsored activities
addressing ground water protection within these boundaries, whether
they occur on State or Tribal lands. Where Indian Tribal lands
designated for agricultural use occur within these boundaries, and
these Tribal lands have been determined to have ground water
concerns involving pesticide use, those Tribes will be eligible to
receive some of the funding available for that geographical area.
(Tribes are eligible provided that they have an existing
cooperative agreement with EPA for FIFRA enforcement or are willing
to enter into such an agreement within the following six months
after filing this application. This can be accomplished either
through a cooperative effort between the State and the Indian
Tribe, or through submission of separate proposals from the States
and Tribes to the appropriate EPA Regional offices, to be funded
with a proportional amount of the available geographical area
Appendix XXIV 2
-------
Pesticide Guidance PY92
allocation.)
The Regions will be responsible for reviewing each State grant
application to determine how much of the funding available for that
geographical area will actually be needed to address their problem.
In addition, the Regions will review proposals from Indian Tribes
and Territories to assess the complexity of their problems and
allot an appropriate amount to those deserving a portion of the
monies available for that geographical area. Where the amount of
dollars available for a particular area is determined to exceed its
needs, the Region may incorporate the excess funds into its
Regional discretionary allotment. These funds can then be
redistributed to other States, Tribes, or Territories, where
needed, or used elsewhere in the Region.
A more complex situation arises where agricultural Tribal
lands cross the boundaries of more than one State or Region.
Allocations for these Tribes will need to be coordinated among the
Regions concerned, taking into account the amounts of land and
pesticide use, the area affected, and the extent of the problem.
The Regions will coordinate the funding allocation to assure that
a fair share of the applicable geographical area allocations is
used to address the Tribe's ground water problem. The major
components examined to derive these percentages are (1) the
hydrogeological vulnerability as represented by county agricultural
DRASTIC scores and (2) pesticide use as represented by the county-
level estimates used to design the National Pesticide Survey. Each
county is rated on pesticide use (loading rate), adjusted to a
scale of 1 - 10, and hydrogeological vulnerability, also adjusted
to a scale of 1 - 10. Then a combined use/vulnerability score is
calculated for each county:
County score = (Loading rate) x (Vulnerability rate)3
The exponential value assigned to the vulnerability rate has been
calibrated to "3" based on the knowledge of pesticide use,
hydrogeology, and history of pesticide problems in selected
locations.
A cumulative score of these factors is calculated for each
geographical area and those scores are then normalized to
distribute funds for each area:
Area score -.Cumulative score of county scores
These normalized cumulative scores become the percentages used
to allocate the remaining funds. Allocations have been rounded to
the nearest $1K. Table C shows the allocation of funds to each
geographical area, specifying the base dollars, funding according
to needs, and the total geographical area allocation. This formula
Appendix XXIV 3
-------
Pesticide Guidance FY92
has the following features:
The approach is logically based and addresses the objective
to direct funds proportionally to areas having documented and
potential ground water problems related to pesticides.
The formula allocates a based amount ($50K) to each
geographical area and additional funds based on needs.
Allocations vary from $50K for low agricultural areas such as
Alaska to $150K or more for areas with heavy pesticide use in
relatively vulnerable environments such as Georgia, Florida
and Iowa.
Several key factors are reflected by the algorithm, namely
pesticide use, hydrogeological vulnerability and the area
impacted. More funds are allocated where there is heavy
pesticide use in areas that are more hydrogeologically
vulnerable. Similarly, less funds are given where there is
low pesticide use in areas that are less hydrogeologically
vulnerable.
This approach does not penalize those who have developed
management initiatives. For example, states like Iowa,
Florida and Wisconsin have implemented ground water monitoring
programs, BMP's, and other programs to manage pesticides and
protect ground water resources. These areas remain eligible
for resources to improve their programs.
It promotes implementation for States, Tribes and Territories
that are likely to have problems but have not developed
management initiatives, but have considerable agriculture in
areas that are relatively susceptible to pesticides in ground
water problems. Some States or Tribes may not have progressed
as far as some others 'in conducting monitoring or developing
management programs.
The formula specifically focuses OPP's grant funds on ground
water protection from pesticides.
Regional Discretionary Funds. $400K has been set aside for
Regional discretionary funds to be divided among the Regions on a
percentage basis and apportioned to States, Tribes, or Territories
according to their need. The allocations for each geographical
area in the Region are added together. This sum is divided by the
total amount allocation nationwide ($4.6 million).
The percentage obtained from this ratio is then applied
against the $400K Regional discretionary total to obtain the
allotment for each Region. At the end of this appendix, see Table
Appendix XXIV 4
-------
Pesticide Guidance 7Y92
C which gives a geographic distribution of funds and Table D which
shows the regional distribution.
Appendix XXIV
-------
Pesticide Guidance 7Y92
red Species Protectioi
FY 92 g-rafe Allocation Method
A total of $1,250,000 is available to fund endangered species
protection program activities: $262,000 for base program funding,
$718,000 in regional discretionary funds for use on a priority
needs basis, and $270,000 additional funding for priority States.
Base funding of $262,000 is allocated $5,000 per State,
including Puerto Rico and the District of Columbia. An allotment
of $1,000 is available for the Pacific Islands and the Virgin
Islands .
$718,000 is allocated to the Regions on a priority needs
basis. OPP's Environmental Fate and Effects Division (EFED) has
selected those States which have the greatest needs based on the
complexity of their endangered species problems and how closely
associated those problems are to the pesticide uses within each
area. Table E at the end of this appendix presents EFED's
assessment of States and identifies those having the most critical
needs for Federal funding to address endangered species problems
related to pesticide use. A percentage is calculated for each
Region based on the number of priority states within that Region
divided by the total number of priority states nationwide (25) .
This percentage is applied to the $718,000 to determine the
allocation to be provided to that Region. Therefore, the greater
the number of priority states in a Region, the larger the funding
allocation for that Region. These Regional allocations will be
used to fund the endangered species programs for the priority
states in each Region. Where there are no priority states within
a particular Region, no funds above the base will be allocated.
$270,000 will be distributed according to the allocation
strategy determined at the FY90 Regional Division Directors/Branch
Chiefs meeting. The States are tiered according to need. See
Table F. States in the first tier are allocated $2 OK each, those
in tier 2 are allocated $15K each, and those in tier 3 are
allocated $10K each. The allocation of these funds to the priority
state areas will be controlled by the Regional Division Director.
Priority States applying for endangered species program monies will
submit proposals outlining their endangered species protection plan
in detail to the Regional Office, specifying what species will be
targeted, the counties affected, and what methods they plan to use.
The amount allocated for each Region is based on the overall
endangered species problems within its states' geographical areas
as a whole, regardless of the ownership of the land. The
allocation will therefore be the entire amount available for any
and all OPP-sponsored activities addressing endangered species
Appendix XXI 6
-------
Pesticide Guidance 7Y92
within that Region's boundaries. Where Indian Tribal lands
'designated for agricultural use occur within a Region's boundaries
and within the boundaries of priority state areas, and these lands
have been determined to have endangered species concerns involving
pesticide use, those Tribes may be eligible to receive funds from
the Regional allocation.
Tribes are eligible provided that they have an existing
cooperative agreement with EPA for FIFRA enforcement or are willing
to enter into such an agreement within six months after filing this
application. Tribes may elect to participate either through a
cooperative effort between the Tribe and the State in which its
lands are located, or through submission of their own proposals to
the appropriate EPA Regional Office.
In addition to reviewing each State cooperative agreement
application to determine how much each State will need to address
its problem, the Regions will assess the complexity of the Tribes'
problems and allocate an appropriate amount to those Tribes
deserving a portion of the monies available for that Region. Where
the amount of dollars available to fund endangered species programs
in the priority State areas within a Region exceeds their needs,
or where a State/Tribe from a priority State chooses not to apply
for available funds, the funds designated to that State/Tribe will
be returned to Headquarters. Headquarters will determine the next
priority state area (#26, 27, etc. ...) that will be eligible to
apply for these excess funds and reallocate them appropriately.
A more complex situation arises where agricultural Tribal
lands cross the boundaries of more than on State or Region.
Allotment of monies for these Tribes will need to be coordinated
among the Regions concerning, and take into account the amount of
land, amount of pesticide use, and number of species affected.
The Regions will coordinate the funding allocation to ensure
that a fair share of each affected Region's allocation is
appropriated.
In their applications the States/Tribes must develop a
proposed work program that includes at least the two project
outputs outlined in the cooperative agreement workprogram section.
The Region will be responsible for reviewing each application to
determine whether their proposal meets the endangered species
program objectives as well what amount of funding available within
that Region will be allocated to the State/Tribe to carry out its
program.
Regional Allocations. The percentage calculations and
subsequent Regional allocations for the program are listed in
Tables G, H, and I.
Appendix XXI 7
-------
Pesticide Guidance FY92
Worker Protection Program Funds
FY 92 Grant Allocation
For FY 92, $1.5 million in cooperative agreement funds will
be available for worker protection program activities and will be
distributed among the 50 States, the District of Columbia, Puerto
Rico, the Virgin Islands, the Trust Territories of the Pacific
Islands and Indian Tribes.
Tribes which have existing cooperative agreements with EPA
will be allotted $8,000 each. Other Tribes will be eligible for
a share of the grant monies by applying for funding from the
Regions, provided that they are willing to enter into FIFRA
enforcement and certification cooperative agreements within six
months of filing this application. Grant funds for these Tribes
can be disbursed from the Regional discretionary funds. If several
new Tribes are applying for funding, the Region may wish to use the
discretionary funds to provide general pesticide workshops for
Tribes at several locations in close proximity to Tribal lands.
These workshops should focus on pesticide awareness and basic
programmatic activities especially suited to Tribal needs to ensure
safe pesticide usage.
Where Tribal lands cross the boundaries of more than one
Region, funding for these Tribes will need to be coordinated among
the Regions concerned to ensure that a fair share of each affected
Region's discretionary allotment is applied to the Tribe's
allocation.
The amount allocated for Puerto Rico and the Virgin Islands
is $15,000 each. The allocation for .the Pacific Islands is
$26,000. The District of Columbia will receive a $10,000
allocation. A total of $250,000 has been designated for Regional
discretionary funds. The remaining funds will be divided equally
among the 50 States, resulting in $20,800 per State.
Allocation of Regional Discretionary Funds
The $250,000 designated as Regional discretionary funds is
divided equally among all ten Regions.
Appendix XXIV 8
-------
Pesticide Guidance FY92
TABLE A
gY 92 RESOURCE DISTRIBUTION ALLOCATION FOR BACH
GEOGRAPHICAL AREA
AREA PERCENT
IA 7.74
GA 7.27
FL 5.63
XL 5.60
MN 5.27
IN 5.10
NC 4.83
NE 3.54
KS 3.51
AR 3.37
LA 3.32
AL 3.24
SC 2.98
TX 2.88
MS 2.78
KY 2.64
ND 2.63
MO 2.48
MI 2.48
OH 2.39
HI 2.30
WI 2.10
TN 2.00
CA 1.76
VA 1.62
SD 1.27
PA 1.17
NY 1.17
MD 1.11
OK 1.07
MT 0.96
WA 0.82
CO 0.74
DE 0.53
ID 0.44
OR 0.20
NJ 0.19
ME 0.17
NM 0.14
AZ 0.10
WV 0.09
WY 0.08
MA 0.07
VT 0.07
CT 0.06
UT . 0.05
NH 0.02
NV 0.01
RI 0.01
AK 0.00
Appendix XXIV
-------
Pesticide Guidance
TABLE B
92 RESOURCE DISTRIBUTION ALLOCATION RANKED BY % O7 TOTAL
RANKING AREA PERCENT
1 IA 7.74
2 GA 7.27
3 FL 5.63
4 IL 5.60
5 MN 5.27
6 IN 5.10
7 NC 4.83
8 NE 3.54
9 KS 3.51
10 AR 3.37
11 LA 3.32
12 AL 3.24
13 SC 2.98
14 TX 2.88
15 MS 2.78
16 KY 2.64
17 ND 2.63
18 MO 2.48
19 MI 2.48
20 OH 2.39
21 HI 2.30
22 WI 2.10
23 TN 2.00
24 CA 1.76
25 VA 1.62
26 SD 1.27
27 PA 1.17
28 NY 1.17
29 MD 1.11
30 OK 1.07
31 MT 0.96
32 WA 0.82
33 CO 0.74
34 DE 0.53
35 ID 0.44
36 OR 0.20
37 NJ 0.19
38 ME 0.17
39 NM 0.14
40 AZ 0.10
41 WV 0.09
42 WY 0.08
43 MA 0.07
44 VT 0.07
45 CT 0.06
46 UT 0.05
47 NH 0.02
48 NV 0.01
49 RI 0.01
Appendix XXIV 10
-------
Pesticide Guxdance .1
7Y 92 GEOGRAPHICAL AREA DISTRIBUTION OP S5.PPP.PPP
• «*•»«
AREA
IA
GA
FL
IL
MN
IN
NC
NE
KS
AR
LA
AL
SC
TX
MS
KY
ND
MO
MI
OH
HI
WI
TN
CA
VA
SD
PA
NY
MD
OK
MT
WA
CO
DE
ID
OR
NJ
ME
NM
AZ
WV
WY
MA
VT
CT
UT
NH
NV
RI
AK
GEOGRAPHIC
BASE (3}
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50.000
$2,500,000
GEOGRAPHIC GEOGRAPHICAL AREA
NEEDS (3)
154,800
145,400
112,600
112,000
105,400
102,000
96,600
70,800
70,200
67,400
66,400
64,800
59,600
57,600
55,600
52,800
52,600
49,600
49,600
47,800
46,000
42,000
40,000
35,200
32,400
25,400
23,400
23,400
22,200
21,400
19,200
16,400
14,800
10,600
8,800
4,000
3,800
3,400
2,800
2,000
1,800
1,600
1,400
1,400
1,200
1,000
400
200
200
0
$2,000,000
TOTAL ($}
204,800
195,400
162,600
162,000
155,400
152,000
146,600
120,800
120,200
117,400
116,400
114,800
109,600
107,600
105,600
102,800
102,600
99,600
99,600
97,800
96,000
92,000
90,000
85,200
82,400
75,400
73,400
73,400
72,000
71,400
69,200
66,400
64,800
60,600
58,800
54,000
53,800
53,400
52,800
52,000
51,800
51,600
51,400
51,400
51,200
51,000
50,400
50,200
50,200
50.000
$4,500,000
+ 500.000
$5,000,000
ALLOCATION
ROUNDED (SI
205,000
196,000
163,000
162,000
155,000
152,000
147,000
121,000
120,000
117,000
116,000
115,000
110,000
108,00-0
106,000
103,000
103,000
100,000
100,000
98,000
96,000
92,000
90,000
85,000
82,000
75,000
73,000
73,000
72,000
71,000
69,000
66,000
65,000
61,000
59,000
54,000
54,000
53,000
53,000
52,000
52,000
52,000
51,000
51,000
51,000
51,000
50,000
50,000
50,000
50.000
$4,500,000
+ 500.000
$5,000,000
YVTV 11
-------
TABLE D
FY 92 GROUND WATER PROGRAM FUNDS - REGIONAL ALLOCATIONS
Region
CT
ME
MA
NH
RI
VT
Sum:
Region
MJ
NY
PR
VI
Sum:
Region
DE
DC
MD
PA
VA
WV
Sum:
Region
AL
FL
GA
KY
MS
NC
SC
TN
j
$ 51,000
51,000
53,000
50,000
50,000
51,000
$ 306,000
JJ
$ 54,000
73,000
30,000
10,000
$ 167,000
III
$ 61,000
10,000
72,000
73,000
82,000
52,000
$ 350,000
JV
$ 115,000
163,000
196,000
103,000
106,000
147,000
110,000
90,000
Regional Sum/Total Allocated:
306K/4600K - 6.7%
6.7% ($400,000) - $ 26,800
Regional Discretionary: $ 26,800
Regional Sum/Total Allocated:
167K/4600K =» 3.6%
3.6% ($400,000) =» $ 14,400
Regional Discretionary: $ 14,400
Regional Sum/Total Allocated:
350K/4600K =7.6%
7.6% ($400,000) = $ 30,400
Regional Discretionary: $ 30,400
Regional Sum/Total Allocated:
1030K/4600K - 22.4%
22.4% ($400,000) = $ 89,600
Sum: $1,030,000
Regional Discretionary: $ 89,600
Aooendix XXIV
12
-------
Region V
IL
IN
MI
MN
OH
WI
$ 162,000
152,000
100,000
155,000
98,000
92,000
Sum: $ 759,000
Region VT
AR $ 117,000
LA 116,000
NM 53,000
OK * 71,000
TX 108,000
Sum: $ 465,000
Region VII
IA $ 205,000
KS 120,000
MO 100,000
NE 121,000
Sum: $ 546,000
Region VIII
CO $
MT
ND
SO
UT
WY
65,000
69,000
103,000
75,000
51,000
52,000
Regional Sum/Total Allocated:
759K/4600K » 16.5%
16.5% ($400,000) - $ 66,000
Regional Discretionary: $ 66,000
Regional Sum/Total Allocated:
465K/4600K » 10.1%
10.1% ($400,000) =» $ 40,400
Regional Discretionary: $ 40,400
Regional Sum/Total Allocated:
546K/4600K » 11.9%
11.9% ($400,000) =» $ 47,600
Regional Discretionary: $ 47,600
Sum: $ 415,000
Regional Sum/Total Allocated:
415K/4600K - 9.0%
9.0% ($400,000) =» $ 36,000
Regional Discretionary: $ 36,000
Appendix XXIV
13
-------
Region IX
AZ $ 52,000 Regional Sum/Total Allocated:
CA 85,000
HI 96,000 333K/4600K = 7.2%
NV 50,000
PI 50,000 7.2% ($400,000) =» $ 28,800
Sum: $ 333,000 Regional Discretionary: $ 28,800
Region X
AK $ 50,000 Regional Sum/Total Allocated:
ID 59,000
OR 54,000 229K/4600K =-5.0%
WA 66,000
5.0% ($400,000) =• $ 20,000
Sum: $ 229,000 Regional Discretionary: $ 20,000
Aooendix XXIV 14
-------
TABLE B
ENDANGERED SPECIES
STATE
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Dist. of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
New Hampshire
New Jersey
New Mexico
New York
Nevada
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
SPECIES
some
none
many
some
very many
some
few
few
one
very many
many
some
few
few
few
few
some
some
few
few
few
few
few
few
few
some
few
some
few
few
many
few
some
some
few
few
few
some
few
many
few
some
some
many
very many
PESTICIDE USE
ASSOCIATIONS
moderate
none
high
moderate
very high
moderate
negligible
negligible
low
very high
high
moderate
low
low
low
moderate
moderate
moderate
low-moderate
negligible
low
negligible
low
low
moderate
moderate
low
moderate
negligible
negligible
high
low
low
moderate
high
low
low
low
negligible
moderate
negligible
moderate
low
moderate
very high
Appendix XXIV
15
-------
ENDANGERED SPECIES:
PESTICIDE USE
STATE SPECIES ASSOCIATIONS
Utah many moderate
Vermont none none
Virginia some low
Washington few low
West Virginia few low
Wisconsin few low
Wyoming few low
Virgin Island none none
Pacific Territories some low
Appendix XXIV 16
-------
TABLE F
ENDANGERED SPECIES
25 PRIORITY STATES
Tier l
California
Florida
Texas
SPECIES
very many
very many
very many
PESTICIDE USE
ASSOCIATIONS
very high
very high
very high
Tier 2
Georgia
New Mexico
Arizona
Tennessee
Puerto Rico
Utah
many
many
many
many
many
many
high
high
high
moderate
moderate
moderate
Tier 3
South Carolina
Colorado
Alabama
Hawaii
Kansas
Arkansas
Kentucky
Missouri
Nebraska
North Carolina
South Dakota
Pacific Territories
some
some
some
some
some
some
some
some
some
some
some
some
moderate
moderate
moderate
moderate
moderate
moderate
moderate
moderate
moderate
moderate
low
low
Tier 4
North Dakota
Iowa
Louisiana
Oklahoma
few
few
few
few
high
moderate
low-moderate
low
Appendix XXI
17
-------
TABLE 6
FY92 ENDANGERED SPECIES PROGRAM FUNDING
REGION
I
II
III
IV
V
VI
VII
VIII
IX
X
BASE (1)
3 OK
16
30
40
30
25
20
30
21
20
DISCRETIONERY (2)
0
28.7
0
201.1
0
143.6
114.9
114.9
114.9
0
ADOL STATE
0
15
0
90
0
45
30
35
55
0
(3) TOTAL
30
59.7
30
331.
30
213.
164.
179.
190.
20
1
6
9
9
9
TOTALS
262
718
270
1250K
1. $5K per State, District of Columbia, Puerto Rico
$1K fogr Pacific Islands, Virgin Islands
2. See Table H.
t
3. See Table I.
Appendix XXI
18
-------
TABLE H
FY92 ENDANGERED SPECIES PROGRAM FUNDS
REGIONAL DISCRETIONERY FUNDS FOR
REGION
I
II
III
IV
V
VI
VII
VIII
IX
X
PRIORITY STATES TOTAL
O
PR 1
0
AL,FL,GA,KY,NC,SC,TN 7
0
AK,LA,NM,OK,TX 5
IA,KS,MO,NE 4
CO,ND,SD,UT 4
AZ,CA,HI,PI 4
0
PRIORITY
OF 25
O
4
0
28
0
20
16
16
16
0
STATES
REGIONAL
DISCRETIONERY
FUNDS
t% OF S718K)
O
28.7
0
201.
0
143.
114.
114.
114.
0
0
6
9
9
9
TOTALS
25
100
$71BK
Appendix XXI
19
-------
TABLE Z
FY 92 ENDANGERED SPECIES PROGRAM FUNDING
ADDITIONAL STATS FUNDING
REGION
PRIORITY STATES
TOTAL
I
II
III
IV
V
VI
VII
VIII
IX
PR (15K)
AL (10K)
FL (20K)
GA (15K)
KY (10K)
NC (10K)
SC (10K)
TN (15K)
AK (10K)
LA ( OK)
NM (15K)
OK ( OK)
TX (20K)
IA ( OK)
KS (10K)
MO (10KO
NE (10K)
CO (10K)
ND ( OK)
SD (10K)
UT (15K)
AZ (15K)
CA (20K)
HI (10K)
PI (10K)
0
15K
0
90K
0
45K
30K
35K
55K
TOTAL
$270K
Appendix XXI
20
-------
n/8'8<
EPA POLICY FOR THE ADMINISTRATION OF ENVIRONMENTAL
PROGRAMS ON INDIAN RESERVATIONS
INTRODUCTION
The,President published a Federal Indian Policy on January 24, 1983,
supporting the primary role of Tribal Governments in matters affecting
American Indian reservations. That policy stressed two related themes:
(1) that the Federal Government will pursue the principle of Indian
"self-government" and (2) that-it will work directly with Tribal
Governments on a "government-to-government" basis.
The Environmental Protection Agency (EPA) has previously issued general
statements of policy which recognize the importance of Tribal Governments
in regulatory activities that impact reservation environments. It is the
purpose of this statement to consolidate and expand on existing EPA Indian
Policy statements in a manner consistent with the overall Federal position
in support of Tribal Mself-government" and "government-to-government" rela-
tions between Federal and Tribal Governments. This statement sets forth
the principles that will guide the Agency in dealing with Tribal Governments
and in responding to the problems of environmental management on American
Indian reservations in order to protect human health and the environment.
The Policy is intended to provide guidance for EPA program managers in the
conduct of the Agency's congressionally mandated responsibilities. As
such, it applies to EPA only and does not articulate policy for other
Agencies in the conduct of their respective responsibilities.
It is important to emphasize that the implementation of regulatory
programs which will realize these principles on Indian Reservations cannot
be accomplished immediately. Effective implementation will take careful
and conscientious work by EPA, the Tribes and many others. In many cases,
it will require changes in applicable statutory authorities and regulations.
It will be necessary to proceed in a carefully phased way, to learn -from
successes and failures, and to gain experience. Nonetheless, by -beginning
work on the priority problems that exist now and continuing in the direction
established under these principles, over time we can significantly enhance
environmental quality on reservation lands.
POLICY
In carrying out our responsibilities on Indian reservations, the
fundamental objective of the Environmental Protection Agency is to protect
human health and the environment. The keynote of this effort will be to
give special consideration to Tribal interests in making Agency policy,
and to insure the close involvement of Tribal Governments in making
decisions and managing environmental programs affecting reservation lands.
To meet this objective, the Agency will pursue the following principles:
-------
-3-
4. THE AGENCY WILL TAKE APPROPRIATE STEPS TO REMOVE EXISTING LEGAL AND
PROCEDURAL IMPEDIMENTS TO WORKING DIRECTLY AND EFFECTIVELY WITH TRIBAL
GOVERNMENTS ON RESERVATION PROGRAMS.
A number of serious constraints and uncertainties in the language
of our statutes and regulations have limited our ability to work directly
and effectively with Tribal Governments on reservation problems. As
impediments in our procedures, regulations or statutes are identified
which limit our ability to work effectively with Tribes consistent with
this Policy, we will seek to remove those impediments.
5'. THE AGENCY, IN KEEPING WITH THE FEDERAL TRUST RESPONSIBILITY, WILL
ASSURE THAT TRIBAL CONCERNS AND INTERESTS ARE CONSIDERED WHENEVER EPA'S
ACTIONS AND/OR DECISIONS MAY AFFECT RESERVATION ENVIRONMENTS.
EPA recognizes that a trust responsibility derives from the his-
torical relationship between the Federal Government and Indian Tribes
as expressed in certain treaties and Federal Indian Law. In keeping
with that trust responsibility, the Agency will endeavor to protect
the environmental interests of Indian Tribes when carrying out its
responsibilities that may affect the reservations.
6. THE AGENCY WILL ENCOURAGE COOPERATION BETWEEN TRIBAL, STATE AND
LOCAL GOVERNMENTS TO RESOLVE ENVIRONMENTAL PROBLEMS OF MUTUAL CONCERN.
Sound environmental planning and management require the cooperation
and mutual consideration of neighboring governments, whether those
governments be neighboring States, Tribes, or local units of government.
Accordingly, EPA will encourage early communication and cooperation
among Tribes, States and local governments. This is not intended to
lend Federal support to any one party to the jeopardy of the interests
of the other. Rather, it recognizes that in the field of environmental
regulation, problems are often shared and the principle of comity
between equals and neighbors often serves the best interests of both".
7. THE AGENCY WILL WORK WITH OTHER FEDERAL AGENCIES WHICH HAVE RELATED
RESPONSIBILITIES ON INDIAN RESERVATIONS TO ENLIST THEIR INTEREST AND
SUPPORT IN COOPERATIVE EFFORTS TO HELP TRIBES ASSUME ENVIRONMENTAL
PROGRAM RESPONSIBILITIES FOR RESERVATIONS.
EPA will seek and promote cooperation between Federal agencies to
protect human health and the environment on reservations. We will
work with other agencies to clearly identify and delineate the roles,
responsibilities and relationships of our respective organizations and
to assist Tribes in' developing and managing environmental programs for
reservation lands.
-------
INDIAN LAW BRIEFING
What is Federal Indian Law?
A body of jurisprudence created by tens of thousands of
treaties, statutes, executive orders, court decisions and
administrative actions. Relationships among and between the United
States, Indian tribes and individuals, and the States. EPA must
operate its Indian programs under the existing legal frame work and
must distinguish between state and federal jurisdiction.
ENDURING BASIC PRINCIPLES:
1. SANCTITY OF INDIAN TITLE TO LAND
2. SOVEREIGN STATUS
Upon conquest, tribes gave up external sovereignty, and became
subordinate to Federal Government, but not to states. Tribes are
distinct entities, not political subdivisions of states. Relationship
between federal government and tribes is nation to nation.
3. NECESSARY DOMINANCE OF UNITED STATES
4. SPECIAL TRUST RELATIONSHIP
5. EXCLUSION OF STATE JURISDICTION
HISTORICAL PERSPECTIVE
Over the last 200 years, federal Indian policy has swung
between two opposing views:
Tribes preserved with Tribes abolished and individual
defined land area, Indians assimilated as citizens of
protected from States by States.
Federal government
-------
Colonial and Earlv U.S. years
Britain and other colonial powers dealt with tribes as
sovereign nations. Tribes often formed alliances with one power to
fight encroachment by land-hungry colonists. After the Revolution,
the Constitution gave the Federal Government sole power to regulate
commerce with tribes to Congress. Treaties negotiated by the
President required ratification of the Senate. Trade and Intercourse
Acts strictly regulated who could interact with the tribe. From
1790 to 1834, the separation of tribes from settlers was paramount
interest.
Reservation Movement
In the 1830's, the demands of settlers for land inspired the
establishment of reservations for tribes, severely limiting Indian
lands. By bribery, deceit, or whatever means necessary, the federal
government obtained treaties whereby tribes ceded major portions
of their land to the U.S. and reserved small amounts for the tribe.
Tribes were forcibly removed from desirable areas and concentrated
on least productive land.
. Allotment Act
In 1887, the Dawes Act, or Allotment Act, authorized BIA to
allot tribal land to individual lndians-160 acres to heads of
household and 80 acres to single adult males. Each allotment was to
be held in trust by the U.S. for 25 years, to allow the Indian to learn
farming, and then pass to state jurisdiction. The "surplus" or non-
allotted lands were to be disposed of by the Secretary of Interior
after negotiating with the tribe. The sale of "surplus" lands reduced
Indian lands from 138 million acres to 48 million in 1934.
Assimilation was now the goal.
Reorganization
In 1934, the Indian Reorganization Act (IRA) was passed which
stopped the allotments, stabilized holdings, and promoted self-
government. The IRA set out methods of adopting Constitutions and
becoming federally chartered. Approximately two-thirds of the
tribes accepted the IRA. A tribe did not lose federal recognition if
it did not accept the IRA. All of Region 7's tribes are IRA tribes.
Separation and preservation was now the goal again.
-------
Termination
In the 1950's the pendulum swung again, with the passage of
the Termination Acts. Termination ended the federal relationship
but not the tribes' existence. Congressional standing committees
were abolished. Ponca Tribe in Nebraska was terminated and
subjected to State jurisdiction. Assimilation definitely had
returned.
Indian Self-Determination
From 1961 to the present, the policy has returned to tribalism,
with an emphasis on self-determination and education. Tribes are
encouraged to assume responsibility for federal programs previously
administered by BIA and IHS.
JURISDICTION
Tribes have:
inherent authority to regulate to protect health and welfare of
the tribe within the reservation (Montana. Brendale cases)
delegated authority from federal government. For EPA
programs or standards, EPA has responsibility absent
delegation to tribe.
EPA PROGRAMS
Tribes are authorized to participate in federal environmental
programs under the following statutes:
Clean Water Act §518(e):
Title Il-Grants for the construction of Treatment
works
§104-Research, Investigations, Training and
Information grants
§106-Grants for pollution control programs
§303-Water quality Standards and Implementation
Plans.*
-------
§305-Water quality inventory.*
§308-lnspections, Monitoring, and Entry.
§309-Enforcement
§314-Clean Lakes program and grants
§319-Nonpoint source management program and
grants.
§401-Certification
§402-National Pollutant Discharge Elimination
System.
§404-Permits for Dredge and Fill Material.
'supported by §106 funds
Safe Drinking Water Act!
§1428-Wellhead protection
§1451-Primacy for UIC and PWS
FIFRA:
§23 (§136u)-Pesticide Enforcement and Applicator
Certification
Clean Air Act (1990):
§107
CERCL^
§101 (36)
Subpart F of NCP
Part 35 Subpart O
EPCRTKA
Responsible for all of Title III
RCRA:
Workgroup formed to draft Indian provisions
-------
Surface Mining (SMCRA^ -Department of Interior
administration
§1300
Generally, where grant programs exist, only planning and
development funds are available. No operation and maintenance
funds are available.
-------
I UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
/ WASHINGTON. D.C. 20460
MAR 20 1990
OFFICE OF
PCSTICIOKS AND TOXIC SUBSTANCES
MEMORANDUM
SUBJECT: Proposed Pesticide Program Indian Strategy
cor — -~ ~
Office of Pesticide
FROM: Douglas Campt, Director — /^-~ / (&
^ ^-
TO: gfag. •'*?„. Hnnwn' Deputy Director
Office of Program Management Operations
Office of Pesticides and Toxic Substances
The draft Pesticide Program Indian Strategy for 1990 - 1994
is submitted in accordance with the Administrator's memo of
February 7, 1990 and your memo of February 22, 1990, both on EPA
Indian Policy.
In developing the strategy, we have worked with the Office
of Compliance Monitoring which drafted the pesticide enforcement-
related language included throughout the document. We have tried
to focus on the prior commitment of the Agency to pursue
environmental goals on Indian lands and to build tribal capacity
to implement the Federal statutes. We reviewed as part of the
development of our strategy, major features of the: (1) latest
OPP Indian Program Strategy (1987) ; (2) Agency 1985 "Interim
Strategy for Implementation of the EPA Indian Policy"; (3) June
23, 1989 presentation of the Deputy Administrator to the Senate
Select Committee on Indian Affairs; (4) recommendations made by
Pat Garber under her FY 1989 NNEMS grant; (5) FY 88 and 89 Indian
Work Group recommendations; and (6) Agency 1990, "Strategy for
Implementation of the EPA Indian Policy" .
We have included within our strategy document a description
of work- performed and a detailed listing of resources expended
during FY 88 and FY 89 and estimates for FY 90 and FY 91. The
estimates for FY90 are firm but those for FY91 are planning
targets only. For FY 92 - FY 94, more general plans are set
forth. These plans are developed within existing statutory and
regulatory authority and the emphasis is on promoting tribal
management of environmental programs. Tribal training and
technical assistance have been emphasized to build long term
tribal self-sufficiency and capacity to operate programs.
-------
We are also committed to review our statutes and explore a
funding initiative that would allow OPP to provide adequate
funding to tribes on an annual basis to conduct meaningful
pesticide programs. This is consistent with the directives from
the President and the Administrator to treat Indian tribes as
states.
In this draft strategy, as in our overall pesticide program
strategy, the emphasis is on risk reduction to be obtained
through: pollution prevention, reduction in exposure, and
maximizing productivity. The other two themes in the overall
strategy (safer pesticides and food safety) do not relate
directly to work proposed under the Indian Strategy.
We believe that the draft Pesticide Program Indian Strategy
is consistent with and moves to fulfill the policies articulated
by the President and the Agency. However, the regional offices
have the front-line role in implementing the strategy. It is
suggested that your cover memo to them highlight this point and
ask for their active participation in completing the formulation
of the strategy. After approval of the strategy, we must meet
with regional representatives and plan for its detailed
implementation.
cc: S. Wayland
A.E. Conroy, II
OPP Division Directors
W. Jordan
L. True
R. Longmire
J. Kearns
B. Smith
J. Neylan
M. Lydon
C. Fox
-------
PESTICIDE PROGRAM INDIAN STRATEGY
INTRODUCTION
There are about 312 recognized Indian tribes and 220 Alaskan
native villages in the Nation with land holdings comprising
approximately 87,000 square miles. Individual tribal holdings
(both on and off the reservation) range from just a few- acres to
several thousand acres. Although Federal laws do apply to
reservations, all reservations are governed by tribal sovereign
governments and operate independently, and therefore, are not
subject to a number of state laws.
EPA has developed a system of working with the 50 states to
develop environmental plans and programs. The system has not only
been successful but made easier because states have similar
constitutions, methods of problem solving, and methods of
reaching a consensus of opinion. Tribes, on the other hand, have
many types of governments, some with written constitutions and
others with none. The methods used for decision making may vary
considerably. Indian societies can be egalitarian, gregarious or
both, but many are clan-based and are family oriented and, for
the most part, Indians prefer to live on the reservations and
have little interest in becoming assimilated or acculturated.
Tribes have been waging a life long struggle to retain their
sovereignty and will work cooperatively with EPA to protect the
environment as long as they don't perceive this as a threat to
tribal governance and control.
The Federal government has a trust and fiduciary
responsibility to Indian tribes as a result of treaties
negotiated with tribes before 1871. In these treaties, the
Federal government made obligatory commitments guaranteeing to
provide housing, education, and health care to tribes in
perpetuity in exchange for millions of acres of tribal ancestral
home lands. The bottom line is that the EPA, in its policy
making with regard to Indian tribal planning, has the obligation,
by Federal laws, policies, and administrative directives to
assist in the development of American Indian environmental
programs in the same manner that it provides assistance to
states. Consistent with this obligation, the Clean Water Act,
the Safe Drinking Water Act, and the Comprehensive Environmental
Response, Compensation and Liability Act (SUPERFUND) have all
been amended to explicitly enable the agency to treat qualifying
tribes as states. Also OPTS currently has eight pesticide
enforcement cooperative agreements with Indian tribes or tribal
organizations, one of which is an umbrella grant which addresses
eight tribes. Therefore, currently there are 15 Indian tribes
which receive pesticide enforcement cooperative agreement funds.
In working with these tribes, the Agency follows the President's
Federal Indian Policy.
-------
The June 23, 1989 presentation of the Deputy Administrator
to the Senate Select Committee on Indian Affairs noted that the
President's Federal Indian Policy, issued in 1983, stressed two
related themes: (1) that the Federal government will pursue the
principle of Indian "self government" and (2) that it will work
directly with tribal governments on a government-to-government
basis. Mr. Habict said that the keynote of the EPA Indian policy
is to ensure consideration of tribal interests as the agency
develops policies that affect Indian lands, and to insure the
close involvement of tribal governments in making decisions and
managing environmental programs affecting reservation lands. He
set forth nine specific principles that EPA will employ in
implementing its Indian policy. The ninth one is essential to
the development of a multi-year strategy and it is, "The agency
will incorporate these Indian Policy goals into its planning and
management activities including its budget, operating guidance,
legislative initiatives, management accountability systems and
ongoing policy and regulation development processes". The intent
is to institutionalize consideration of Indian tribes to ensure
that they will receive consistent attention under the Federal
environmental statutes.
All tribes have annual budgets and develop strategic plans
in various increments of up to 20 years. Some tribes, much like
county governments, budget several years in advance for
commitments such as finances, personnel, land use, construction,
and conservation. Therefore, tribes need ample lead time to
undertake new programs only funded in part by the Federal
government. Joint planning by the Federal government and tribes
is essential to program success. To bring this about both EPA
and tribal staff must be trained and begin working together on
pilot projects.
PROGRAM GOALS
The goals of the OPTS Pesticide Indian Program Strategy are to:
(1) ensure the implementation of the pesticide programs on
American Indian lands;
(2) assist Indian tribes in their acquisition of needed:
trained personnel, program information and funds;
(3) honor Indian governments and culture in all aspects of
OPTS's work with tribes.
-------
PROGRAM OBJECTIVES
OPTS has organized its proposed pesticide activities to
support the following eight objectives, consistent with its
above-stated program goals:
1. Develop a pesticide program staff sensitivity, for
Indian tribal ways of operation to contribute to more
effective communications with Bribes
2. Strengthen the pesticide program infrastructure to
provide more effective technical assistance to tribes
3. „ Assist in enhancing tribal awareness of pesticide
program and enforcement activities relevant to tribal
responsibilities and, over time, enhance the tribal
working knowledge of pesticide functions
4. Assist tribes in conducting needs assessment surveys
that will provide the bases for acquiring resources
(staff, information and funding) to implement pesticide
legislation and program guidance
5. Assist tribes in developing enhanced infrastructures
for more effective utilization of pesticide program and
enforcement resources, to include structures of
individual tribes and tribal consortia
6. Develop strong functional linkages with other Federal
Agencies for joint planning and funding of tribal
pesticide-related activities
7. • Develop annual funding for Indian Pesticide Programs
8. „ Enhance coordination efforts with other media offices
within the agency on tribal enforcement matters.
-------
OBJECTIVE 1 - TRAINING OP EPA PERSONNEL
STATEMENT OF
OBJECTIVE;
BARRIERS;
APPROACH;
Provide cultural awareness training to
Headquarters and Regional personnel responsible
for interacting with Indian tribes in pesticide
program areas.
Currently, EPA does have a policy of providing
sensitivity training for headquarters and regional
personnel responsible for 'providing assistance to
tribes in implementing environmental policies and
programs on Indian reservations. With over 500
recognized Indian governments in the U.S., with
various tribal customs and governments, there is a
great need for this type of training. Such
training will improve EPA's ability to communicate
more effectively with Indian tribes in planning
for pesticide program-related activities. The
barrier to implementation thus is lack of funding.
Funds must be acquired to expand the existing
training program.
Develop an expanded cultural awareness training
course in conjunction with the EPA Institute and
EPA's National Indian Coordinator (OFA).
Work would begin in the first quarter of FY 91 to
determine the detailed requirements for the
expanded training using existing resources in
PMSD/FOD, OFA and the EPA Institute. A pilot
project would be funded in FY 92. EPA should
consider making cultural awareness training
mandatory for Agency staff who have regular,
direct contact with Indian tribes. The training
of each Regional staff must be tailored to its
particular cultural area and focus on local tribal
issues and sensitivities.
OBJECTIVE 2 - IMPROVE EPA INFRASTRUCTURE
STATEMENT
OF OBJECTIVEi
Strengthen the infrastructure of the pesticide
program and related EPA organizations working with
the pesticide program to provide more effective
technical assistance to tribes.
-------
pesticide tribal issues needs to be strengthened.
Regional offices, including Regional Indian
Coordinators, are understaffed to provide regular
comprehensive technical assistance to Indian
tribes. We not only need additional personnel but
we need to recruit Indians for EPA HDQS and
regional offices to enhance our knowledge of and
ability to communicate with tribes. Also, travel
funds are not adequate to spend the needed time
with Indian leaders and staffs. The work that EPA
is doing needs to be evaluated periodically by
tribes served so EPA will know what changes are
needed to more adequately meet Indian tribal
pesticide program needs.
APPROACH; The Office of Pesticide Programs (OPP) and the
Office of Compliance Monitoring (OCM) will
initiate regularly-scheduled briefings between the
two offices on pesticide tribal matters.
Pesticide-related conferences for tribal personnel
will be coordinated jointly.
Regional Indian Coordinators, in conjunction with
Regional managers (Division Directors and Branch
Chiefs) should develop resource requirements
(FTE's, extramural and travel funds) for serving
Indian tribes in the areas of protection of:
groundwater, agricultural workers, and endangered
species. Also to be included, are certification
and training and enforcement.
Consideration should be given to both working with
SFIREG to address Indian needs and pesticide
problems and the establishment of an Agency-wide
Indian Advisory Committee (members from Indian
tribes) which could also assist the Pesticide
Programs at the Headquarters level develop new
initiatives for serving tribes, with a strong
focus on regional needs. Members of the committee
also should be able to help EPA recruit Indians.
Management accountability systems will be used to
establish targets of accomplishment and report on
progress made. In addition, annual evaluation
reports will be requested from tribes served.
-------
Consideration should be given to establishing a
position in OPP for an Indian Ombudsman. The
person occupying this position could also work on
other assignments.
The circuit rider system should be expanded to
serve more tribes in a cost effective manner.
Means to provide adequate training and travel
funds will be explored.
Requirements analysis will be conducted in FY 91.
OBJECTIVE 3 - TRIBAL TRAINING AND AWARENESS
STATEMENT
OF OBJECTIVE!
BARRIERS;
Enhance tribal awareness of pesticide program and
enforcement requirements relevant to tribal
activities and to provide much needed training,
leading to tribes' capacities to plan, manage and
implement their own environmental programs.
Many small tribes, rancherias, and Alaskan
villages have not yet begun developing their
environmental plans. Small tribal organizations
with limited financial resources continue to be '
inundated with printed material from EPA and other
sources. One person is usually designated to
review the information and decide upon its
relevance to events taking place. If the material
is not of the utmost importance to the tribe or if
it is not understandable, it is promptly filed
away. Other barriers factors include limited
resources and lack of trained personnel, all of
which must be overcome before a tribe can make
informed decisions for inclusion in their future
plans or strategy.
Many tribes which may be large enough to develop
their own pesticide enforcement programs have not
applied for available funding. Many tribes may
not fully understand the risks that pesticides
pose to health and the environment, and therefore
have not pursued activities to regulate and
monitor pesticide use. Tribes also may not be
fully aware of, the benefits and requirements of
the cooperative agreement program.
-------
APPROACH;
To increase tribal awareness and the number of
tribes participating in cooperative programs,
there is a need for OPP, OGM and the Regions to
go a step further to develop better communications
with smaller tribal entities. OPP and OCM should
coordinate with the Regions to disseminate
information concerning the EPA programs available
to Tribes. Development of brochures about the
pesticide cooperative agreement guidance, as well
as informational videos and brief manuals will
constitute an expeditious and cost effective means
of reaching and informing a large audience.
Several seminars addressing tribal pesticide
enforcement, and C&T issues have been held.
However, further development of pilot projects,
seminars, technical assistance and training
programs and, when requested, development of a
one-on-one relationship utilizing American Indian
trained circuit riders to provide direct
consultation will increase the number of
meaningful cooperative agreements between OPTS and
Indian tribes.
Planning for this work would be done in FY 90 by
OPP and OCM using existing resources. Funds would
be set aside in FY 91 to begin a pilot project.
OBJECTIVE 4 - TRIBAL NEEDS ASSESSMENT
STATEMENT OF
OBJECTIVE:
BARRIERS;
Assist Indian tribes in identifying pesticide
related problems on tribal reservations.
Lack of information concerning the pesticide
related needs of Indian tribes. The Agency is
responsible for determining how well pesticide
laws are being implemented on Indian reservations.
Each tribal reservation that uses pesticides
should have an environmental survey conducted on
the impact of pesticides and the regulatory work
conducted on reservations. This type of needs
assessment will enable EPA to determine the extent
of pesticide problems on reservations as well as
to determine the solutions to correct them. Aside
from the data on the compliance monitoring work
completed under the eight tribal enforcement
cooperative agreements with tribes, there is
insufficient information on enforcement-related
activities on tribal lands.
-------
There is a lack of funding to conduct large scale
surveys arid to set up monitoring programs on
Indian reservations.
APPROACH; Conduct a review of existing data on pesticide-
related problems from various Federal, state, and
local governments/agencies to determine the extent
of pesticide problems on reservations.
Based on results from that review, conduct further
studies and analyses (surveys or monitoring) to
focus on specific pesticide problems with a select
number of tribes (to be based on a sampling plan
or on preliminary findings from other sources).
Assist tribes in training tribal members to
identify pesticide problems on reservations and to
monitor pesticide related work. Consideration
will also be given to pesticide contamination on
reservations that originates outside of
reservation boundaries, e.g. where: aquifers are
polluted by injection well seepage, surface runoff
waters flow into reservations, and aerial
pesticide sprays drift onto reservations.
Require state grant recipients to separately
report on the number of inspections completed on
tribal lands. Conduct an extensive survey of
jurisdictional problems on tribal lands as they
relate to pesticide enforcement.
Provide technical assistance to tribes in
developing pesticide pollution prevention programs
on reservations based on needs assessment.
Initial work could be conducted within existing
HQTRs and Regional resources e.g. using EPA's
Institute Scholars.
Project design would start in quarter four of FY
90 with a project funded in FY 91.
A significant amount of needs assessment should be
completed prior to substantial funding of tribes
in accordance with Objective 7. This is
consistent with the chart presented later that
shows major funding for Objective 7 to begin in FY
93.
8
-------
OBJECTIVE 5 - IMPROVE TRIBAL INFRASTRUCTURE
STATEMENT OF
OBJECTIVE;
BARRIERS t
APPROACH;
Assist tribes in developing enhanced
infrastructures for more effective utilization of
pesticide program resources.
Small tribes do not have and probably will never
have adequate resources to effectively implement
pesticide programs without assistance from other
organizations.
Develop an information packet for all tribes
outlining alternatives ways of obtaining
assistance from other organizations, to include
the advantages of consortium formation, drawing
upon examples of work done by the Inter-Tribal
Council of Arizona (ITCA), the Inter-Tribal
Agricultural Council (ITAC), and the Council for
Energy Resource Tribes (CERT). Under the
consortium alternative, if it is selected by a set
of tribes, the professional staff could be
centrally located and service the surrounding
reservations. Each consortium could then act as a
unit and apply for funding and services to cover a
extensive area. EPA would hire and train an
American Indian to serve as a circuit rider to
work within the consortium.
In conjunction with other organizations, EPA would
explore the development of university and tribal
community college scholarship programs.
Cooperative education and summer student intern
programs would be developed with the tribes.
Coordination with programs like JTPA/DOL would be
made to supplement financing of Tribal/EPA
training programs.
Requirements analysis for a tribal infrastructure
would be performed this year, in coordination with
OCM, using existing PMSD, FOD, and OCM
resources,leading to a pilot project to be funded
in FY 91.
-------
OBJECTIVE 6 - LEVERAGING RESOURCES
STATEMENT OF
OBJECTIVE;
BARRIERS:
OPP wants to leverage its resources to draw in
resources from other EPA program offices and other
Federal Agencies, state and local governments,
foundations, and elements of the private,sector to
increase the amount of support that can be
provided to tribes in implementing pesticide laws
and programs.
Each organization that could provide resources to
this program has its own goals, and ways of
operating and already has a busy schedule. There
also may be concern for legislative authority and
policy approval to operate in the ways proposed by
OPP.
APPROACH!
Two activities are proposed under this objective:
(1) development of joint plans with other
organizations to fund programs of EPA and the
other agencies that will enhance OPP's efforts;
and (2) acquisition of personnel from other
organization to work on details in OPP, Regional
offices and Indian tribes.
The joint planning and funding activity would
begin in June 1990 and would not require
extramural resources. Existing staff in PMSD and
FOD would develop a set of work assignments and a
schedule for contacting other organizations.
Plans would be developed with the organizations to
develop joint ownership of the ideas. Where
needed, memoranda of understanding would be
formulated for approval by involved agencies.
It will probably prove more feasible to make each
agreement between EPA and one other agency.
However, where practicable more agencies would be
included in each agreement.
10
-------
Candidate organizations to meet with include:
OTS; EPA Office of Water; Bureau of Indian
Affairs; Joint Training and Partnership Act in
Department of Labor; Indian Health Service and
Native American Program in Health and Human
Services; United States Geological Service; United
States Department of Agriculture; McArthur
Foundation; Carnegie Foundation; Goldman__
Foundation; MilJohn Foundation; Cray Research
Inc., and other private firms that have made large
donations for Indian Scholarships.
Exploratory discussions have already begun in an
attempt to obtain knowledgeable persons from other
organizations to serve on 6 months - 2 year
details in EPA to accelerate the pesticide program
work. Anyone acquired in this way must fit within
positions allocated to divisions.
Initial contacts with other organizations will be
made in FY 90 using existing resources. Expanded
funding of this work will made in FY 91.
OBJECTIVE 7 - ANNUAL FUNDING OF INDIAN PESTICIDE PROGRAMS
STATEMENT OF
OBJECTIVE;
BARRIERS I
To obtain legislative authority, where needed,
and funds to provide annual funding of pesticide
programs on reservations and to accelerate
staffing of Indian tribes with qualified
professionals.
Funding has been provided under cooperative
agreements to develop tribal pesticide enforcement
programs and to pilot certification and training
programs. New regional and state initiatives in
groundwater, worker protection and endangered
species are also applicable to Indian reservations
and pesticide program funds have been set aside
for these programs. However, in the future, the
amount of funding specifically devoted to tribal
pesticide program and enforcement matters needs to
be increased and the availability of these funds
publicized. As more tribes apply for funds, there
will be a stronger justification for proposing
increases in the tribal budget.
11
-------
Without a separate tribal budget initiative within
the pesticides program, we may not see sufficient
annual funding by EPA. This is needed in order to
make pesticide programs successful on reser-
vations. Also, EPA funding of projects with
Indians that are of short term and require large
amounts of matching funds are unlikely to lead to
continuing tribal programs. Further, to ;the extent
feasible, tribes must be notified well i'n advance
of funding opportunities so that they will be able
to include in their multiyear plans provisions for
EPA funding and resources they must acquire from
other sources to make programs whole. Tribes may
not have an adequate number of trained
professionals to do the work required. Enhanced
EPA legislative authority and increased funding
for current and new tribal grantees will be
required. However, major needs assessment surveys
must be completed prior to significant funding to
tribes.
APPROACH; Consistent with the President's policy of treating
Indian tribes like states, OPTS will work with OGC
to explore ways of using existing legislation and
modifying FIFRA. In addition we will propose a
major initiative for annual funding of Indian
tribes. An increase in funds would be requested
for grants to tribes for: certification and
training: enforcement of FIFPA; training and
program development for protection of:
agricultural workers, groundwater, and endangered
species, along with other new emerging issues.
OPP will follow the guidance set forth in the 1990
EPA Indian Policy, "Current allocation formulas
are based largely upon risk to health and
environment, in an effort to protect the greatest
number of people with available resources.
The approach does not naturally channel resources
to Indian tribes, which typically have small
populations that are dispersed on large land
masses and, in many cases, are remote from
industrial centers where significant levels of
pollution are more prevalent. Accordingly,
special emphasis will be placed on developing
allocation formulas to adequately reflect the
rural, low-population density typical of Indian
country".
12
-------
Study will also be made of other Federal
legislation (for EPA, and other agencies) and
existing generic Federal legislation that could be
used to develop and fund programs to accelerate
the staffing of Indian tribes with qualified
professionals to perform pesticide related
functions. This work would include creation of
scholarships for promising Indian students to
obtain degrees in biology, chemistry, hydrology,
economics, environmental sciences and other
pesticide related fields through a University
Centers Program. Existing work-study programs
would be expanded to provide excellent work
experience at EPA Headquarters, Regional offices
and on the reservations during summers and at
other times when school work would permit. The
circuit rider and SEE programs would be supported
to supplement the full time staffing on
reservations.
OBJECTIVE - 8 ENHANCE ENFORCEMENT COORDINATION
STATEMENT
OF OBJECTIVE:
BARRIERS:
APPROACH!
Enhance coordination efforts with other media
offices within the Agency on tribal enforcement
matters.
Many tribes may not fully understand the need for
pesticide enforcement and for environmental
enforcement in general. Tribes that would like to
develop compliance monitoring capabilities often
do not have the necessary expertise to develop
enforcement tools, such as enforcement strategies
and penalty policies. Currently, different
offices in EPA with enforcement programs and
activities available for tribes are not
coordinating with each other to the full extent
possible to train tribal enforcement personnel, in
spite of the similar nature of their programs.
The Office of Compliance Monitoring will
contribute to and participate in the overall
Agency efforts to train Tribal environmental
personnel on enforcement issues OPTS' efforts in
this area will be coordinated through the Agency's
National Indian Coordinator. Coordination on use
of enforcement resources will also assist in
drawing resources from other programs with similar
objectives. At the same time, OCM will continue
to assist tribes on a case by basis to develop
pesticide enforcement programs through OCM's
cooperative agreement program.
13
-------
INTEGRATION OF ACTIVITIES
The activities discussed in the previous section are brought
together in an integrated whole here. As can be seen in the
figure on the next page, OPTS wants to leverage its funds to draw
in resources from other Federal agencies, foundations and private
industry through joint planning to be able to do more for tribes.
Resources would be used to: develop program guidance and
materials for training and technical assistance; support of
student formal education and job experience; and program
implementation grants. The regional offices would provide direct
services and funds to tribes. Headquarters personnel would
assist regions through the development of training courses and
the provision of EPA Institute Scholars for short term training
and technical assistance. The University Centers program would
develop the professionals needed to work on the reservation to
provide technical leadership to the tribes in implementing the
pesticide programs.
The three tables following the figure list:
Planned Accomplishments FY 1990 - 1994
Proposed Funding Levels for FY's 1990 - 1994
(FTEs, $EM)
OPP's and OCM's Indian Programs Budget Estimates
for FY 89, 90 and 91
Narrative of Accomplishments from FY's 85 - FY 90
The Pesticide Program Indian Strategy will become an
integral part of the overall Pesticide Program Strategy in the
Fall of 1990 when the updated version of the FY 92 - 95 strategy
is prepared.
14
-------
SUPPORT TO TRIBES FOR PESTICIDE PROGRAMS
Joint
Rannlng &
Funding
Other Federal
Agendos
(IHS.BIA.FWS
USGS. USOA. etc)
Personnel
Details.
Materials.
Funds
OPTS
Program Materials
Program Guidance
Grant Funds
Training (Seminars. Courses. EPA Inslllulo Scholar Program)
Sludents(Summer Study & Coop Programs)
Scholarship Funds
Foundations
Scholarship Funds
Regional
Olficos
University
Centers
Posllddo Program Materials
Project Funding
Technical Assistance
'Circuit Riders &
SEE Employees
Indian Tribes
(Individual Tribes
& ConsorUa)
Indian Scholarship Graduates
-------
PLANNED ADOCHPIJSmENrrS FYs 1990-1994
OBJECTIVES
FY 90
FY 91
FY 92
FY 93
FY 94
1. EPA Training
'Status report
2. EPA Infrastructure
'Status report
•Initiate regularly-
scheduled briefings
between OPP and OCM
3. Tribal Training
•Report on preliminary
development of training
requirements
•Selection of
Oontractor
•Development of
requirements
for training
'Prepare requirements
report for develop-
ment of EPA
Infrastructure
•Select contractor
'Begin development
of training program
curricula and
materials
'Develop brochure on
Condsolidated
Pesticide Cooperative
Agreement Funding
'Conduct
& evaluate
a pilot train-
ing project
for IKTras
& Regional
Personnel
'Develop Indian
Program budget
for EPA
'Create Indian
Advisory
Committee
•Establish
Management
Acoountabi 1 ity
System
•Conduct tribal
training
•Distribute
brochure
•Conduct 'Conduct
sensitivity sensitivi
training training
•Expand circuit 'Increase
rider programs regional
'Expand regional resource
resources and to reach
work with desired
tribes level '
•Conduct
tribal
training
•Distribute
brochure
•Conduct
tribal
training
•Distribute
brochure
-------
PLANNED ACOCMFTJSIHENIS FYs 1990-1994
OBJECTIVES
FY 90
FY 91
FY 92
FY 93
FY 94
4. Tribal Needs Assess- 'Review existing data
mart other Federal, State,
& local governments/
Agencies
'Select contractor
from 'Perform specialized
surveys on Indian
reservations (needs
assessment)
•Require state
pesticide grant
recipients to
separately report
on number of
inspections
conducted on Indian
lands
•Use pilot
project to
train tribal
members on
identifying
& monitoring
pesticide
problems
•Reporting
requirements
•Assist
tribes in
developing
pesticide
pollution
prevention
projects.
•Reporting
requirements
•Continue
needs
assessment
5. Tribal Infrastruc-
ture
6. Leveraging Resources
•Assist some tribes
in determining
infrastracture
requirements
•Report on contacts with
other Federal Agencies,
foundations and private
industry
'Develop plans for ac-
quiring persons on
details from other
agencies
'Begin exploratory efforts
with universities
'Prepare guidance
documents and
conduct pilot
study
'Draft plans for
working with other
organizations &
"Sign memoranda
of understanding
"Begin one or more
jointly funded
projects
"Develop University
Centers Plan
'Provide
technical
assistance
to tribes
'Obtain joint
agreements with
Agencies,
foundations &
fund University
Centers program
"Provide
technical
assistance
to tribes
'Award
scholarships
•Increase joint
projects
•Increase work
study program
'Help severr
tribes to
reach capac
to fully ut
EPA annual
funding
'Reach tare
levels in v
study, joii
projects ai
rotational
program
-------
PIANNED AOOCMPIJSBMFinS FYs 1990-1994
OBJECTIVES
FY 90
FY 91
FY 92
FY 93
FY 94
7. Funding for Indian
Tribes
Report on study of
legislative initiatives
considered for funding
tribes like states
•Draft legislative
language and
prepare funding
initiative
•Get approval
from CMB on EPA
proposal
•Get
Congressional
approval and
funds.
•Fund tribes
like states in
transition mode
•Begin full b
funding of
tribes that
veloped need.
capacity
-------
PROPOSED fUMOIHC LEVELS FOR FT'S 1990-199* (FTES. StM)
OBJECTIVES
rr 90
FT 91•••
FT 92«**«
FT 9i***«
(WITHIN EXISTING RESOURCES)
KS P££ PJ3 £££** MS SEE S3 MS MS P££ P™ ££fi ten OPP peg REC tflj QPP op; REC
1. EPA Training* 0.1 0.2 30K 0.3 0.2 0.5
2. EPA Infrastructure 0.2 --- 0.5 0.2 0.3
3. Tribal Training* 0.1 0.1 0.1 5WC 0.5 0.2 0.3
15K
4. Tribal Needs Assess- •-- 0.1 0.1 0.2 5OK 0.2 0.2 0.6
•ent*
(Joint finding with
OU. OSUEft. etc.)
5. Tribal Infrastructure 64K 0.1 0.1 0.2 TDK 0.2 0.1 0.3
6. Leveraging Resources --- 0.1 •-- 0.3 --- 0.2
7. Annual Funding for 0.5 0.1 0.2
Tribes
TOTALS
7VK 0.* 0.4 0.9 200K 2.5 1.0 2.*
•OFA and EPA Institute support Is expected In the development and conduct of EPA and Tribal training and tribal needs assessment
•'Regional resources would be used to provide suggestions and critique draft plans.
•••Planning targets only. The OPP Integrated Work Planning process will determine resources for FY 91.
••••Resource estimates will be made after plan approval.
Management overtime would be used to perform work on Objectives 1 and 2.
-------
OPP'S INDIAN PROGRAM BUDGET ESTIMATES POR FY'S 89. 90. 91
FY89 FY90 FY91
Actual Planned Estimate
Pesticide Program Implementation $60,000 $79,000 $60,000
In FY 89, Region 8 along with OPP sponsored a National
Indian Tribal Certification and Training Workshop to discuss
pesticide program initiatives and detailed instructions for
development and administration of a C&T program.
In FY 90, Region 9 has $15,000 to work with the Navajo
Tribes to translate applicator training material into Navajo.
Also, in FY 90 the Tribes will receive funds for worker
protection, endangered species, and groundwater if the tribes
have or are willing to enter into, an Enforcement/Certification
Cooperative Agreement with EPA. Also, $64,000 has been set aside
for worker protection for Tribes within existing enforcement
cooperative agreements.
In FY 90, Region 8 and OPP are developing plans to conduct a
workshop for tribes similar to the one conducted in FY 89 on C&T,
however, the focus will be on pesticides in ground water.
OCM'S TRIBAL ENFORCEMENT COOPERATIVE AGREEMENT BUDGET ESTIMATES
FOR FY'S 89. 90 AND 91
FY90 FY91
$447,000 $695,100
In addition to the figure listed above for FY 90, OCM has
set aside $50,000 from its extramural/contract funds to hold a
tribal pesticide enforcement conference in FY 90. From the FY 90
tribal enforcement grant budget listed above, Region VIII
received $120,000, Region IX received $303,000 and Region X
received $23,500 for their FY 90 tribal enforcement cooperative
agreements.
*OPP is currently considering to fund some additional projects in
FY 90 if funding becomes available later in the year.
**This figure was provided to OMB in January 1990 and is only an
estimate. Actual cost will not be developed until OPP undergoes
the annual planning process.
15
-------
ENVIRONMENTAL PROGRAMS ON INDIAN RESERVATIONS FY'35
THE OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
($000) PERSON TYPE OF
REGION EXPENDITURE"" YEARS ASSISTANCE
PROGRAM DESCRIPTION
IV
v
VI
VII
VIII
TUC ftmrla/4
1 nj i Unucu
N/A
N/A
S140.5
0.1
n 7
m
• Uj
N/A
N/A
0.2
0.3
0.83
T/A
T/ A
• / M
T/ A
1 / A
T/A
N/A
F/A
T/A
T/A
0/1
Advice on pesticide use/application,
certification requirements for applic-
ators using restricted use pesticides.*
»rv4 hA*l»k ^tt~~+.
T "--i^«1 • r r 4 r^ i nr-n ,-riai- n «« • • •
Only minimal current FIFRA and TSCA
activities with the Navajo nation.
No current FIFRA or TSCA activities
reported.
There are six Pesticide Cooperative
Enforcement Grants active in the
region. They provide for pesticide
applicator certification and enforce-
ment programs.
Inspector training, program inform-
ation, joint enforcement if request-
ed.
Program oversight, pesticide use,
and technical assistance. Efforts
•re underway to achieve tribal /state/
EPA coordination. Enforcement
training which Involves pesticide
problem identification.
Pesticide enforcement on several
reservations.
*A11 tribes except the Seminole have memoranda of understanding with state agencies
giving the state authority to regulate certified applicators.
-------
ENVIRONMENTAL PROTECTION AfiFnl
27.
TOXIC SUB5T
($000)
REGION c-ypranrTlpr
TYPE OF
ASSISTANCE
!I?Jn1ng in field
?on|vidence coUect
ent.
Grant to help
a pesti-
ram on the
-------
AC1. IVITI'S wN INDIAN P.-S-SVAT-QNS: rv 8£
OFFICE OF PESTICIDES AMD TOXIC SUBSTANCES
(SOOO)
PROGRAM HEADING EXPENDITURE
•••-P.AV nrSCRIPTION
OPTS
Region V
'
i
i
••::'7s ! S125.5--
Region •/!;; !
.
:
i
!
•
'".e-;i o-> '-:T:!
'.' :' • '.'• :
i'.r.jior V-II
OFVS
.P.ecion VIII
UrTb
'^egvjn IX
i
C.01
.
•
OLtrs.ic.l
r/A
C.L'J j :/A
1 :
•
57U.O
•J. ••'••
'
U.S3
• O.is
F/A
0/1
F/A
T/A
ifiu ^' tw -•! we - •. ^i i N S on i
->»'IOU 1 ii
Tne.'e ere f|v= ?e suicide
CooF*»rd-H\/fe £rvfu"Cr»nft'Jt
9r:n-K Act-iv- in the
r2$ion. Pit:;/ pr-viir '•-
pfiS-'-'c.ide .ipplicdor
C5rtifi cati^r 'r-.1 erJfonvcj.
merrt ^rogr^r. .
i.ri- ••:;t . • -fc<"/v//tjA3.
:"*c«j."j:n !nf'*!';r.s;. 1 r.:; , *c "•':
•r->'r:rr.er.i--!r:r. •; r .-i?-;,:a:*_ j .
Pr-:gr>.-, ^versi^hr. p^sfi-
cide us^, a JK^ technics:
acsistirr.e. "f-"ort3 .^r*»
undarv/jy to acr. ,eve trira';
/stata/-?A coordination.
Enforcetfi-nt tr;ir:np v/^ich!
involves pes::;:-^ prc-.len
•ioanti ficaticn.
Pesticiue enforcement en
saveral reservations.
;nis grant co me Havajo
Nation er.ciblos cf-eT :?ing
a tribal ossti'cide r.oce,
enforcing' FIFRA, conduct-
ing a pesticide outreach
program on the reservation
and providing technical
assistance.
- 26 -
-------
EPA ACTIVITIES ON INDIAN RESERVATIONS: FY 86
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
PROGRAM HEADING
(SOOO) WORK
EXPENDITURE YEARS
TYPE OF
ASSISTANCE
PROGRAM DESCRIPTION
OPTS
Region IX
•OPTS
Region X
OPTS •
H(J - ASueS LOS
Act i on
Program
OPTS
LlH A^t\A^^**e
HQ - ASDeSwOS
A ^+> 4 MM
Act i on
Program
iloG.eSo
S264.434
1
U.Z3
0.20
r/A
T/A
0/1
F/A
Outreacn
Tms gram enaoies tne
Inter-Tribal Council of
Arizona to work with six
tribes in Arizona on
pesticide issues
including enforcement of
FIFRA and tribal
pesticide ordinances, and
to provide technical
assistance.
Aammi strati on of
pesticide enforcement
grant by Region X Idaho
Operations Office on the
Ft. Hall Reservation
Under the AabtAUi. Suhuul
g-rants — to B I A — frchooVs TUC
uui Id ingG i in r r BO, trA
nffar.ft^ nranfr f...-
1 1 n ; 4. r w r * jLtliaic_
ItQ personnol • conductca
nrnnrum fnr ffTT -nf f i r i al*
appl icaliuM Ji Atribution.
- 27 -
-------
EPA ACTIVITIES ON INDIAN RESERVATIONS: FY 87
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
PROGRAM HEADING
(SOOO) WORK
EXPENDITURE YEARS
TYPE OF
ASSISTANCE
PROGRAM DESCRIPTION
Ur I i
Region VIII
r/A
mere are rive Pesticide
Cooperative Enforcenent
grants active In the
region. They provide for
pesticide applicator
certification and enforce-
ment programs.
0.20
T/A
Inspector training,
program Information, joint
enforcement 1f reauested.
0.30
I/A
Program oversight, pesti-
cide use, and technical
assistance. Efforts are
underway to achieve tribal
/state/EPA coordination.
Enforcement training which
Involves pesticide problem
Identification.
i O.BJ
D/I
Pesticide enforcanent on
several reservations.
OFTS
Region
IX
Sbj.O
0.25
r/A
T/A
Thi~s grant to the Navajo
Nation enabled the devel- |
op^ient of the tribal |
pesticide code. The Navajo
have passed the Tribal
Pesticide Code and are
now enforcing FIFRA and
conducting a pesticide
outreach program on the
reservation.
5171.0
0.50
r/A
This grant enables tne
Inter-Tribal Council of
Arizona to work with six
tribes 1n Arizona on
pesticide Issues Including
enforcement of FIFRA and
tribal pesticide
ordinances, and to provide
technical assistance.
- 28 -
-------
EPA ACTIVITIES ON INDIAN RESERVATIONS; FY 87
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
(SOOO) WORK TYPE OF
PROGRAM HEADING EXPENDITURE YEARS ASSISTANCE PROGRAM DESCRIPTION
|OPTS
Region X
OPTS
HQ - Asbestos
Action
Program
53t).U'
S262.5UO
0.20
•
r/A
D/I
F/A
Outreach
Pesticide enforcsnent
grant to Shoshone-Bannock
Tribes to assist in
developnent of Pesticide
Use and Certification Code,
and training of tribal
inspector.
Working with Shoshone-
Bannock Tribes in pesti-
cides enforcement, code
developnent, training,
disposal policies, safety
programs, and in develop-
ment of inter-agency
agreement.
Unaer the Ajbostoa Senoo-
Kd-tard Ab d tunbnt Ac t, tne
h i ni rd c f n sr honl
HnitQrl StatPS.
HQ popoonnol eonaueted
MHAA 1 oan and arant
•a-ppHeation d
-------
EPA ACTTVTTTES ON INDIAN RESERVATIONS: FY 88
QEFICEJDF PESTICIDES ANDTnVTP
PROGRAM ($000) WORK PROGRAM
HEADING FUNDING YEARS TYPE DESCRIPTION
Region 5
Region 6
Region 8
Region 9
$39.0 .
$171.5
i
$63.0
$160.0
0.20
0.20
0.30
0.83
0.25
0.50
F/A
Outreach
T/A
T/A
F/A
T/A
T/A
D/I
F/A
F/A
T/A
CliiuuLaa.1
Schotrl — nh)L nm. — inJDceiiari — JLIAL-U
JlllUl/i ajw^-nuo liiJt/wwtiUU. AAAI.33-
mcrrt — and — management — of — buildinp-t
(ATTERA iiLEulniurn fui uJlUUh 1
mcnt clan damlopmLni — uiuiuam
...,*.., K.~*. uu » uiuyiuuui ^nj^iain
V*^ ^ " 1 L* * v /^ iUI 411 iHUldH dCvll wwi j
in ihe U.S.
There are five Pesticide Coopera-
tive Enforcement Agreements
active in the region with the
Cheyenne River, Lower Brule, Pine
Ridge Oglala and Rosebud Sioux
Tribes and Three Affiliated Tribes
at Ft. Benhold. They provide for
pesticide enforcement of FIFRA
and tribal pesticide ordinances.
Inspector training, program
information, joint enforcement if
reauested
Program oversight, pesticide use.
and technical assistance. Efforts are
underway to achieve
tribal/state/EPA coordination.
Enforcement training involves
pesticide problem identification
Pesticide enforcement on several
reservations
Grant to Navajo Nation to enable the
tribe to enforce FIFRA and conduct
a pesticide outreach program on the
rese rvat ion
Grant to Inter-Tribal Council of
Arizona on pesticide issues
including enforcement of FIFRA
and tribal pesticide ordinances, and
to provide technical assistance.
Tribes which are included in this
effort are Gila River, Cocopah.
Quechan. Colorado River. Salt River-
Pima Maricopa, Ft. Mohave. Ak-Chin
and Tohono O'Odham
31
-------
EPA ACTTVTTTES ON INDIAN RESERVATIONS: FY 88
OFFTfF f)F PfSTICTDES AND TOXIC SUBSTANCES
PROGRAM ($000) WORK PROGRAM
HFADTNO FUNDING YEARS TYPE DESCRIPTION
Region 10
HQ-
ASHAA
•
•Region 6
•Region 7
•Region 8
HQ-
AIMPAP
S18.0
$113.7
$40.878
$33.097
$39.777
$1000.0
0.20
F/A
D/I
F/A
Outreach
F/A
Outreach
Pesticide enforcement grant to
Shoshone-Bannock Tribes to* assist
in development of pesticide use and
certification code, and training of a
tribal insoector
Working with Shoshone-Bannock
Tribes in pesticides enforcement,
code develpment. training, disposal
policies, safety programs, and in
develoment of IAG
Tininetiri — ft-swwnct in— the — form — of-
w. . ; i A \ « » r t « trv o o r p-* — ..rr. UT4
STTTTCS .
-f+Q— r^rynnnrl mr T ^ith PT A nfrrigls
e*fmrMJ«^ .k. * CTJ A_i- L^.— ,. .J
aram — nracrnm — imd — njjijt&d the
applieationn
Under thu — Aabe "loc Incp*ctt«ti — imd
dovclon on a>••^r^ nntrgv for ihmr
^rhocl?.
mmntr UO »-w .._:»_.) •"rrnnnnl
ttdrfrecced.
32
-------
EPA ACTTVTTTES ON INDIAN RESERVATIONS- FY 89
OFFICE OF PESTICIDES AND TOYTC SUBSTANCES
FUNDING WORK
OFFICE fSOOO) YEARS
TYPE
PROGRAM
DESCRIPTION
HQ-OPTS
S6.0
T/A
AA/OPTS funding a NNEMS gram
for review of indian program
implementation and options for
consideration of revised
strategies.
dnta for plinnin. poorer
-------
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
PROGRAM ($000) WORK
HEADING FUNDING YEARS
TYPE
PROGRAM
DESCRIPTION
Region 5
•
Region 6
Region 8
S151.3
0.02
0.01
0.02
0.20
0.02
0.20
Outreach
T/A
T/A
T/A
Outreach
T/A
D/I
F/A
T/A
School — KJbiLJiu' in 3 LJ net! a LI — imc^
*tUUUl iiUUJlUJ lUjyUWUUU, ttiJLUll
for aehool&X
Background information packet
for FIFRA grant guidance for
Oneida and other interested
Region V tribes.
Contacted State and other lead
agencies (MN. MI. WI) under
FIFRA request during FY'90 to
cooperatively review role of
enforcing Federal statutes on
Federally recognized Indian
Reservations.
Conducted Pesticide Seminar to
facilitate information exchange
between States. Region and Tribes
in Region V on groundwater
issues.
•JWWitwi i lid LJW W4i W il 0iiW AA4UlIBl»wB
schools in the U.S.
There are five Pesticide Coopera-
tive Enforcement Agreements
active in the region with the
Cheyenne River, Lower Brule,
Pine Ridge Oglaia and Rosebud
Sioux Tribes and Three Affiliated
Tribes at FL Benhold. They pro-
vide for pesticide enforcement of
FIFRA and tribal pesticide
ordinances.
Inspector training, program
information, joint enforcement if
requested.
-------
INDIAN-RESERVATIONS- FV
OFTICr OF PESTICIDES AND TQXJCSIIBSTANCES
PROGRAM ($000) WORK
HEADING FUNDING YEARS
TYPE
PROGRAM
DESCRIPTION
Region 8
(cont.)
legion 9
j
$60.0
$74.5
$140.0
$30.0
0.30
0.83
-
0.25
0.50
T/A
D/I
T/A
F/A
F/A
T/A
F/A
T/A
Program oversight, pesticide use
and technical assistance. Efforts
are under way to achieve tribal/
state/EPA coordination Enforce-
ment training involves pesticide
problem identification.
Pesticide enforcement on several
reservations.
EPA/OPP funding a National
Indian Tribal Certification and
Training Workshop to discuss
pesticide program initiatives and
detailed instructions for develop-
ment and administration of a C&T
program.
EPA/OPP review of certification
plans for Rosebud Sioux. Lower
Brule Sioux. j-
Grant to Navajo Nation to enable
the tribe to enforce FIFRA and
conduct a pesticide butreach
program on the reservation.
Grant to Inter-Tribal Council of
Arizona on pesticide issues
including enforcement of FIFRA
and tribal pesticide ordinances.
and to provide technical assist-
ance. Tribes which are included
in this effort are Gila River.
Cocopah. Quechan. Colorado
River. Salt River-Piraa Maricopa.
Ft. Mohave. Ak-Chin and
Tohono O'Odham.
Grant from AA/OPTS to Inter-
Tribal Council of Arizona to
coordinate FIFRA Tribal
Inspectors' Training Workshop.
which was held in March. 1989
and which was attended by tribal
representatives from reserva-
tions in EPA Regions VIII. IX.
and X.
-------
OFFTCE OF PE5TTCTDFS
PROGRAM
HEADING
Region 9
(com.)
Region 10
HQ-ASHAA
HQ-AIMAP
(SOOO)
FUNDING
S50.0
S18.0
WORK
YEARS
0.05
0.20
0.25
0.02
0.05
TYPE
F/A
D/I
F/A
D/I
D/l
Outreach
Outreach
Outreich
PROGRAM
DESCRIPTION
Funding of Inter-Tribal Council
of Arizona to conduct a 2-year
special project on endangered
species to include 8 of the tribes
in Az.
Working with Shoshone-Bannock
Tribes in pesticides enforcement.
code development, training.
disposal policies, safety programs
and in development of IAG
Pesticide enforcement grant to
Shoshone-Bannock Tribes to
assist with implementation of
the tribal pesticide code and
certification programs.
Work with Shoshone-Bannock
Tribes to help develop and
implement a penalty policy and
quality assurance plan.
Investigation and Inspection of
Rockford Grain Growers at the
reouest of the Coer d'Alene tribe.
Continue to train tribal
inspectors and oversee the
permit program. Participation
in national pesticide training
proeram for tribes.
U/~\ ^.r»»««.l _., ujJfV, PI A
Innn »nH rrrinr nrnrrrifn tnA
won — MM — grant — program — aoo-
their -'applications.
a"o4rc^€ed .
-------
v%
5 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
/ WASHINGTON, D>C. 20460
FEB 91990
-
orriee or
^emcioci ANO TOXIC •USVTAMCCS
±-
KZMORXKDUK
SUBJECT: OPP Activities on Indian Tribes - Update FY 89 and 90
rn i? n
^J^bxcJ^ I6i -
FROM: Chuck Reese, Chief
Certification and Training Branch, FOD (H7506C)
TO: Thomas P. Hooven, Deputy Director
Office of Program Management Operations, OPTS (TS-788)
The Certification and Training Branch still has only one
approved Tribal certification plan (Fort Berthold Reservation,
NO) , but has certification plans for final approval from the
Rosebud Sioux (SD) and Cheyenne River Sioux (SD). Tribes'
Certification plans are under review and being revised for the
Lower Brule Sioux, (SD); Fort Peck Reservation, MT; and Fort Hall
Reservation, ID. The Tribes with approved plans will be eligible
to receive certification grants.
Region VIII, with support from Headquarters OPP, has
conducted a National Indian Tribal Certification and Training
Workshop. The workshop was held from September 5-8, 1989 in the
Region VIII Conference Center adjoining the Regional office. The
workshop agenda was developed by Region VIII in coordination with
other interested Regions. The major topics addressed were
structure and purpose of EPA's pesticides program, administration
of cooperative agreements,, special pesticide initiatives, other
EPA programs that affect pesticides, and detailed instructions
for development and administration of a pesticide certification
and training program.
EPA/OPP has provided funding of $60,000 for this initiative.
Adequate funding was available to pay the travel and per diem
costs of forty tribal representatives. However, only one member
from each tribe was eligible for funding support. The National
Congress of American Indians was retained by EPA to contact the
tribes and to coordinate the travel and accommodations. Twenty-
six tribal elders and environmentalists from 23 tribes or tribal
groups and 13 EPA representatives participated in the workshop.
-------
The purpose of the workshop vas to assist Indian tribes in
developing certification and training programs for their
reservations. Participants were also briefed on related issues
concerning funding and grants, enforcement, worker protection,
endangered species and groundvater. A very interesting
presentation of extensive monitoring of the Rosebud Sioux
Reservation's aquifer in South Dakota vas Bade by the tribal
groundvater bydrologist.
For FY 90 the Tribes are to receive funds for worker
protection, endangered species, and groundwater if they have, or
are willing to enter into, an Enforcement/Certification
Cooperative Agreement with EPA. In regards to worker protection,
S4,000/Tribe (grand total S64.OOP t*t $1 Billion) has been set
aside for Tribes with existing cooperative agreements. Since
Groundvater and Endangered Species are geographic issues, funding
for Tribes is not within a discrete allotment but part of a
geographic allotment for the State in which the Tribal lands
exist. Thus, Tribes with cooperative agreement will be eligible
to receive some funding based on severity of problem on their
lands. Also in FY 90 $15,000 has been set aside for Region IX to
work with the Navajo Tribes to translate applicator training
materials into Navajo.
OPP has formed a minority recruiting task force which has
been actively recruiting American Indians for available
positions. The task force has advertised nationally (e.g. winds
pf Change) and feels they are starting to meet with success.
OPP and Region VIII are developing plans to conduct a
workshop for Tribes similar to the certification workshop but the
topics will be groundwater and pesticides. This will occur in
the fall of 1990 if funding is available.
If you have further questions, please contact me at
557-7371.
cc: SJohnson, FDD
-------
PESTICIDE ENFORCEMENT
COOPERATIVE AGREEMENT
APPLICATION MANUAL
-------
TABLE OF CONTENTS
Chapter 1.
Chapter 2.
Chapter 3.
Chapter 4.
Chapter 5.
Chapter 6.
Chapter 7.
Chapter 8.
Appendix A.
Appendix B.
Appendix C.
Glossary
Introduction 1
Pre-Application Preparation 5
Application Form 9
Budget Requirements 13
Narrative Statement 23
Enforcement Work Program 27
Pesticide Program Work Programs 39
Application Submittal 43
Sample FY 92 Enforcement Work Program A-l
Tribes with Pesticide Programs B-l
Recommended Pesticide Program Development Steps C-l
-------
Chapter 1
INTRODUCTION
PESTICIDE CONTROL GOALS AND PURPOSE
The U.S. Environmental Protection Agency (EPA) is
responsible for regulating pesticide use to prevent or limit the
exposure of humans and the environment to pesticides and their
harmful effects. Much of the regulatory authority to accomplish this
is provided by the Federal Insecticide, Fungicide, and Rodenticide
Act (FIFRA).
Cooperative agreement and applications. FIFRA makes it possible
for tribes, as well as states, to develop pesticide enforcement
cooperative agreements with the EPA. This cooperative agreement
is a mechanism that allows the Federal Government to augment or
develop state and tribal pesticide enforcement programs by
delegating the authority to cooperate in the enforcement of FIFRA.
Through the cooperative agreement process, regional EPA offices
communicate EPA desires in the form of national priorities for
enforcement and pesticide programs. The cooperative agreement
process enables each participating state or tribe to create a local
regulatory environment that is consistent with Federal regulations.
In addition, it is the means by which EPA provides financial and
technical assistance to tribes and states on a continuing basis.
Pesticide control efforts required under current law involve
enforcement of regulations, certification and training of applicators,
and operation of pesticide programs to protect workers, ground
water, and endangered species from pesticide effects. Each of these
areas may be the subject of a cooperative agreement. However,
rather than deal with each area as a separate agreement, states and
tribes can combine them in one consolidated cooperative
agreement.
Funding for each type of cooperative agreement is
determined prior to the start of each fiscal year (FY). The amount
of funding that your tribe may apply for under the agreements
depends on the needs of your programs and the funds allocated for
each EPA region. In order to qualify to receive the funds, your
tribe must demonstrate that the funds will be used appropriately,
effectively, and legally.
6/7/91
-------
Chapter 1 ^ ^ Introduction
You must apply the funds in ways that will enable you to—
Support national and local priorities
Plan future efforts
• Develop programs based on plans approved by EPA
Implement and improve programs
Report results
Your cooperative agreement application is the basis that the EPA
regional staff will use to determine that your tribe is qualified to
receive funding. By consulting with your regional EPA office before
applying, you will be able to create an application that will qualify
you for funding to establish and maintain pesticide control
programs.
APPLICATION STEPS
The cooperative agreement application process is a
complicated one. Many people participate in the creation and
assembly of the application elements. The process will seem more
manageable if you consider the sequence of steps in the process:
Pre-application preparation
• Preparation of application forms
Preparation of budgets
Preparation of the narrative statement
• Preparation of work program for enforcement
Preparation of work programs for certification and
pesticide programs
• Submittal of the application
These steps are the major topics that this manual addresses. By
dealing with each step separately, you should be able to complete
the application quickly and easily.
US/A/G THIS MANUAL
Although the EPA regional office staff is committed to
helping tribes develop applications, they also have many other tasks
to perform. You should consult with them whenever necessary, but
much of the assistance they have been providing to tribes is now
Tribal Pesticide Cooperative Agreement Application Manual
-------
Chapter 1 Introduction
included here. A thorough understanding of this manual should
make the application process easier for you.
Purpose. Use this manual as an aid to developing your own
cooperative agreement applications. The manual provides several
types of information:
• General information for tribal applicants
Specific information relevant to tribal concerns
Detailed step-by-step instructions for tribal applicants
Most of this information is available in the FY 92 Consolidated
Pesticide Cooperative Agreement Guidance which conveys the
formal EPA policies regarding the agreements and applications. It
is intended for use by the regional staff as well as by applicant
tribes. This manual supplements that guidance and describes the
application procedures rather than the application requirements. In
this manual, you will find explanations of the information that the
EPA regional staff will use to evaluate your application, as well as
suggestions for collecting and presenting that information. You will
also find sample applications that can be used as models for your
tribe.
Content. The following chapters of this manual cover the major
steps in the application process:
Pre-Application Preparation
Chapter 2 describes what you should do before you
begin developing your application.
Application Forms
Chapter 3 explains how to fill in the items on
Standard Form 424. This form is required with your
application.
Budget
Chapter 4 describes how to prepare a budget and
document it in your application.
Narrative Statement
Chapter 5 describes the narrative statement in general
and the portions that are common to all component's
of the cooperative agreement.
6/7/91
-------
Chapter 1 Introduction
Work Program for Enforcement
Chapter 6 explains how to prepare the work program
for the enforcement component of the cooperative
agreement application.
Pesticide Program Work Programs
Chapter 7 explains how to prepare the work program
descriptions for certification, worker protection,
ground water, and endangered species activities.
Application Submittal
Chapter 8 contains the details you need to complete
the application, check it for completeness, and
assemble and deliver it to the EPA regional office.
Appendices
Several appendices are included. The appendices
provide a sample application that you may use as a
model or for reference; a list of recommended steps
to take when beginning a pesticide control program;
and a list of contacts at EPA and other states and
tribes.
Glossary
The glossary contains definitions of many of the
special terms used in this manual and the cooperative
agreement guidance.
Marginal notes. Throughout this manual you will see text in the
left margin next to some paragraphs. This text refers to specific
pages, appendices, or portions of documents that contain additional
information on the same subject matter as the paragraph. Among
the documents referred to are the FY 92 Consolidated Pesticide
Cooperative Agreement Guidance (Guidance) and appendices of this
manual (such asApp.A).
Tribal Pesticide Cooperative Agreement Application Manual
-------
Chapter 2
PRE-APPLICATION
PREPARATION
Before you apply for a pesticide enforcement cooperative
agreement, there are some preliminary steps you should take.
INITIAL TASKS
In order to apply for an agreement, you will already have a
pesticide program in place or will have established the need to
develop one. The application requires descriptions of plans or
existing programs for which the funds will be used. If you are a
first time applicant, funds will not be awarded to you without
evidence that you have made efforts to plan a realistic program.
For continuing applications, evidence is needed that shows you are
maintaining your program and developing additional functions to
support new local and Federal initiatives.
Your regional EPA office will provide comments on your
pesticide regulations and advise you on implementing them. The
regional office will also help you ensure that national requirements
are met. EPA will assist you with all stages of developing your
programs, including preparation of cooperative agreement
applications. In fact, some details of.your programs must be
negotiated with EPA staff.
As you prepare your cooperative agreement applications, the
EPA regional staff can assist you in several ways:
Advice on your approach to program development.
When you contact your regional EPA staff before you
apply, they will want to discuss the amount of funds
potentially available to you, the current state of your
pesticide control programs, and the priority of various
national and tribal goals related to the program.
After they establish an understanding of your
situation, they will advise you on the specific steps
appropriate for you to take to achieve the greatest
benefit with the funds that are available.
6/7/91
-------
Chapter 2 Pre-Application Preparation
Pre-application consultations. EPA maintains an
ongoing dialogue with tribal members responsible for
pesticide regulation and program operation. As a part
of this dialogue, they will discuss all the requirements
for planning and developing your programs and
applying for cooperative agreements.
Directions for applying. EPA will give you specific
directions for receiving application materials (such as
this manual), planning your approach to the
application, negotiating details of the application, and
answering any questions that are not covered in this
manual.
Determination of funds available. The Federal
Government allocates funds for cooperative
agreements to each region each year. Your region
can tell you the maximum amount of funds that are
available for your agreement. Using this information,
you can plan exactly the level of operation that is
realistic for the period of the application.
Review of draft applications. EPA can review your
application or parts of it before you submit it. This
will ensure that it is adequate and will be approved.
Perhaps the most important prerequisite for preparing your
application is that you establish the direction of your program.
Tribal pesticide programs are too complex and costly for most tribes
to develop completely in the first year. Instead, tribes develop
programs through a gradual process of planning and incremental
implementation. Each year tribes make decisions to include certain
aspects of the program and exclude others. These decisions must
be made after consideration of the needs of the tribe, the national
and regional priorities established by EPA, and the amount of
funding allocated to the region. Cooperative agreement funds may
be used for the initial development of program elements as well as
for their implementation and operation. By working in close
cooperation with EPA, you will be able to develop an approach that
balances development and implementation to create the best
program for your tribe. Tribes, however, should not apply for
cooperative agreement monies to fund an assessment of whether a
pesticide enforcement program is needed. Once the tribe has
determined a need, it should apply for funds to plan its program.
Tribal Pesticide Cooperative Agreement Application Manual
-------
Chapter 2 Pre-Application Preparation
If you are just beginning to develop a pesticide program, you
may find it useful to consult other tribes with existing programs to
gain from their experience. Appendix B of this manual provides a
list of contacts in other tribes that operate pesticide programs. A
document produced by the Inter-Tribal Council of Arizona, a long-
standing pesticide enforcement grantee, describes a number of
important aspects of tribal pesticide programs. These aspects
include developing regulations, setting priorities, implementing
inspections, conducting investigations, and reporting results to EPA.
6/7/91
-------
Chapter 3
APPLICATION FORM
Many components make up the cooperative agreement
application. Most of the pages in your complete application will
contain technical details about your program. Every application
must include one set of standard forms.
STANDARD FORM 424
The application form that you use to apply for cooperative
agreement funds is the Standard Form 424, Application for Federal
Assistance. This is a general purpose Federal form that is also used
in other types of funding and grant programs. The form consists of
three pages: the first page contains applicant and program
identification information; the last two pages contain program
budget information.
For your pesticide program cooperative agreement, you need
to supply specific information relevant to pesticide programs and
the funding agency (EPA). The specific information needed in each
block of the form is described in the following paragraphs. A
sample completed SF 424 from a tribal application is shown on
page 12.
Block 1 TYPE OF SUBMISSION
Indicate Non-Construction since these funds are not to
be used for construction projects.
Block 2 DATE SUBMITTED
Indicate the date you are submitting the application.
Block 3 DATE RECEIVED BY STATE
Leave blank.
Block 4 DATE RECEIVED BY FEDERAL AGENCY
Leave blank.
Block 5 APPLICANT INFORMATION
Legal Name. Name of governing/submitting body
(tribe or group of tribes), such as Perfect Tribe or
Inter-Tribal Council of Arizona.
6/7/91
-------
Chapter 3
Application Form
Organizational Unit. Group within the tribe that is
preparing the application. For example, the
Department of Agriculture.
Block 6 EMPLOYER IDENTIFICATION NUMBER (EIN)
Enter the employer identification number of the
governmental body that will employ the pesticide
personnel.
Block 7 TYPE OF APPLICANT
Enter K for Indian tribe.
Block 8 TYPE OF APPLICATION
Check New if this is your tribe's first cooperative
agreement.
Check Continuation if your tribe currently has a
pesticide cooperative agreement in effect.
Check Revision if this application is a resubmission of
an application for the project period.
Block 9 NAME OF FEDERAL AGENCY
Enter EPA and the regional office address.
Block 10 CATALOG OF FEDERAL DOMESTIC
ASSISTANCE NUMBER
The Catalog of Federal Domestic Assistance number
for this application is 66-700; the title is Pesticide
Enforcement Program.
Block 11 DESCRIPTIVE TITLE OF APPLICANT'S
PROJECT
The descriptive title is Consolidated Pesticide
Cooperative Agreement Program. Include all
activities that are addressed in your application. For
example--
Consolidated Pesticide Cooperative Agreement
Program including—
Pesticides Enforcement
Applicator Certification
Pesticide Program Activities
10
Tribal Pesticide Cooperative Agreement Application Manual
-------
PESTICIDE ENFORCEMENT
COOPERATIVE AGREEMENT
APPLICATION MANUAL
-------
TABLE OF CONTENTS
Chapter 1.
Chapter 2.
Chapter 3.
Chapter 4.
Chapter 5.
Chapter 6.
Chapter 7.
Chapter 8.
Appendix A.
Appendix B.
Appendix C.
Glossary
Introduction 1
Pre-Application Preparation 5
Application Form 9
Budget Requirements 13
Narrative Statement 23
Enforcement Work Program 27
Pesticide Program Work Programs 39
Application Submittal 43
Sample FY 92 Enforcement Work Program A-l
Tribes with Pesticide Programs B-l
Recommended Pesticide Program Development Steps C-l
-------
Chapter 1
INTRODUCTION
PESTICIDE CONTROL GOALS AND PURPOSE
The U.S. Environmental Protection Agency (EPA) is
responsible for regulating pesticide use to prevent or limit the
exposure of humans and the environment to pesticides and their
harmful effects. Much of the regulatory authority to accomplish this
is provided by the Federal Insecticide, Fungicide, and Rodenticide
Act (FIFRA).
Cooperative agreement and applications. FIFRA makes it possible
for tribes, as well as states, to develop pesticide enforcement
cooperative agreements with the EPA. This cooperative agreement
is a mechanism that allows the Federal Government to augment or
develop state and tribal pesticide enforcement programs by
delegating the authority to cooperate in the enforcement of FIFRA.
Through the cooperative agreement process, regional EPA offices
communicate EPA desires in the form of national priorities for
enforcement and pesticide programs. The cooperative agreement
process enables each participating state or tribe to create a local
regulatory environment that is consistent with Federal regulations.
In addition, it is the means by which EPA provides financial and
technical assistance to tribes and states on a continuing basis.
Pesticide control efforts required under current law involve
enforcement of regulations, certification and training of applicators,
and operation of pesticide programs to protect workers, ground
water, and endangered species from pesticide effects. Each of these
areas may be the subject of a cooperative agreement. However,
rather than deal with each area as a separate agreement, states and
tribes can combine them in one consolidated cooperative
agreement.
Funding for each type of cooperative agreement is
determined prior to the start of each fiscal year (FY). The amount
of funding that your tribe may apply for under the agreements
depends on the needs of your programs and the funds allocated for
each EPA region. In order to qualify to receive the funds, your
tribe must demonstrate that the funds will be used appropriately,
effectively, and legally.
6/7/91
-------
Chapter 1 Introduction
You must apply the funds in ways that will enable you to—
Support national and local priorities
Plan future efforts
Develop programs based on plans approved by EPA
Implement and improve programs
• Report results
Your cooperative agreement application is the basis that the EPA
regional staff will use to determine that your tribe is qualified to
receive funding. By consulting with your regional EPA office before
applying, you will be able to create an application that will qualify
you for funding to establish and maintain pesticide control
programs.
APPLICATION STEPS
The cooperative agreement application process is a
complicated one. Many people participate in the creation and
assembly of the application elements. The process will seem more
manageable if you consider the sequence of steps in the process:
Pre-application preparation
Preparation of application forms
Preparation of budgets "
Preparation of the narrative statement
Preparation of work program for enforcement
Preparation of work programs for certification and
pesticide programs
Submittal of the application
These steps are the major topics that this manual addresses. By
dealing with each step separately, you should be able to complete
the application quickly and easily.
US/A/G THIS MANUAL
Although the EPA regional office staff is committed to
helping tribes develop applications, they also have many other tasks
to perform. You should consult with them whenever necessary, but
much of the assistance they have been providing to tribes is now
Tribal Pesticide Cooperative Agreement Application Manual
-------
Chapter 1 Introduction
included here. A thorough understanding of this manual should
make the application process easier for you.
Purpose. Use this manual as an aid to developing your own
cooperative agreement applications. The manual provides several
types of information:
• General information for tribal applicants
• Specific information relevant to tribal concerns
Detailed step-by-step instructions for tribal applicants
Most of this information is available in the FY 92 Consolidated
Pesticide Cooperative Agreement Guidance which conveys the
formal EPA policies regarding the agreements and applications. It
is intended for use by the regional staff as well as by applicant
tribes. This manual supplements that guidance and describes the
application procedures rather than the application requirements. In
this manual, you will find explanations of the information that the
EPA regional staff will use to evaluate your application, as well as
suggestions for collecting and presenting that information. You will
also find sample applications that can be used as models for your
tribe.
Content. The following chapters of this manual cover the major
steps in the application process:
Pre-Application Preparation
Chapter 2 describes what you should do before you
begin developing your application.
Application Forms
Chapter 3 explains how to fill in the items on
Standard Form 424. This form is required with your
application.
Budget
Chapter 4 describes how to prepare a budget and
document it in your application.
Narrative Statement
Chapter 5 describes the narrative statement in general
and the portions that are common to all components
of the cooperative agreement.
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Chapter 1 Introduction
Work Program for Enforcement
Chapter 6 explains how to prepare the work program
for the enforcement component of the cooperative
agreement application.
Pesticide Program Work Programs
Chapter 7 explains how to prepare the work program
descriptions for certification, worker protection,
ground water, and endangered species activities.
• Application Submittal
Chapter 8 contains the details you need to complete
the application, check it for completeness, and
assemble and deliver it to the EPA regional office.
Appendices
Several appendices are included. The appendices
provide a sample application that you may use as a
model or for reference; a list of recommended steps
to take when beginning a pesticide control program;
and a list of contacts at EPA and other states and
tribes.
Glossary
The glossary contains definitions of many of the
special terms used in this manual and the cooperative
agreement guidance.
Marginal notes. Throughout this manual you will see text in the
left margin next to some paragraphs. This text refers to specific
pages, appendices, or portions of documents that contain additional
information on the same subject matter as the paragraph. Among
the documents referred to are the FY 92 Consolidated Pesticide
Cooperative Agreement Guidance (Guidance) and appendices of this
manual (such asApp.A).
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Chapter 2
PRE-APPLICATION
PREPARATION
Before you apply for a pesticide enforcement cooperative
agreement, there are some preliminary steps you should take.
1/V/7ML TASKS
In order to apply for an agreement, you will already have a
pesticide program in place or will have established the need to
develop one. The application requires descriptions of plans or
existing programs for which the funds will be used. If you are a
first time applicant, funds will not be awarded to you without
evidence that you have made efforts to plan a realistic program.
For continuing applications, evidence is needed that shows you are
maintaining your program and developing additional functions to
support new local and Federal initiatives.
Your regional EPA office will provide comments on your
pesticide regulations and advise you on implementing them. The
regional office will also help you ensure that national requirements
are met. EPA will assist you with all stages of developing your
programs, including preparation of cooperative agreement
applications. In fact, some details of your programs must be
negotiated with EPA staff.
As you prepare your cooperative agreement applications, the
EPA regional staff can assist you in several ways:
Advice on your approach to program development.
When you contact your regional EPA staff before you
apply, they will want to discuss the amount of funds
potentially available to you, the current state of your
pesticide control programs, and the priority of various
national and tribal goals related to the program.
After they establish an understanding of your
situation, they will advise you on the specific steps
appropriate for you to take to achieve the greatest
benefit with the funds that are available.
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Chapter 2 Pre-Application Preparation
Pre-application consultations. EPA maintains an
ongoing dialogue with tribal members responsible for
pesticide regulation and program operation. As a part
of this dialogue, they will discuss all the requirements
for planning and developing your programs and
applying for cooperative agreements.
Directions for applying. EPA will give you specific
directions for receiving application materials (such as
this manual), planning your approach to the
application, negotiating details of the application, and
answering any questions that are not covered in this
manual.
Determination of funds available. The Federal
Government allocates funds for cooperative
agreements to each region each year. Your region
can tell you the maximum amount of funds that are
available for your agreement. Using this information,
you can plan exactly the level of operation that is
realistic for the period of the application.
Review of draft applications. EPA can review your
application or parts of it before you submit it. This
will ensure that it is adequate and will be approved.
Perhaps the most important prerequisite for preparing your
application is that you establish the direction of your program.
Tribal pesticide programs are too complex and costly for most tribes
to develop completely in the first year. Instead, tribes develop
programs through a gradual process of planning and incremental
implementation. Each year tribes make decisions to include certain
aspects of the program and exclude others. These decisions must
be made after consideration of the needs of the tribe, the national
and regional priorities established by EPA, and the amount of
funding allocated to the region. Cooperative agreement funds may
be used for the initial development of program elements as well as
for their implementation and operation. By working in close
cooperation with EPA, you will be able to develop an approach that
balances development and implementation to create the best
program for your tribe. Tribes, however, should not apply for
cooperative agreement monies to fund an assessment of whether a
pesticide enforcement program is needed. Once the tribe has
determined a need, it should apply for funds to plan its program.
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Chapter 2 Pre-Application Preparation
If you are just beginning to develop a pesticide program, you
may find it useful to consult other tribes with existing programs to
gain from their experience. Appendix B of this manual provides a
list of contacts in other tribes that operate pesticide programs. A
document produced by the Inter-Tribal Council of Arizona, a long-
standing pesticide enforcement grantee, describes a number of
important aspects of tribal pesticide programs. These aspects
include developing regulations, setting priorities, implementing
inspections, conducting investigations, and reporting results to EPA.
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Chapter 3
APPLICATION FORM
Many components make up the cooperative agreement
application. Most of the pages in your complete application will
contain technical details about your program. Every application
must include one set of standard forms.
STANDARD FORM 424
The application form that you use to apply for cooperative
agreement funds is the Standard Form 424, Application for Federal
Assistance. This is a general purpose Federal form that is also used
in other types of funding and grant programs. The form consists of
three pages: the first page contains applicant and program
identification information; the last two pages contain program
budget information.
For your pesticide program cooperative agreement, you need
to supply specific information relevant to pesticide programs and
the funding agency (EPA). The specific information needed in each
block of the form is described in the following paragraphs. A
sample completed SF 424 from a tribal application is shown on
page 12.
Block 1 TYPE OF SUBMISSION
Indicate Non-Construction since these funds are not to
be used for construction projects.
Block 2 DATE SUBMITTED
Indicate the date you are submitting the application.
Block 3 DATE RECEIVED BY STATE
Leave blank.
Block 4 DATE RECEIVED BY FEDERAL AGENCY
Leave blank.
Block 5 . APPLICANT INFORMATION
Legal Name. Name of governing/submitting body
(tribe or group of tribes), such as Perfect Tribe or
Inter-Tribal Council of Arizona.
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Chapter 3
Application Form
Organizational Unit. Group within the tribe that is
preparing the application. For example, the
Department of Agriculture.
Block 6 EMPLOYER IDENTIFICATION NUMBER (EIN)
Enter the employer identification number of the
governmental body that will employ the pesticide
personnel.
Block 7 TYPE OF APPLICANT
Enter K for Indian tribe.
Block 8 TYPE OF APPLICATION
Check New if this is your tribe's first cooperative
agreement.
Check Continuation if your tribe currently has a
pesticide cooperative agreement in effect.
Check Revision if this application is a resubmission of
an application for the project period.
Block 9 NAME OF FEDERAL AGENCY
Enter EPA and the regional office address.
Block 10 CATALOG OF FEDERAL DOMESTIC
ASSISTANCE NUMBER
The Catalog of Federal Domestic Assistance number
for this application is 66-700; the title is Pesticide
Enforcement Program.
Block 11 DESCRIPTIVE TITLE OF APPLICANT'S
PROJECT
The descriptive title is Consolidated Pesticide
Cooperative Agreement Program. Include all
activities that are addressed in your application. For
example--
Consolidated Pesticide Cooperative Agreement
Program including--
Pesticides Enforcement
Applicator Certification
Pesticide Program Activities
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Chapter 3
Application Form
Block 12 AREAS AFFECTED BY PROJECT
Specify the tribal lands/reservation(s) where the
program will be in effect.
Block 13 PROPOSED PROJECT
Start Date /Ending Date. Show beginning and ending
dates of the agreement.
Block 14 CONGRESSIONAL DISTRICTS OF
Applicant/Project. [Optional] Identify congressional
district(s) in which the program will be effective.
Block 15 ESTIMATED FUNDING
Show the estimated funding for each category listed.
The amounts should match the amounts on your
Budget Information forms (see chapter 4).
Block 16 Leave this block blank since it does not apply to
tribes. However, review of your application by your
Tribal Council is recommended.
Block 17 In this block, indicate if the tribe is delinquent on
Federal debt.
Block 18 In these blocks, supply the signature and other
information of the Tribal Chairman or person with
equivalent authority.
BUDGET INFORMATION FORMS
Two additional pages of budget information forms are
necessary to complete the SF 424. The preparation of these forms
is described in chapter 4, Budgets.
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Chapter 3 Application Form
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Chapter 4
BUDGET REQUIREMENTS
You will not receive cooperative agreement funding unless
you explain how the funds will be spent and justify the amount
spent for each budget item. EPA regional staff will evaluate the
legitimacy of your proposed budget and the adequacy of the budget
to accomplish the proposed actions. They will determine if you
have sufficient financial resources to accomplish the goals and
implement the programs described in the other portions of your
application. To ensure that your funding levels are adequate, EPA
regional staff will assist you with determining a funding level that is
both needed and available, and recommend activities that the
funding can support.
Guidance p. 2, 11,
Appendix IX
BUDGETS FOR ACTMTTES
Cooperative agreement applications may cover certification
and pesticide program activities as well as enforcement. Since these
activities are actually separate programs proposed in one
consolidated application, you must supply separate budgets for each.
However, the budget categories and totals for each may be shown
on a single Budget Information form.
Individual cost items, such as one pesticide control officer
who handles all activities, may be shared by the different activities.
In such cases, the total cost of the item must be distributed among
the budgets for the activities in which it is used. The only
requirement is that you must show a need for at least one half
workyear for enforcement activities.
Guidance p. 12
OMB Circular A-87
COST CATEGORIES
Cost categories are the various types of expenses that
typically are incurred in the process of performing pesticide control
activities. A set of standard cost categories has been defined by
the Office of Management and Budget (OMB) in OMB Circular A-
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Chapter 4 Budget Requirements
87. This list of categories includes all those shown in section B of
the Budget Information forms that accompany SF 424:
• Personnel
Fringe benefits
Travel
Equipment
Supplies
Contractual
Construction
Other
Indirect costs
By using these categories to prepare your budget, you will ensure
that your budget is thorough and accurate. Each of the individual .
cost categories is explained in the sections below.
Personnel. Personnel costs are the salaries and wages that are paid
to employees of an agency. Typical personnel positions involved in
pesticide programs include pesticide control officers, inspectors,
technicians, clerical support, and administrators.
Your application budget must show the positions, the number
and rate of each position, and the time each spends on the activity
being budgeted.
• Rate. The annual rate paid to each worker.
Time. Estimate time spent by each position working
on the program in question as a decimal fraction (for
example, .25) of one workyear. (A workyear is
assumed to be 1800 hours including vacation and
holidays). For enforcement activity, an estimate may
be based on the number of inspection sites and the
average time required for one inspection.
Cost calculations. Multiply the fraction of a year for
each worker by the corresponding annual rate to
calculate total salary cost.
For example, if a pesticide officer works half time on enforcement
work, and has an annual salary of $28,000, the cost of the officer's
salary per year to the enforcement activity is $14,000:
1 officer X $28,000 per year X 0.5 years = $14,000 .
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Chapter 4 ^ Budget Requirements
This information must be supplied in section B of the Budget
Categories Information forms.
Fringe benefits. Fringe benefits are expenses related to personnel
costs, but are considered a separate cost category. These costs
include employee benefits such as leave, insurance, social security,
pension, and workers' compensation.
Travel. Cooperative agreement funds may be used to pay for travel
costs that are related to performance of pesticide control activities.
Funding may be applied to travel to perform inspections, attend
training or meetings, or other related actions. Estimates of travel
budgets should include the number of trips, reasons for travel,
method of transportation, and distances, as well as total costs. For
example, 2 inspectors each will travel 300 miles round trip by car to
attend a one-day training workshop. If travel by personal vehicle is
reimbursed at $.24 per mile, the cost is $144.00.
2 X 300 miles round trip X $.24 per mile = $144.00
Since the Budget Categories Information forms do not have a space
for describing travel costs, you should include this description in the
work program.
Equipment. Another significant expense for pesticide control is
equipment. Equipment refers to devices that are long lasting and
used in the performance of office, lab, or field work. You may
include such items as detection, inspection, and recording
instruments; clothing, safety gear, and tools; measurement and
analysis instruments for lab work; and office machinery such as
typewriters or microcomputers. List items costing more than
$25,000 separately; items less than $25,000 may be grouped as
appropriate.
Supplies. Supplies for pesticide activities may also be purchased
with cooperative agreement funds. Supplies are generally low-cost
items that are used up in the course of work. Examples include
stationery, chemicals, test kits, sample containers, film, and
computer disks. You do not have to itemize supply costs; you may
group them into general categories such as office supplies, lab
supplies, or field supplies.
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Chapter 4 . Budget Requirements
Contractual. Contractual costs are costs for services performed by
a provider and purchased by the tribe. Most tribes use an outside
laboratory under contract to the tribe to perform sample analyses.
Your tribe may use cooperative agreement funds for this and any
other contracted services that are directly applicable to pesticide
activities.
Construction. Do not include any construction costs in your
application budget. Construction costs are not allowed under the
pesticide cooperative agreement.
Other. Include cost items that are directly related to pesticide
activities but not covered by the existing categories in this category.
Examples of such costs are maintenance and repairs, postage, and
technical or trade journals.
Indirect costs. Indirect costs, also known as overhead or burden
costs, are the costs which cannot be easily assigned to specific
objectives. You may include indirect costs in your budgets if you
indicate the method used to determine them. Negotiate with the
Department of the Interior to determine the exact rate you may use
and submit some form of documentation with your application.
Indirect cost rates are typically expressed as a rate or
percentage of a specified budget item such as direct salaries. For
example, your tribe may be able to negotiate a rate of 22 percent of
the total salaries. You would calculate the total indirect costs for
your project by applying this value to the personnel cost from line a
of section B. If this line item is $17,500 then the indirect cost is
calculated as
22% X $17,500 = $3,850
and added to the subtotal.
NOA/-FEDE/ML RESOURCES
Guidance p. 12 Your tribe must contribute some tribal funds to cover a
portion of the cost of your pesticide project. Each pesticide activity
has a limit to the amount of funding that can be supplied by
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Chapter 4 Budget Requirements
cooperative agreement funds. The amount that must be supplied by
the tribe is
15 percent for Enforcement funds
50 percent for Certification funds
15 percent for Pesticide Program funds
You must specify the exact amount your tribe will contribute
for each activity in the designated areas of the budget information
forms. In section C, indicate your tribe's contribution to each
program in column b under the heading Applicant. These amounts
should then be transferred to section A, column f, Non-Federal. In
section D, line 14, show the quarterly distribution of the tribal
contribution.
To arrive at the value of your tribe's contributions, calculate
the tribe's percentage of the total expense of each program. For an
enforcement program costing a total of $35,000, the tribe must
contribute a minimum of $5,250 (15% of $35,000).
Your tribe may fund any of the project budget items or a
portion of any item as its contribution. For example, the Perfect
Tribe must contribute $5,250. They could designate that amount
from their indirect charges, or they could designate $3,150 of
personnel salary, $1,100 of fringe benefits, and $1,000 of indirect
costs as the tribe's contributions. The remainder of the project
expenses will be funded by the cooperative agreement.
Your tribe's funds may consist of in-kind contributions. An
in-kind contribution is the value of contributions other than cash;
for example, charges for real property or equipment, or goods and
services that directly benefit the activity. These amounts will not be
funded by agreement monies, so the tribe will pay them directly.
Thus, they qualify as costs funded by tribal funds.
COMPLETING BUDGET FORMS
Guidance p. 12 Your application must contain sufficient budget information
to allow the EPA evaluators to determine whether your budget
request is justified and realistic with regard to the work proposed.
To convey the budget information, you must supply the two pages
of Budget Information forms that accompany SF 424, as well as
more detailed itemizations of budget items on the Budget
Categories Information forms.
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Chapter 4 Budget Requirements
Budget Categories Information forms. Use one set of three Budget
Categories Information pages (shown on pages 19-21) to determine
the total costs for each category for each pesticide activity. The
Budget Categories Information forms allow you to describe each
cost item in the required detail. You can then transfer the totals
from each category to section B of the Budget Information forms to
arrive at the total program costs.
SF 424 Budget Information. A sample set of Budget Information
forms for the Perfect Tribe sample application is included in
Appendix A. Follow these steps to complete the SF 424 budget
sheets:
1. Fill in section B with the subtotals from each Budget
Categories Information form for each activity to get
activity totals and the grand total.
2. In section C show any funds that the tribe (applicant)
will contribute for each program. Also list any income
generated by the activity in section C.
3. Show separately in section A the Federal and non-
Federal funds budgeted for each program.
4. Use section D to show allocation of total Federal and
non-Federal funds during each quarter of the fiscal
year.
5. List any funds needed for the balance of the project in
section E.
6. List additional direct or indirect charges in section F;
use additional pages if necessary.
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Chapter 4 Budget Requirements
BUDGET CATEGORIES INFORMATION (FROM SF424A, SECTION B TOTALS)
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Chapter 4 Budget Requirements
BUDGET CATEGORIES INFORMATION (FROM SF424A, SECTION B TOTALS)
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Chapter 4 Budget Requirements
BUDGET CATEGORIES INFORMATION (FROM SF424A, SECTION B TOTALS)
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Chapter 4 Budget Requirements
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Chapter 5
NARRATIVE STATEMENT
The cooperative agreement application consists of three
major elements: SF 424, detailed budget information, and a
narrative statement. The narrative statement itself contains some
general information about your pesticide programs along with
separate work programs for the enforcement, certification, and
pesticide program activities. This chapter describes the portion of
the narrative statement that applies to all of the pesticide activities
and therefore appears only once in your application. Chapter 6
discusses the enforcement work program and Chapter 7 briefly
describes the other work programs.
Guidance p. 13
App. A p. A-2
App. A p. A-2
COMMON ELEMENTS
The narrative statement of the application is an essential
element because it explains what your pesticide control program is
intended to accomplish and how it will operate. Four key topics
must be addressed in the portion of the statement that is common
to all activities:
Background information about the tribe and the
programs
Your ability to implement the programs
Objectives of the programs
Benefits of the program to your tribe and to EPA
Samples of these components from a typical new applicant tribe are
provided in Appendix A.
If you are submitting a continuation application, you have
supplied this information on earlier applications. Your current
application may refer to those previous applications for the common
portion of the narrative statement. However, you do need to
submit complete work programs for enforcement and any pesticide
activities that the agreement is to cover.
Background. Begin the narrative statement with a description of
the tribe, its population, land size and use, estimated number of
pesticide applicators, types of potential problems associated with
pesticide use, and any other general information that may be
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Chapter 6 Enforcement Work Program
address several issues such as your authority to enforce regulations,
the development of cases, and cross-jurisdictional situations.
Describe any existing authority to conduct pesticide
inspections and enforcement activities as a result of tribal codes. If
none exists, describe any efforts or intentions to develop tribal laws
or codes involving civil penalty authority for pesticide use violations.
If no codes or laws exist, state,that you will conduct inspections
under Federal authority.
Guidance p. 59 Enforcement response policy. Describe your Enforcement Response
App.Ap.A-4 Policy (ERP) or your plans to develop one. The ERP includes a
matrix of all the possible violations of pesticide regulations,
different types of users, and the various penalties for first and
subsequent violations, as shown below. It also shows the offenses
that will be referred to state and Federal authorities for
enforcement.
VIOLATION TYPE MINIMAL TRIBAL ACTIONS
Use Violations 1st Offense 2nd Offense
- Misuse of General-Use
Pesticides
Private WL . CC
Commercial WL CC
- Inadequate applicator
records
Private State State
Commercial
Dealer Violations
- Sales of RUP to EPA EPA
uncertified applicator
Product Violations
- Non-registered product EPA EPA
WL = Warning-letter
CC = Civil Complaint
State = Referred to state authority
EPA = Referred to EPA authority
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Chapter 6
Enforcement Work Program
Guidance p. 60
App. A p. A-4
Guidance p. 61
App. A p. A-4
Case development. If your enforcement capability is only partial, or
nonexistent, describe procedures for forwarding inspection reports
to EPA for enforcement determination and action. If pesticide use
laws or codes exist or are under development, describe your case
preparation and enforcement procedures or the schedule for their
development. Your application must demonstrate the availability of
sufficient resources to accomplish the anticipated case development,
including reviewing the quality and adequacy of evidence. Describe
procedures, or agree to comply with those described in the
guidance, for handling violations of tribal law, Federal law, or both.
Cross-jurisdictional situations. Describe any agreements that exist
with the state(s) in which the tribe is located concerning cooperative
enforcement of problems involving cross-jurisdictional situations.
Guidance p. 62
App. A p. A-5
TRACKING ACTIVITIES
Describe your system for tracking and maintaining documents
and files pertaining to all types of inspections, violations found, and
enforcement actions taken. Include the length of time that these
will be maintained. If your tracking system is not yet in place,
agree to implement it within three months of the start of the
cooperative agreement period. Agree to track inspections,
violations found, and enforcement actions related to cancellations
and suspensions of pesticides; agree to report these enforcement
actions according to applicable compliance monitoring strategies.
Guidance p. 62,
App. XVIII
App. A p. A-8
REPORTING
Agree to report quarterly all accomplished inspections and
sample collections on EPA form 5700-33H. This report should
include a narrative report as necessary with details or other
comments about the activities.
ACCOUNTING RECORDS AND FILING SYSTEMS
Guidance p. 15, 63
App. A p. A-8
If you are applying for a new cooperative agreement,
describe your system for accounting and filing records of funds
awarded under the cooperative agreement, in accordance with EPA
requirements and generally accepted accounting principles.
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Chapter 6
Enforcement Work Program
Continuation applicants will have had their accounting and filing
system described and approved in a previous application.
Guidance p. 63,
App. IV
App. A p. A-8
EVALUATION PLAN
EPA requires that each state and tribal pesticide program be
evaluated for effectiveness and take steps to improve performance.
In your application, describe an evaluation plan, with a schedule for
conducting on-site evaluations, that meets EPA requirements.
Include an agreement to discuss strengths and problems, take
corrective actions, and discuss recommendations for followup
activities.
Guidance p. 64
UNRESOLVED PROBLEMS
This category will apply only if you are submitting a
continuation application. If any problem areas identified in the
most recent end-of-year and current mid-year evaluations are
unresolved, describe plans to address them; include a schedule for
implementing the plan.
Guidance p. 64
App. A p. A-9
EPA SUPPORT
Describe any support available from EPA that you expect to
need. This may include negotiated agreements for handling
referrals and requests for information.
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Chapter 6 Enforcement Work Program
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Chapter 7
PESTICIDE PROGRAM
WORK PROGRAMS
In addition to enforcement activities, pesticide programs may
also address certification and training of pesticide applicators,
ground water protection, endangered species protection, and worker
protection regulations that are being developed and implemented.
Each tribe submitting a cooperative agreement application may
include these activities for funding. For each activity, you must
prepare a separate work program according to the specifications in
the guidance. You must also include cost estimates for each activity
with the budget information for the entire program as detailed in
SF 424 and the associated forms.
WO/?K PROGRAM FOR CERTIFICATION
Much of this proposed work program will not apply to most
tribes because they will base their certification requirements on
their respective state program. Because this type of certification
program would be such a minor part of the tribe's overall program,
it may be funded using enforcement cooperative agreement monies.
The certification elements of tribal programs are mainly conducted
to provide for an enforceable program, and consequently, the few
dollars needed to operate a tribal certification program can be
funded through the enforcement program.
Guidance p. 3, 19 Several key elements are needed in the certification work
program if they apply to your tribe:
If you have a certification program in place, describe
efforts to revise your mechanisms for certification and
training programs as agreed upon with EPA.
For continuing applications, agree to implement any
changes to your existing certification programs that
may still remain from FY 87 and subsequent
j
discussions.
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Chapter 7 Pesticide Program Work Programs
Agree to a review of your certification program by
EPA regional program office.
Agree to submit information semiannually on the
number of training sessions and applicators certified;
you may use EPA form 5700-33H for this reporting.
Agree to provide information about training materials,
particularly those that are of high quality or that the
tribe is involved in developing, and about specific
programs and/or materials needed for training.
Describe any unresolved problems from ongoing
certification programs.
Describe your plan to implement the revised
certification and training regulation 40 CFR Part 171,
or your intention to develop a plan.
WoflK PROGRAM FOR GROUND WATE/?
Guidance p. 5, 22 Your application should discuss the implementation of the
ground water protection activities as specified in the guidance:
Agree to finalize ongoing plans for ground water
protection efforts.
Describe any efforts to develop a generic management
plan (if planned) to prevent pollution of ground water
by pesticides.
Assess and identify vulnerable areas.
Conduct an outreach campaign.
Develop chemical-specific plans or activities.
Agree to begin implementation of approved plans.
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Chapter 7
Pesticide Program Work Programs
Guidance p. 6, 25
PROGRAM FOR ENDANGERED SPECIES
Outline how you intend to use funds to develop and
implement the required level of endangered species protection
actions. If your tribe is eligible only for the base allocation, you
should describe any plans or programs that will provide information
to the public about endangered species protection and that will
identify and map habitats of affected species. Also indicate whether
an expanded program involving active protection, impact
assessment, or public review of maps and tables will be undertaken.
If an expanded program is adopted, describe how its effectiveness
will be evaluated.
Guidance p. 8, 29
PROGRAM FOR WORKER PROTECTION
Describe plans to compile a distribution list and distribute
information supplied by the EPA regional office. Describe plans to
develop an implementation strategy including outreach and
communications, training, cooperation, and a compliance monitoring
strategy after the final Worker Protection Standards are published.
Guidance p. 33
SCHEDULE
Provide a schedule of activities and accomplishments planned
for the grant period. Schedules for some activities/events are
specified in the guidance, while others are left to the tribe to
determine.
Guidance p. 33
REPORTING
Agree to report on pesticide program activities and
accomplishments at the required intervals.
Guidance p. 15, 35
40 CFR Part 31.20
ACCOUNTING RECORDS AND FILING SYSTEM
Describe your accounting procedures and filing system with
specific statements regarding its ability to track separate funds for
enforcement, certification, and pesticide programs; prepare financial
reports required by regulations; and trace funds sufficiently to show
proper handling of them.
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Chapter 7 Pesticide Program Work Programs
EVALUATION PLANS
Guidance p. 35, Describe an evaluation plan with schedules for mid- and end-
App. IV, XIII of-year evaluations, and others as appropriate.
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Chapter 8
APPLICATION SUBMITTAL
Before you submit your application to EPA you must make
sure that it is complete and all requirements have been met. This
chapter contains information that will help you do that.
APPLICATION ELEMENTS
Guidance p. 10, If you have addressed all the issues described in the previous
APP- v chapters and completed the forms that were in the application kit,
your application should be complete. For FY 92 applications, EPA
is requesting that each applicant submit an application review
checklist. This checklist will help you determine that all the
necessary information is present. To ensure that all the elements
are accurate and authorized, you should make sure that they have
been reviewed and approved by the appropriate authorities.
The elements required for a complete application are
outlined in section II of the guidance and listed below.
Cover Letter
Your application should be accompanied by a cover letter
that is signed by an authorized person (such as an agency
director or Tribal Chairman). The letter should inform the
regional EPA contact that the application is complete and is
being submitted for evaluation.
A. SF 424
Include a complete SF 424 signed by the appropriate
authority.
Include the signed Assurances form (SF 424B) that came
with the SF 424.
Include a list of Key Personnel on the form provided.
B. Budget Information Forms
Include completed Budget Information pages (SF 424A)
containing sections A through F.
Include separate Budget Categories Information sheets with
itemized cost categories for each agreement component.
Include a copy of an indirect cost agreement if one has been
negotiated with the Department of Interior.
6/7/91 : 43
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Chapter 8 Application Submittal
C. Narrative Statement
Include one copy of the narrative statement common
information.
Include a separate work program for each of the five
activities as appropriate. Each work program should contain
a completed form 5700-33H showing expected outputs,
accomplishments, and schedules.
D. Accountability
Explain your fiscal control and accounting methods in the
designated sections of your work programs.
E. Certification for Drug Free Workplace
Include a signed EPA form 5700-49, Certification Regarding
Debarment, Suspension, and Other Responsibility Matters.
Include a signed Certification of Drug Free Workplace.
F. Certification Concerning and Disclosure of "Influencing
Activities"
If the funds requested exceed $100,000, include a signed
Certification Regarding Lobbying.
If appropriate, include a disclosure form for the use of non-
Federal funds to influence the award of the cooperative
agreement.
G. Checklist
Include a completed application review checklist.
APPLICATION DELIVERY
When all the parts of the application have been completed,
reviewed, approved, and assembled, you are ready to submit the
application to the EPA regional office. You should do this at least
60 days before the start of the designated budget period to allow
adequate time for review. If your budget period is the same as the
Federal fiscal year, EPA recommends that you submit your
application 90 days prior to the start of the fiscal year.
44 Tribal Pesticide Cooperative Agreement Application Manual
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Chapter 8 Application Submittal
APPLICATION EVALUATION
Your completed application will be reviewed and evaluated
by the staff of the EPA regional office where it is submitted.
Regions have the first responsibility for evaluating applications but
the EPA headquarters also reviews some applications. Appendices
II, III, VI, and VII in the Guidance explain the details of the
evaluation procedures including time factors for evaluation
activities.
6/7/91 45
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GLOSSARY
Applicant
Application
Assistance
agreement
Award
Budget
Budget period
Consolidated
agreement
Continuation
Cooperative
agreement
Cost share
These definitions are also found in the EPA Assistance
Administration Manual.
Any entity (such as a tribe) that files an application or unsolicited
proposal for EPA financial assistance.
A formal written request for EPA financial assistance that is
submitted on a prescribed form and is sufficiently complete to
permit evaluation.
The legal instrument EPA uses to transfer money, property,
services, or anything of value to a recipient to accomplish a public
purpose. It is either a grant, a loan, a grant/loan combination, or a
cooperative agreement and will specify: budget and project periods;
the Federal share of eligible project costs; a description of the work
to be accomplished; and any special conditions.
The act of executing an assistance agreement.
The financial plan for expenditure of all Federal and non-Federal
funds for a project as proposed by the applicant, negotiated and
approved by the Award Official.
The length of time EPA specifies in an assistance agreement during
which the recipient may expend or obligate Federal funds.
An assistance agreement awarded under more than one EPA
program authority. Applicants for consolidated assistance submit
only one application.
An extension of an assistance agreement for an additional
funding/budget period for a project the Agency initially agreed to
fund for a definite number of years.
An assistance agreement in which substantial EPA involvement is
anticipated during the performance of the project.
The portion of allowable project costs that a recipient contributes
toward completing its project using non-Federal funds. The cost
share may include in-kind as well as cash contributions.
6/7/91
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Glossary
Direct costs
Grantee
Indirect cost
In-kind
contribution
Narrative
statement
Output
Program income
Project
Project costs
Project period
Those costs that can be identified specifically with a particular cost
objective and are so charged.
see Recipient
Any costs that are incurred for common objectives and which
cannot be directly charged to any single cost objective. These costs
are allocated to the cost objectives benefited based on a fair
method of approximation. Indirect costs are also referred to as
overhead or burden costs.
The value of a non-cash contribution to meet a recipient's cost
sharing requirements. An in-kind contribution may consist of
charges for real property and equipment or the value of goods and
services directly benefitting the EPA funded project.
A description of the approach, policies, and procedures that will be
carried out under the proposed project. It contains the detailed
explanation of how the applicant will comply with the specific
cooperative agreement requirements and applicable Federal
regulations.
An activity or product which the applicant agrees to complete
during the budget period.
Gross income the recipient earns during its project period from
charges to the project. This may include income from service fees,
sale of commodities, trade-in allowances, or usage or rental fees.
Revenue generated under the governing powers of a State or local
government which could have been generated without an award is
not considered program income.
The activities or tasks EPA identifies in the assistance agreement.
All costs the recipient incurs in carrying out the project. EPA
considers all allowable project costs to include Federal share.
The length of time EPA specifies in the assistance agreement for
completion of all project work. It may be composed of more than
one budget period.
Tribal Pesticide Cooperative Agreement Application Manual
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Glossary
QA assurance A formal document which describes an orderly assembly of
program plan management policies, objectives, principles, organizational
responsibilities, and procedures by which an agency or laboratory
specifies how it intends to: (a) produce data of documented quality,
and (b) provide for the preparation of quality assurance project
plans and standard operating procedures.
QA project plan An organization's written procedures which delineate how it
produces quality data for a specific project or measurement method.
Recipient Any entity (such as a tribe) which has been awarded and has
accepted an EPA assistance agreement.
Supplies All property, including equipment, materials, printing, insurances,
and leases of real property, but excluding land-or a permanent
interest in land.
Tribe Federally-recognized Indian tribal government.
Work program The document which identifies how and when the applicant will use
program funds to produce specific outputs.
6/7/91
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Appendix A
SAMPLE FY 92 ENFORCEMENT
WORK PROGRAM
The following is a sample work program for a fictitious new
tribal applicant in EPA Region XI, the Perfect Tribe of New
Arizona. It is assumed that this particular tribe has had no previous
experience in pesticide enforcement and will be developing a
program during the first year of the grant. The following core
enforcement work program is based on the FY 92 Consolidated
Pesticide Cooperative Agreement Guidance.
When completing the Tribal Compliance Monitoring Work
Program address all issues. If an area exists that is not relevant to
the tribe, such as exports, endangered species, or worker protection,
note this fact in your application with a short statement. You will
speed up the grant process if you do not omit categories.
6/7/91 A-I
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Appendix A Sample FY 92 Enforcement Work Program
NARRATIVE STATEMENT
1. Background
The Perfect Tribe is located in the northwest corner of New Arizona on 140,000
acres, 40,000 of which are arable. The reservation consists of 3,000 residents, with
three-quarters of these being tribal members on the reservation.
Agriculture dominates the reservation. Crops grown include melons and fruit and
a significant amount of land is leased for cattle and sheep grazing. Quality farming
depends a great deal on pesticides for the reduction of weeds and insects. Since the
state of New Arizona has no jurisdiction on the reservation the Perfect Tribe has
decided to regulate chemical pesticides.
The Perfect Tribe has never participated in a Pesticide Cooperative Agreement
with the Environmental Protection Agency. The main emphases of the FY 92 program
will be to create a Tribal Pesticide Code, hire a pesticide inspector, and educate
pesticide applicators and the tribal council about pesticides.
2. Ability to Implement Program
The Perfect Tribe is a federally recognized tribe organized under the Indian
Reorganization Act of June 18, 1934 and is authorized by the Tribal Council to accept
federal funds through the Department of Agriculture. The Department of Agriculture
has been designated the lead agency for pesticide enforcement and has been authorized
by the Tribal Council to receive federal funding.
The Perfect Tribal Council supports the FIFRA grant application for Pesticide
Enforcement and Pesticide Certification for the amount of $29,750 and is able to
contribute $5,250 to establish a successful pesticide program with the Environmental
Protection Agency (EPA). '
3. Objectives of the Project
The main objective of the Perfect Tribe in regard to this cooperative agreement
is to establish and support an effective tribal pesticide enforcement which will protect
human health and the environment from the mis-use of pesticides. To accomplish this
objective, the Perfect Tribe intends to establish pesticide enforcement priorities, begin
enforcing FIFRA and the tribal pesticide code, and improve the quality and availability
of compliance information to pesticide users on the reservation.
A-2 Tribal Pesticide Cooperative Agreement Application Manual
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Appendix A Sample FY 92 Enforcement Work Program
4. Benefits of Project to the Applicant and EPA
The Perfect Tribe will benefit from the project by increased protection of the
reservation's people, land and water from potential pesticide contamination. It will also
benefit by further developing its range of environmental services to reservation residents.
EPA will benefit from a tribal program by ensuring the reservation is adequately
covered by FIFRA.
5. Work Program for Enforcement
Within one month after the start of the project period, the Perfect Tribe will hire
a pesticide inspector. The person hired will have a sufficient work and educational
background to carry out the responsibilities of the pesticide inspector for the Tribe.
Under the supervision of the Director of Natural Resources and the Tribal Council, the
pesticide inspector will be responsible for all activities listed in this work program.
The new inspector will attend an EPA Inspector Training course using project
funds, as well as other appropriate training negotiated with EPA Region XI. The new
inspector will also work with the regional office to arrange to attend inspections, if
possible, with inspectors from the New Arizona Department of Agriculture. Region XI
will help the inspector contact the appropriate officials in New Arizona.
Within six months after the beginning of the project period, the inspector will
hire an employee to perform secretarial activities part time in support of pesticide
enforcement activities.
CERTIFICATION AND TRAINING PLAN AND TRIBAL CODE
Within three months after the beginning of the project period, the Perfect Tribe
will submit to the Regional office for review a draft certification and training plan and
tribal pesticide code. EPA will provide comment on the code. The inspector will then
present the Plan and Code to the Tribal Council for approval.
The Perfect Tribe does not intend to develop its own autonomous certification
and training program, but rather intends to require applicators to obtain state
certification before applying for tribal certification. Therefore, the Tribal Code will be
based primarily on state law, with modifications to correspond to conditions unique to
the reservation.
Project funds will be used to develop registration cards for inspectors applying for
tribal certification and to maintain a computerized filing system. Registration for
commercial applicators will cost approximately $25; private applicators will be charged
approximately $10.
6/7/91 A-3
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Appendix A Sample FY 92 Enforcement Work Program
The Perfect Tribe will not conduct pesticide use inspections on the reservation
until the inspector has obtained EPA FIFRA inspector credentials and the Tribal Code
and Certification Plan are in place.
QUALITY ASSURANCE PROJECT PLANS
Within three months after the start of the project period, the Perfect Tribe will
submit to the EPA Regional Office for review its Quality Assurance Project Plan. This
Plan will be implemented prior to conducting sampling activities under the grant.
The EPA Regional Office will provide the tribe with sample QA Project Plans
and Standard Operating Procedures.
The Perfect Tribe's QA Plan will consist of field sampling and chain of custody
procedures, and the name of the EPA-approved lab that will perform chemical analysis
for the tribe.
PRIORITY-SETTING PLAN
Priorities for this budget period will be determined by the Regional Office. As
part of its work program for the next budget period, the Perfect Tribe will submit a
priority-setting plan based on models provided in the pesticide cooperative agreement
guidance.
ENFORCEMENT RESPONSE AND CASE DEVELOPMENT
Enforcement Response Policy
Within six months after the beginning the project period, the Perfect Tribe' will
submit an Enforcement Response Policy (ERP) to the Region. The Region will forward
a copy of the ERP to the Grants and Evaluation Branch in the Office of Compliance
Monitoring. The Tribe's ERP will include at a minimum:
A list of violations likely to be encountered;
A mechanism for determining level of gravity for each type of violation;
A list of enforcement remedies available for each type and level of
violation (including both Tribal and Federal action)
An escalation of penalties for second and subsequent violations;
Consideration of potential pollution prevention initiatives for use in
determining final enforcement penalties and/or in settlement of
enforcement cases; and
a timetable which the Tribe will follow to ensure the timely investigation
of complaints and the timely issuance of enforcement actions when
violations are detected.
A-4 Tribal Pesticide Cooperative Agreement Application Manual
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Appendix A Sample FY 92 Enforcement Work Program
The tribe will implement its ERP before any enforcement actions are undertaken.
If the evidence in a case reveals a violation of Tribal law, the Perfect Tribe will
pursue an appropriate remedy provided by the Tribal Pesticide Code and its
enforcement response policy.
Where evidence reveals a possible violation of FIFRA only, the Tribe will
forward the information to the EPA Regional office within 30 days after completion of
the investigation. All cases forwarded to EPA will include all evidence, inspection
reports and/or forms, a brief narrative of the case, and a recommended enforcement
response. The Tribe will prepare and make available to EPA, when requested,
testimony and other evidence pursuant to the procedures adopted by EPA. The Tribe
will provide witnesses for informal settlement conferences, public hearings, and
appearances in a court of law, as the EPA requests.
Where evidence reveals a violation of both Tribal and Federal law, the Tribe will
choose whether to pursue the case under tribal or Federal law.
The Perfect Tribe will begin contacting New Arizona pesticide enforcement
officials to discuss the possibility of developing procedures for cooperative enforcement
of problems involving cross-jurisdictional situations. The tribe will work towards an
informal agreement initially, with the goal of ultimately writing a Memorandum of
Understanding with the state.
TRACKING SYSTEM
Within three months of the start of the project period, the Perfect Tribe will
establish and begin utilizing a management system for tracking all inspections, violations
found, and enforcement actions initiated. The tracking system will, at a minimum,
include the following elements:
Date of inspection
Reason for inspection (routine or complaint)
Name or person or firm inspected
Violations found
Summary of past compliance history (or reference to case file number)
Enforcement Action taken
Date of enforcement actions
Disposition of action
The Tribe agrees to maintain these records for a minimum of five years.
6/7/91 A-5
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Appendix A Sample FY 92 Enforcement Work Program
INSPECTIONS AND SAMPLE COLLECTION ACTIVITIES
The Perfect Tribe will begin inspectional activities during the third quarter of the
project period. The number and type of inspections projected can be found in
Attachment 1, Form 5700-33H. The inspections to be conducted include agricultural
use, agricultural follow-up, non-agricultural use, non-agricultural follow-up, marketplace
and certified applicator. There are no pesticide manufacturers, pesticide importers or
exporters.
All FIFRA inspections will be performed according to the protocol established in
the EPA inspectors manual. All inspections conducted by the tribe will be
comprehensive, addressing every element of each type of inspection as delineated in the
EPA Pesticide Inspector's Manual. The tribal inspector will also use, at his discretion,
the national inspector checklists developed by Mississippi for the Office of Compliance
Monitoring. The inspector will eventually modify the checklists to conform more closely
to circumstances he/she faces.
Copies of all inspectional reports will be retained by the Tribe for at least five
years.
The Tribe will conduct two inspections in the fourth quarter at federal grain
storage facilities located on the reservation.
SUSPENSIONS
The tribe will perform suspension compliance inspections as requested by the
Region.
FORMAL REFERRALS
The Perfect Tribe herein adopts the referral and inspection procedures set forth
under FIFRA Sections 26 and 27. Significant cases referred to the Perfect Tribe in
writing by the EPA will be investigated in accordance with established procedures and
action recommended within 30 days of the date of the completion of the investigation or
the receipt of any analytical results, whichever is later. The Tribe shall report on the
status of the investigation within 30 days of the date of the referral. Extensions for
cause will be coordinated with the EPA Project Officer and Region XI.
The Perfect Tribe will consider "significant" to mean cases involving alleged
human health/exposure including but not limited to cases involving worker protection,
ground water contamination and congressional inquiries. Other EPA referrals and
special requests shall be accomplished as expeditiously as possible in coordination with
the EPA Project Officer.
A-6 Tribal Pesticide Cooperative Agreement Application Manual
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Appendix A Sample FY 92 Enforcement Work Program
LAWN CARE
There are no known lawn care companies on the Perfect Tribe reservation. The
Perfect Tribe is therefore exempt from performing activities in support of EPA's lawn
care program.
WORKER PROTECTION ENFORCEMENT ACTIVITIES
As agreed upon with Region XI, the Perfect Tribe will not develop its own
compliance monitoring strategy for worker protection during the project period. Since
the program will be in the developmental stage, the Perfect Tribe will implement the
appropriate elements of the National Strategy within eight months of the publication of
the Worker Protection Rule, as required by the grant guidance.
The Perfect Tribe will address its own worker protection efforts as part of next
year's work program.
In regard to inspectional activity for the worker protection requirements, the
Perfect Tribe will include monitoring for compliance with the new worker protection
labeling requirements once the compliance dates become effective. Monitoring for
compliance with worker protection requirements shall be another element of
comprehensive inspections.
The Perfect tribe will also conduct investigations in response to incident and
complaint reports and track tips and complaints not referred by EPA.
The Perfect Tribe will indicate in its Quarterly Accomplishment Reports if
monitoring for the worker protection requirements was not included as part of every
type of inspection, with the exception of certified applicator records and dealer
inspections.
PLANNING ENFORCEMENT ACTIVITIES FOR RESIDUE REMOVAL
By the end of FY 92, as required by the grant guidance, the Perfect Tribe will
submit an outline detailing specific proposed activities which will be conducted to ensure
compliance with the residue removal regulations.
ENFORCEMENT ACTIVITIES FOR GROUND WATER PROTECTION
In FY 92, the Perfect Tribe will continue to monitor compliance with and enforce
labeling as part of their routine inspections based on priorities agreed upon between
Region XI and the state. Quarterly reports will document the number of inspections
which included compliance monitoring for ground water-related requirements or ground
water sampling.
6/7/91 A-7
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Appendix A Sample FY 92 Enforcement Work Program
The development of a tribal ground water management plan will be addressed in
a later application.
ENFORCEMENT ACTIVITIES FOR ENDANGERED SPECIES PROTECTION
The Perfect Tribe will comply with the national Compliance Monitoring Strategy
for the Endangered Species Protection Program to be issued in FY 1992.
SECTION 6(G) INFORMATION SUBMITTAL AND PESTICIDE RECALLS
As part of routine inspections, the Perfect Tribe will help to enforce the
information submittal requirements under FIFRA 6(g). Region XI may refer inspections
to the states, although the number that the state may be asked to perform in support of
the information submittal requirements is impossible to project and may require some
adjustments to other projected inspectional activities.
EXPORTS
There are no exporters of pesticide product located on the Perfect Reservation.
No export inspections are therefore projected in FY 92.
REPORTING
Quarterly reports will be submitted to EPA within 30 days after the end of each
quarter (by January 30, April 30, July 30 and October 30.
ACCOUNTING RECORDS AND FILING SYSTEMS
The Perfect Tribe will maintain accounting records for funds awarded in
accordance with all applicable EPA regulations and generally accepted accounting
principles. The accounting system to be used will be sufficient to: 1) track the
expenditure of funds separately for at least each of three components 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.
EVALUATION PLAN
The Perfect Tribe hereby agrees to be evaluated by EPA at the mid-year point
and at the end of the fiscal year.
A-8 Tribal Pesticide Cooperative Agreement Application Manual
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Appendix A Sample FY 92 Enforcement Work Program
EPA SUPPORT
The tribe will request support from the EPA regional office to contact pesticide
officials from the New Arizona Department of Agriculture, to develop QA plans, and to
determine enforcement priorities.
6/7/91 A-9
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Appendix A
Sample FY 92 Enforcement Work Program
TIMELINE
Activity
Beginning of project period
Hire inspector
Submit to EPA draft Certification and
Training Plan, Tribal Code, and QA Plan
Implement tracking system
Submit 1st Quarter Report
Inspector attends EPA Inspector
Training course, attends state inspections,
and obtains EPA credentials
Begin implementing Tribal Pesticide Code
Submit Enforcement Response Policy
Submit 2nd Quarter Report
Begin inspectional activities
Submit 3rd Quarter Report
Submit 4th Quarter Report
Date Accomplished
October 1
November 1
January 1
January 1
January 30
April 1
April 1
April 1
April 30
July 1
July 30
October 30
A-10
Tribal Pesticide Cooperative Agreement Application Manual
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Appendix A Sample FY 92 Enforcement Work Program
Attachment 1
6/7/91 A-11
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Appendix A Sample FY 92 Enforcement Work Program
A-12 Tribal Pesticide Cooperative Agreement Application Manual
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Appendix B
TRIBESWITH
PESTICIDE PROGRAMS
Tribes in several regions have implemented pesticide programs through the
cooperative agreement process. Their names, and the names of the agencies and people
responsible for the programs, are listed here as potential sources of assistance.
Region V
White Earth Band of Minnesota Chippewa Minnesota
EPA Project Officer: Edward Master (FTS) 353-5830
Tribal Pesticide Lead Agency: Biology Department (218) 573-3007
Tribal Pesticide Program Manager: Mike Swan (218) 573-3007
Inspector:
Region VII
Santee Sioux Nebraska
EPA Project Officer: Jake Jacobson (FTS) 541-5080/(402) 437-5080
Tribal Pesticide Lead Agency: Natural Resources and Environmental Quality
Committee
Tribal Pesticide Program Manager: Warren L. Mackey (402) 857-3302
Inspector:
Omaha Tribe Nebraska
EPA Project Officer: Jake Jacobson (FTS) 541-50807(402) 437-5080
Tribal Pesticide Lead Agency: Land Management (402) 837-5391
Tribal Pesticide Program Manager: Clyde Tyndall (402) 837-5391
Inspector:
6/7/91 B-l
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Appendix B Tribes With Pesticide Programs
Winnebago Tribe Nebraska
EPA Project Officer: Jake Jacobson (FTS) 541-50807(402) 437-5080
Tribal Pesticide Lead Agency: Natural Resources Department (402) 878-2272
Tribal Pesticide Program Manager: Undesignated
Inspector:
Region VIII
Cheyenne River Sioux South Dakota
EPA Project Officer: Ron Schiller (FTS) 330-1733
Dallas Miller (FTS) 330-1743
Tribal Pesticide Lead Agency: Land & Natural Resources Committee
Tribal Pesticide Program Manager: Dave Nelson (605) 964-6558
Inspector: Dave Nelson
Oglala Sioux (Pine Ridge) South Dakota
EPA Project Officer: Ron Schiller (FTS) 330-1733
Dallas Miller (FTS) 330-1743
Tribal Pesticide Lead Agency: Land Resource Committee
Natural Resources Manager: John Mousseau (605) 867-5821
Inspector: Eli Clifford (605) 867-5624
Region VIM
Three Affiliated Tribes North Dakota
EPA Project Officer: Gina Hargett-Freed (FTS) 330-1744/
(303) 293-1744
Tribal Pesticide Lead Agency: Dept. of Natural Resources (701) 627-3627
Tribal Pesticide Program Manager: Danald Morgan (701) 627-3627
Inspector: H. Texx Lone Bear (701) 627-3627
B-2 Tribal Pesticide Cooperative Agreement Application Manual
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Appendix B Tribes With Pesticide Programs
Region IX
Intertribal Council of Arizona (ITCA) Arizona, California, Nevada
EPA Project Officer: Armando F. Aparicio (FTS) 484-1100
Tribal Pesticide Lead Agency: ITCA (602) 248-0071
Tribal Pesticide Program Manager: Claire Miller (602) 248-0071
Inspector:
Navajo Nation Arizona, New Mexico, Utah
EPA Project Officer: K. Robert Kaneshiro (FTS) 484-1099
Tribal Pesticide Lead Agency: Navajo Environmental Protection Agency (602)
871-6562
Tribal Pesticide Program Manager: Fritz Roanhorse (602) 871-6562
Inspector:
Region X
Nez Perce Idaho
EPA Project Officer: Gary McRae (FTS) 334-9556
Tribal Pesticide Lead Agency:
Tribal Pesticide Program Manager: Gwen Carter (208) 843-2253
Inspector:
Shoshone-Bannock Idaho
EPA Project Officer: Gary McRae (FTS) 554-95567(208) 334-9556
Tribal Pesticide Lead Agency: Land Use Dept. (208) 238-3823
Tribal Pesticide Program Manager: John Helsel (208) 238-3860
Inspector: John Helsel
6/7/91 B-3
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Appendix C
RECOMMENDED
PESTICIDE PROGRAM
DEVELOPMENT STEPS
A complete tribal pesticide program consists of several elements:
A. Pesticide Code <;
B. FIFRA Enforcement Program
-- Cooperative Agreement
— Enforcement Response Policy
-- Field Sampling Quality Assurance Agreement
-- Management Plan
C. Certification and Training Program
-- Certification and training plan
. -- Cooperative Agreement
D. Ground Water Protection Program
E. Endangered Species Protection Program
F. Worker Protection Program
Most tribal pesticide programs will not need to encompass all the elements listed
above. Many tribes, for example, may not have endangered species on their
reservations, a circumstance that would obviate the need for an endangered species
program. In general, it is unlikely that you will implement all aspects of a
comprehensive pesticide program in the program's first year.
In developing a new pesticide program, it might be helpful to have an idea about
the order or chronology in which a program could be developed. These are
recommended steps. (The only requirement is that states or tribes assume at least
partial primacy for FIFRA before they develop a ground water, endangered species or
worker protection program.) Some tribes and some EPA Regions may choose to
develop their programs in a different order, or to develop several components of a
program simultaneously.
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Appendix C Recommended Pesticide Program Development Steps
Step 1: Develop a Pesticide Enforcement Program
A. Submit and negotiate a Pesticide Enforcement Cooperative Agreement
(grant) application to the Regional EPA Office. Documents that need to
be developed as part of the enforcement program include:
1. Management plan to address pesticide use problems on the
reservation.
2. Pesticides enforcement response policy, including a penalty matrix.
3. Field Sampling Quality Assurance Agreement negotiated with the
EPA Regional EPA Pesticide Section.
4. System to track pesticide violations data
5. Priority-setting plan
B. Obtain training for tribal pesticide officer.
Step 2: Develop a Tribal Pesticide Code
Step 3: Develop a Tribal Pesticide Applicator Certification Program
A. Submit an applicator certification plan to EPA for approval. The pesticide
applicator certification plan includes a tribal pesticide code, as an
attachment.
B. Submit and negotiate Certification and Training Cooperative Agreement
with Region
C. Implement Cooperative Agreement
Step 4: Develop a Ground Water Protection Program
Step 5: Develop an Endangered Species Protection Program
Step 6: Develop a Worker Protection Program
C-2 Tribal Pesticide Cooperative Agreement Application Manual
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oEPA
Clarification No.: 35GC.1
Approval O«t«: Ju^e 2s, 1S6S
TRAINING AND DEVELOPMENT FOR COMPLIANCE INSPECTORS/FIELD INVESTIGATORS
1. PURPOSE. This Order establishes a consistent Agency-wide training and develop-
ment program for employees leading environmental compliance inspections/field
invest igat ions.
2. APPLICABILITY. This Order applies to all Environmental Protection Agency (EPA)
personnel who lead or oversee the conduct of compliance inspections/field
investigations on a full- or part-time basis under any of EPA's statutes.
This Crcer is advisory to State and local agencies.
3. POLICY. It is the policy of the Environmental Protection Agency to ensure
that tnose who lead environmental compliance inspections/field investigations are
properly trained to perform these functions in a legally and technically sound
manner.
4. REFERENCES.
a. EPA 1440. Occupational Health and Safety Manual: Chapter 7, Occupational
Healtn and Safety Training.
b. EPA Order 1440.2, Health and Safety Requirements for Employees Engaged in
Field Activities.
c. EPA Order 1440.3, Respiratory Protection.
d. Agency-wide Program to Train, Develop and Recognize Compliance Inspectors/
Field Investigators: A Program Description, June, 1988.
5. DEFINITIONS.
a. Compliance Inspection/Field Investigation Function. The function
includes leading, or overseeing State/local, contractor or other personnel
conducting, any of the following activities for the purpose of establishing the
PA Form I 31 5-11A (3-«6)
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EPA ORDER
q/29/38
compliance status of facilities or sites with applicable laws, standards, regulations
and permits and/or of supporting appropriate enforcement action (administrative,
civil judicial or criminal), including:
(1) planning and carrying out inspections of pollution abatement equipment,
relevant facility operations and maintenance practices, self-monitoring practices
and records, and laboratory equipment;
(2) gathering and developing evidence, including but not limited to emission
monitoring measurements, other analytical field procedures such as sampling and the
associated quality assurance procedures, and in-depth engineering evaluations; and
(3) maintaining field logs, recording field observations photographically,
analyzing sampling and emissions data, and preparing reports of observations along
with any supporting documentation.
Any EPA employee performing these activities regardless of job title or
program shall be considered a compliance inspector/field investigator for the
purposes of this Order. The terms compliance inspector/field investigator will be
used throughout this Order. This function does not include field activities or
investigations for purposes such as research and development, which are unrelated
to compliance monitoring or enforcement.
Not all individuals performing work as On-Scene Coordinators (OSCs) and
Remedial Project Managers (RPMs) under the CERCLA program are covered by the
definition of the compliance inspection/field investigation function. Additional
program guidance will be developed to assist Regions in distinguishing these
functions from other programmatic responsibilities.
b. New Compliance Inspector/Field Investigators. Including:
(1) Individuals newly employed by EPA subsequent to the issuance date
of this Order regardless of previous training in and experience leading environ-
mental compliance inspections/field investigations, or
(2) Individuals rehired by EPA or transferred within EPA, subsequent
to the issuance date of this Order, with no previous training in and experience
leading environmental compliance inspections/field investigations.
c. Experienced Compliance Inspectors/Field Investigators. Including:
Individuals who were employed by EPA on the issuance date of this policy,
ar.d/or who have previous training in and experience leading environmental
compliance inspections/field investigations in any one of EPA's compliance and
enforcement programs.
c. First-line Supervisors of Inspectors. A first-line supervisor is the
immediate supervisor of the day-to-day work of an individual who leads or
oversees compliance inspections/field investigations. The first-line supervisor,
who is responsible for the official performance appraisal, may be "new" or
"experienced" as defined above in items 5(b) or 5(c).
-2-
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EPA ORDER , • 3500.1
e. Contract Inspectors and Others. This category includes contract
personnel and employees of a grantee organization under the Senior. Environmental
Employment Program, performing compliance inspections/field investigations under
EPA's statutes.
f . Leading an Inspection. Leading an inspection means independently
conducting a compliance inspection/field investigation or directing an
inspection/ investigation with others as support staff.
g. Curriculum. Curriculum refers to defined content presented in a
sequence of supervised self-study, formal on-the-job and/or classroom training:
(1) Supervised Self-study. Self-study means any knowledge gained
through independent, personal study, and overseen by a first-line supervisor or
an experienced inspector/investigator.
(2) On-the-Job Training. On-the-job training (OJT) means structured
training that relates principles or theories to work-related skills which are
demonstrated and applied in the field environment during an actual compliance
inspect ior./f lelc investigation.
(3) Classrcor./ classes . This refers broadly to any form of inst: .'tion,
flexioic ir. format and size, to include seminars, workshops, lect ••r^-r'.'p*- :
••-.ieo-assisted classes, or quest ion-and-answer sessions following o. ic.
:.-.-:rr-?nde.-.t stl .-study. th=. fosters group interaction with an i.-.SLruc-or or ar.
d inspector.
r.. Cor, cle tine. Recuirec Trair.ir.c. Completion of require' rair.inc means
cor;; Iczlri^ seli-sv-dy, CJT and paruicipatior. in classes cov<= . the conte.-/.
deiTrirs: in aztlicatle training curricula.
•i ??.-.:•: IN3 PF.DC-:- .-:•:. E?A's training prccrar consists c. cr.ree parts — •:•:•: jp 2-
wic:.i". H-iil'..:. ar.i Safety Curriculum, Bz~~ ~ •urriculurr., and Program-Specific
C.:rr*: : :1 •-. — a? fallows.
a. Qcc.icgtior.al Health and Safe^'v v.^rriculum. EPA Order 144Q.2 estaalisher
basic, intermediate, advanced anc refresher requirements for occupational
health ani safety training for a . ?°A employees before engaging in any field
activities. In addition, EPA cor.;; 1 : ance inspectors/field investigators must
r.eet requirements, where these apply, of EPA Order 144Q.3 for Respiratory
Protection. A summary of fKe curriculum is found in Appendix B of Reference
4(c) above. Contractor p^ ?ornel must meet training requirements of applicable
regulations of the Occupational Safety and Health Administration (OSHA) .
b. Basic Inspector Curriculum. This Curriculum establishes required
training to provide a comprehensive overview of knowledge and skills needed for
compliance inspections/field investigations under any EPA statute. It consists
of a course, that integrates legal, technical and administrative subjects, with
communication skills, "it also includes the Occupational Health and safety
Curriculum cited in 6(a) above. The Basic curriculum is summarized in Appendix C
of Reference 4(d) above. Related Supplemental Training is recommended to further
develop some of these skills, as summarized in Appendix F of Reference 4(d) above.
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EPA ORDER 3SOO.!
^29/88
c. Program-Specific Curricula. The Program-Specific Minijiium Curriculum
for each major environmental program establishes required training in legal,
programmatic and technical subjects. Any EPA compliance inspector conducting
inspections in more than one program is required to have completed the relevant
Program-Specific Minimum Curricula in each such program. Program-Specific
Specialized Training is recommended to further develop inspection skills.
Summaries of these curricula are available in Appendix D, of Reference 4(d) above.
A summary of multi-media (multi-program)training recommendations is available in
Appendix E of Reference 4(d) above.
d. Refresher Training.
(1) Occupational Health and Safety; EPA Orders 1440.2 and 1440.3
require refresher training annually.
(2) Basic and Program-Specific Minimum Curricula; Refresher training in
both the Basic Curriculum and Program-Specific Minimum Curricula is strongly
recommenced, but at the discretion of the first-line supervisor. At a minimum,
refresher training should occur every three years/ or more frequently, depending
on the needs of the individual, and changing emphases or needs in the compliance
and enforcement program.
7. REQUIREMENTS AND EXCEPTIONS.
a. Before Any Field Activities. All compliance inspectors and first-line
supervisors of inspectors are required to complete applicable occupational
health and safecv training before any field activities as. defined in EPA Orders
1440.2 and 1440.3.
b. Before Leading Inspections/Investigations. All compliance inspectors/
field investigators nuSv <~^T~lete the Basic Curriculum and the Program-Specific
Minimum Curricuiur.. in the assigned program area(s) before leading an inspection.
Experienced inspectors may be excepted from the Basic Curriculum, but new
inspectors may not. There may be limited exceptions to program-specific require-
ments for new and experienced inspectors.
c. Within One Year Vfogn Supervising. The requirements to complete the
Basic and Program-Specific Minimum Curricula apply to first-line supervisors
of conpliance inspectors. First-line supervisors shall meet these requirements
within one year of appointment to the supervisory position, if they have not
already done so. If the first-line supervisor directs inspectors/investigators
in two or more programs, the supervisor may need additional time to complete all
of the applicable Program-Specific Minimum Curricula, and should do so as soon
as practicable. Experienced first-line supervisors may be excepted from the
BJSIC Curriculum, but new ones may not. There may be limited exceptions to
program-specific requirements for new and experienced first-line supervisors.
d. Procedures for Exceptions.
(1) Health and Safety Training. Any exceptions to the occupational
health and sarety training requirements must be in accordance with Paragraph
9(d), EPA Order 144G.2, or the provisions of 1440.3.
-4-
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EPA ORDER 3500.1
6/29/88
(2) Basic and Program-Specific Minimum Curricula. In the Regions,
exceptions mast be anorovec by the Regional Administrator. Delegation below
this level may be maae to the Deputy Regional Administrator or a cross-regional
panel of 'managers established for this purpose, but excluding the immediate
first- or second-line supervisor of the individual for whom the exception is being
requested. For Program Offices with inspectors based in Headquarters, the
Assistant Administrator shall approve exceptions for those inspectors. Delegation.
below this level may be made to the Deputy Assistant Administrator, or Office
Director, or in the case of OECM, to the Director of the National Enforcement
Investigations Center (NEIC). The first-line supervisor shall prepare a written
request based upon guides for evaluating the previous knowledge, experience
and/or training of the inspector, and shall submit this to the approving official,
according to procedures adopted in the Region or Headquarters, whichever apply.
A copy of the approved written request shall be placed in the employee's official
personnel file along with other training records.
8. EFFECTIVE DATE.
a. Occupational Health and Safety Training. The requirements of EPA
Orders 1440.2 and 1440.3 are in effect and will remain in effect.
b. Basic and Program-Specific Minimum Curricula. This Order is effective
on the date o£ issuance; however, requirements are phased in as follows:
(1) New Inspectors. Beginning October 1, 1989, new inspectors shall
not lead inspections unless they have completed the Basic Curriculum, and have
conpleted, or have been formally excepted, from the Program-Specific Minimum
Curricula.
(2) Experienced Inspectors. Beginning October lr, 199i, experienced
inspectors shall not lead inspections unless they have conpleted or have been
formally excepted from the Basic and Program-Specific Kininun Curricula.
(3) First-line Supervisors. Beginning October 1, 1989, all first-line
supervisors shall meet the requirements of this Order or have been formally
excepted within one year of appointment to the supervisory position, or as
soon as practicable, for those with two or more programs.
(4) Contract Inspectors and Others. Training requirements for EPA
contract inspectors shall" be appropriately phased into future contracts or
solicitations involving compliance inspection work. These requirements shall
be incorporated into future assistance agreements awarded under the Senior
Enviroaoiental Employment Program involving compliance inspections.
9. RESPONSIBILITIES. This section lists the primary responsibilities for
implementing tnis Order. Appendix G of Reference 4(d) above contains a more
detailed list of responsibilities.
a. Assistant Administrator for Enforcement and Compliance Monitoring (OECM).
The Assistant Administrator for Enforcement and Compliance Monitoring is
responsible for:
(1) Updating this Order, and overseeing and evaluating implementation
of the overall program requirements every 3 years;
-------
cv 4£> vjo
(2) Developing, updating and disseminating student manuals and
instructor's guides for the Basic Curriculum to the Regions, coordinating the
selection of and maintaining a list "of instructors from the Regions and Head-
quarters; and
(3) Organizing a board of Senior Agency Managers from Headquarters
and Regions, and inspectors/ investigators to advise him/her in carrying out
the responsibilities listed above.
b. Assistant Administrator for Administration and Resources Management.
The Assistant Administrator for Administration and Resources Management is
responsible for:
(1) updating and providing sufficient materials for occupational
health and safety training, or approving non-E?A courses to meet the requirement
of EPA Orders 1440.2 and 1440.3, and reviewing program-specific health and safe-.
training.
(2) Training and evaluating EPA personnel designated as instructors
for delivering the Inspector Health and Safety Curriculum; and
(3) Coordinating and disseminating a timely schedule of classes
of the Health ar.c Safety, Basic, and Program-Specific Curricula, in consuitatior
with OEcx, Program Offices and the Regions.
c. Assistant Adninisrrators. The Assistant Administrators are responsible
for :
'!> Implement inn the recrjire.Tie.nts of this Older a.-.-J Agercy prorrar.
[Ptforencs 4id)j within their areas of jurisdiction, including periodically
eval uat inc ir.ple.Ter.tat icr. ;
(2) r-evelcrin^ . gating, and disseminating materials and schedules
fo: classc-s -r.-ier the Program-Specif ic Curricula, in consultation with Rosier.--
f.r-.z States, *r,c providinc'a plan oy octooer 30, 1936, for implementing tn-: 3d.;-.
or inspector? based in Headquarters;
" f
(2> Establish!.-.:; guides for first-line supervisors of inspector?
to •?-.ii.JSt-r f.v.^ trdi-.ir/; f-r.i development neens of compliance: insp-eotor? •• f i-rl':
:.r:Vcot..:atC'iS and apr rovln.: requests for exceptions;
(4) Determining who anona those inspectors/ investigators based in.
Headquarter;: are subject to chis Order, and reviewing and approving exceptio.-.s
to the training requirements recruested for these personnel.
(5) Ensuring in future contracts and assistance agreements awarded
•under the Senior Environmental Employment Program involving compliance inspect i
that training is required by means of statements of work or other appropriate
vehicles; and
(6) Establishing standing work groups including Regions, and States wrv
appropriate, to help carry out these responsibilities and to improve the quality
of the compliance monitoring function.
-6-
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EPA ORDEr. 250C.1
6/29/88
d. Regional Administrators. The Regional Administrators are responsible
for:
(1) Implementing the requirements of this Order and Agency program
[Reference 4(d)] within their areas of jurisdiction, including periodically
evaluating implementation;
(2) Determining who in the Region is subject to this Order, and reviewing
and approving any exceptions to the training requirements;
(3) Ensuring in future contracts involving ccnpliance inspections that
training is required by means of statements of work or other appropriate vehicles;
(4) Supporting in-house instruction for the Basic Curriculum, by
working with OECM to identify Regional personnel to serve as classroom instructors
and providing a Regional iajplmentation plan by Qctotaac 30, 1988; and
(5) Ensuring each program identifies States' inspector training needs
annually through the State/EPA Enforcement Agreements process; assisting States
in identifying ways to meet their training needs; and coordinating training oppor-
tunities.
e. Line Supervisors. Line supervisors in Program or Environmental
Service Divisions, are responsible for:
(1) Ensuring quality compliance inspections/field investigations using
performance standards, periodic appraisals, appropriate assignment- to ensure
development, and recognition of personnel engaged in the ccnpliance
monitoring function; and
(2) Identifying employees who require training, ensuring that employees
comply with the requirements of this Order, preparing requests for exceptions,
and maintaining records of actions.
f. Ccnpliance Inspectors/yield Investigators. Compliance inspectors/
field investigators are responsible for:
(1) Advising their supervisor about the history and extent of relevant
training and experience, and assisting in the preparation of an Individual Develop-
ment Plan to meet the requirements of this Order; and
(2) Applying and maintaining the knowledge, skills, and techniques
acquired through training to ensure that inspections/investigations are
accomplished in a technically and legally sound Banner.
A. James Barnes
Deputy Administrator
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•SB
*
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. O C
JU* I I33U
MEMORANDUM
SUBJECT:
TO:
Grants Administration:
Responsibilities
Organizational Roles and
Assistant Administrators
General Counsel
Inspector General
Associate Administrators
Regional Administrators
Staff Office Directors
Purpose
The purpose of this- memorandum is to restate and clarify the
existing agency poliqy on the assignments of roles and
responsibilities for grants administration activities in regional
offices. More specific implementing instructions will follow in
a memorandum issued by Charles L. Grizzle, Assistant Administrator
for the Office of Administration and Resources Management.
Background -
Effective administration of grant supported programs requires
the active participation of staff who are trained in a variety of
disciplines. Close coordination between and understanding of the
responsibilities of those participants is vital to the achievement
of program objectives. It is particularly important that the role
of the Grants Management Office (GMO) in Regional Management
Divisions be well defined and understood.
The GMO is one participant among several organizations
involved in the overall administration of a grants support program.
The fundamental role of the Regional Grants Management Office is
to complement technical knowledge of program officials with
expertise in the business and other nonprogrammatic areas of grants
administration. The GMO serves as the counterpart to the business
office of the grantee institution and, in this capacity, it is
responsible for all business management aspects associated with the
review, negotiation, award, and administration of grants through
audit resolution and final close out. a-~.
2 7
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-2-
Many decisions and determinations, including some of the most
important, should be made by program officials or with strong input
from program officials. Programmatic input typically is required
for factors such as determinations of the adequacy of an
applicant's plans to accomplish project objectives consistent with
national program guidance; the extent of a grantee's compliance
with programmatic requirements; and the quality and degree of a
grantee's programmatic performance.
| •• •>- . It is EPA's policy that the management of assistance
agreements is a partnership between Program and Grants Management
'Offices. In furtherance of this policy, all grants administrative
responsibilities will be performed by and consolidated into the
CMOs. under the Assistant Regional Administrators. This policy is
based on three fundamental management principles:
" (1) Efficient utilization of resources by providing a core
of business expertise without wasteful replication in
each program division and diversion of technical staff
to these duties.
f
(2) Clear accountability for business administration
responsibilities.
(3) A "checks and balance" relationship to assure
achievement of both programmatic and administrative
objectives necessary to program integrity.
Regional Administrators are accountable for assuring that
these principles are consistently fostered and implemented.
« •
The GMOs will be responsible for the overall business
management and administration of EPA financial assistance
agreements (grants and cooperative agreements), and Interagency
Agreements. The GMOs will provide full "cradle to grave1*
assistance management, from receipt of application, through award
and monitoring of projects, to audit resolution, and close-out.
The centralization of administrative and general management
functions in GMOs will provide the Regional Administrators with an
efficient single control and accountability point, permit the GMOs
to exercise their fiduciary responsibilities and provide adequate
"checks and balance." This will help assure that legitimate
program interests are balanced by recipient compliance with
equally important grants administrative requirements.
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-3-
In implementing this policy, Regional Administrators should:
review their organizational functional statements to determine if\
any changes of divisional functions will be required in their i
region. After this review, the Management and Organization *
Division, OARM (382-5000) should be consulted to determine the
appropriate procedures to be utilized in effecting the changes.
This policy comports with sound internal Agency-wide management
principles. At the same time, it is absolutely clear to Bill and
me that there is much critically important work yet to do in the
construction grants program, as it continues to build our water
quality protection infrastructure'.- This team must receive first-
class service. Accordingly, I would expect that the regions, in
conjunction with headquarters, would undertake a review nine months
after implementation of this policy to ensure that the new grants
relationship is operating smoothly and that the construction grants
program is receiving the service that it requires.
Henry Hafeicht II
Deputy Administrator
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
AJG TO !SSO
OFFICE OF
ADMINISTRATION
AND RESOURCES
MANAGEMENT
MEMORANDUM
SUBJECT: Implementation of Regional Consolidation of
Grants Administration Functions
FROM: Charles L. Grizzle
Assistant Administrator
TO: Assistant Administrators
General Counsel
Inspector General
Associate Administrators
Regional Administrators
Staff Office Directors
This memorandum provides the implementing guidance for the
Deputy Administrator's June l, 1990, policy directive to centralize
Regional Administrative Assistance management* functions under the
Assistant Regional Administrators. This guidance describes the
fundamental roles and responsibilities for Regional Grants
Management Offices.
The two attachments reflect the grants management offices
responsibilities in administering grant regulations under 40 CFR
Parts 30 - 35, and other grant regulations.
Attachment A summarizes the functions and activities for which
Regional Grants Management Offices are responsible. Attachment B
breaks down the functions into their constituent parts.
Please contact Harvey Pippen, Jr., Director, Grants
Administration Division on FTS 382-5240 if you have any questions.
Attachments
cc: Assistant Regional Administrators
Regional Grants Management Branch Chiefs
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ATTACHMENT A
GRANTS MANAGEMENT ROLES AND RESPONSIBILITIES
PREAWARD/AWARD
AMENDMENTS
- applicant/
project
officer
guidance
- application
kit develop.
- application
receipt/
review
- negotiations
meetings
- award/
amendment/
IAG prep-
aration
- information
management
ACTIVE GRANTS
MANAGEMENT
- reports
- terras and
conditions
- files mgmt.
- payment
approval
- Information
management
- project
status
assessment
- recipient
guidance
- report
generation
- procurement
actions
review
- statutory &
regulatory
compliance
CLOSEOUT
- property
account-
ability
- technical
reports
- final FSR
- close-out
amendment
- close-out
documents
- final
payments
-unliquidated
obligations
•/»
OVERSIGHT
- on-site
reviews of
financial,
procurement
and prop.
management
systems for
new and
existing
"recipients
- formal.
training
to
recipients
and project
officers
- regular
meetings
>• •
AUDIT
- entrance/
exit
conferences
- audit
reports/
resolution
- auditor/
management
assistance
- audit
tracking
- corrective
actions
followup
- disputes
GRANTS MGMT.
DIRECTION
- staff
development
- internal
policies and
procedures
- regulation,
policy
implementa-
tion
- internal
management
- regulation,
guidance
development
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Attachment B
GRANTS MANAGEMENT ROLES AND RESPONSIBILITIES
FOR ADMINISTERING GRANTS, COOPERATIVE AGREEMENTS AND
INTERAGENCY AGREEMENTS
PRE-AWAJU3/A WARD/AMENDMENTS
1. Applicant/Project Officer Guidance
• inform applicants/project officers of administrative requirements
- respond to questions from project officers and applicants
• send out application kits
2. Application Kit Development
• develop instructions
• develop sample application and attachments ?
• include attachments (e.g. MBE reporting, budget breakdown,
changes from prior FY, air MOE)
- include program specific instructions
3. Application Receipt/Review
- receive original application from applicant
- enter in GIGS
• distribute to other parties
- assure application completeness and perform and document
administrative/legal review (e.g. administrative assurances, authorized
signatures, intergovernmental review, suspension & debarment, cost
share/match levels and documentation, indirect cost agreement,
MBE/WBE requirements)
- conduct and document cost analysis of budget and back-up for
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Page 2
allowability, alienability, reasonableness
• ensure statutory and regulatory compliance
- coordinate administrative and programmatic reviews and assure that
administrative deficiencies are communicated to and resolved by
applicant/recipient
4. Negotiation/Meetings
• participate/conduct annual negotiation, pre-application
sessions with project officers and applicants
. assure adequacy of prospective recipient's financial, procurement,
and* property management systejns
5. Award/Amendment/lAG Preparation
r
- assure receipt of project officer approval memo (decision
memorandum)
• review and pre-validate commitment notices
• prepare grant document including cover letter and award
• assure that appropriate congressional notification occurs
• obtain appropriate signatures
• ensure inclusion of all appropriate conditions (admin.& program)
• mail out/distribute document
- send to finance for obligation of funds
• receive signed award document from recipient
• distribute counter-signed award document
- request LOG change
- enter award data into GIGS
6. Information Management
• implement and maintain RAGDS/GICS/TAMS
• assure quality control of data
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Page 3
ACTIVE GRANTS MANAGEMENT
1. Reports (e.g. Financial, Progress, Property, MBE/WBE)
• ensure and track receipt of all reports
• review/analyze for administrative impact and compliance with
admin/program requirements in conjunction w/program
• reconcile FSR with other financial reports
- identify and take follow-up action if reports overdue, incorrect, or
deficient
2. Terms and Conditions
V-
- ensure compliance wtyh any terms or conditions '-
• ensure and track receipt of any deliverables
• identify and take follow up action if deliverables are overdue or
deficient
3. Files Management
• maintain a list of the location of all documents
contained in the official file
• create and secure official grants management award file
- retire old files in compliance with Record Management Procedures
4. Payment Approval (LOG, Advance, Reimbursement)
- identify and resolve discrepancies/issues (external and internal)
- review advance/reimbursement requests (match, cost share, terms/
conditions, timeliness)
- coordinate approval/disapproval with Program/Finance
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Page 4
5. Information Management
• design milestone management tracking systems/develop reports
• analyze trends, recommend action
• manage grant workload
• coordinate automated program grant information
6. Project Status Assessment
• review finance report of grant balances
• coordinate findings (externally, internally)
• review rate of expenditure with percentage of work accomplished
7. Recipient Guidance
«M»
• interpret/implement assistance policy
• provide guidance, research
8. Report Generation
• '
• develop reports for program identifying status of unobligated and
unliquidated funds
• provide reports to program, finance, recipients
Procurement Action Reviews
• assure compliance with EPA Procurement Regulations (e.g. Parts 31,
33) by reviewing individual procurement actions and recipients'
procedures (e.g. cost and price analysis, contracts, model clauses) as
necessary
• follow up on any deficiencies or areas needing improvement
- coordinate with program
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Page 5
10. Statutory and Regulatory Compliance (Including Managing Deviations)
- ensure compliance
• receive and analyze deviation requests for appropriateness
- prepare recommendation for Director, GAD
CLOSE-OUT
1. Property Accountability
• provide disposition instructions to recipients, if applicable
- ensure receipt of property inventory report and review
<».
2. Technical Reports (from Recipient and/or Project Officer; Final Report,
End-of-Year, Mid-Year)
- ensure receipt of reports, review
- coordinate with project officers
3. Final FSR
i
- maintain tracking system in GICS (e.g. FSR receipt date)
- ensure receipt, distribute
- review/analyze
- reconcile with IFMS
- review final FSR for any unliquidated obligations or any
unobligated funds
4. Close-Out Amendment
- prepare close-out amendment
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Page 6
ensure compliance with carryover policy
ensure Finance Office makes any necessary adjustment to IFMS to
deobligate funds as appropriate
5. Close-Out documents
• prepare close-out documents (e,g. mexnos to project officers,
forms, letters to recipients, Cincinnati)
- prepare audit request before close-out if necessary
- review all close-out documents and ensure final approval by the
Award Official
- send close-out letter to recipient
6. Final Payments
- ensure receipt
- review, approve
OVERSIGHT
1. On-Site Reviews of New and Existing Recipients for
Financial, Procurement, Property Management Systems
- prepare protocol
- coordinate review with all involved parties
- conduct review as well as opening/exit conferences with recipient
- test transactions, as appropriate
- prepare report
- follow-up on findings and corrective actions
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Page 7
2. Conduct regular meetings with Program Managers and recipients
3. Formal Training to Recipients and Project Officers
• develop materials
• prepare training courses
• conduct training
• coordinate Headquarters sponsored training
AUDIT
1. Entrance/Exit Conferences
r
• coordinate
• attend
2. Audit Reports/Resolution
- receive/distribute/review
• coordinate agency position
- resolve audit findings and disputes
• prepare FDL, decision letters
3. Auditor/Management Assistance
• pull documentation, answer questions
- forewarn management and GAD (early warning system)
- respond to semi-annual reports to Congress
- serve as GAO liaison
• develop regional procedural guidance
- review/comment on new and revised audit regulations and guidance
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Page 8
4. Audit Tracking
• maintain a system for tracking audit status to ensure that 130 day
deadline is met
5. Corrective Actions Follow-up
- maintain system (MATS)
• track milestones
• coordinate with programs, recipients, Headquarters
- ensure that all due dates are met
6. Disputes
%•
• coordinate with Program and ORC
• develop Regional procedural guidance
GRANTS MANAGEMENT DIRECTION
1. Staff Development
- provide for training for the GMO office
. assess needs, (including task force participation) prepare,
attend, participate, follow-up on National Meetings
- attend and participate in National Grants Conferences and Branch
Chiefs Meetings
2. Internal Policies and Procedures
- develop
- implement
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Page 9
3. Regulation/Policy and Guidance Development
• comment
• develop Regional policy/guidelines
• participate on work groups
4. Regulation/Policy/Guidance Implementation
• understand, educate, coordinate
- implement
• revise as needed
5. Internal Management
w*
. •
- manage the GMO offices (e.g. workplan, performance standards)
-------
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e. N«t 9m«r»m outi«y« (Lnw « *d I Li*f a IIUIIHJ I
6)
13.
cumnomoN
iiOMAUiM of AUTMomiio currimxa omciAi.
I certify tnat to ti%« emt of my «no-'ao>»
and &•*!•< tn« *iNr(o »««<€
lUSHITTCO
COOt. NUMBK.
STAMOAMO
-------
INSTRUCTIONS
Pleas* type) or print legibly. Items 1. 3. 5. 9. 10. lie. lie. llf. llg. Hi. 12 and 13 are self-explanatory:
specific instructions for other items are as follows:
Itnn
Entry
ttn*
Sntri
Indicate wnetfler request it prepared on casn or ac-
crued expenditure basis. All requests lor advances
shall be prepared on a casn basis.
Enter tn* Federal grant number, or other identifying
number assigned by tne Federal sponsoring agency, if
tn* advene* or reimbursement is for more than on*
grant or other agreement, insert N/A: then, snow tn*
aggregate1 amounts. On a seoarat* meet. list *ecn
grant or agreemsnt number and the Federal snare of
outlay* mad* again** tn* grant or agreement.
identification number assigned by
a. or tne FICE (institu-
the U.S. Internal Revenue ' . .. .... __
lion) cod* if requested by in* Federal agency.
7 This soaca is reserve*] for an account number or other
identifying number mat may ba assigned by me
Enter the month, day. and year for the beginning and
ending of the penod covered in thts request. If tne re-
quest is for an advene* or far Both an advance and re-
imbursement, tnow tne period met the advance) «ml
coiier. If the raqueet 'S lor rsMnoursemeiH. shoo tne
penod for wnicn in* reimbursement i* <
Note: Th* Federal taorraonng tgencie* neve tn* ootnn of
reqwrmf reciuienu to complete item* 11 of 12. but not
Both, rtem 12 inouid b* used •men only e minimum
amount of mtormeoon is mad ad to make an advent*
and outtey information contained in rtem 11 can be
m a nroery manner from other uporrs.
11
The purooee of the .erneel columns (a). (o>. and (c), i*
use a* many additional form* a* needed and indicate
Dag* number m space provided m upper ngne now
ever, tne summary totala of all programs, functions.
or activities inouM be snontm in tne "total" column on
tne flrit pace.
lla Enter in "a* of dart", the momn. day. and y*ar of tne
ending of the accountini period to wnicn this amount
apoliem. Enter program outlay* to date (net of refunds.
rebate*, and discounts), in me appregnate column*.
For request* prepared on a casn Basis, outlays ar* tn*
sum of actual casn disbursement* for goods and serv-
ice*, tn* amount of indirect aipense* charged, tne
value of in-kind contribution* applied, and tn* amount
of casn advance* and payments made to lubcontrac-
ton and suOrecipient*. For requests prepared on an
accrued ampenditur* basis, outlay* ar* tn* sum of tne
actual casn disbursements, tn* amount of indirect n-
pansea incurred, and tn* net mcnase (or decrease) in
tne amount* ia«iad by tn* recipient lor goods and otner
property recened and lor services performed by am-
ptoyeee, uuntieuu, subgnntee* and otner payees.
lib Enter tne cumulative cash income received to date, if
requera ar* prepared on a casn Oasis. For requests
pntoared an an accrued expenditure oasis, enter tne
cumulative income aamed to date. Under either Basis.
ent*r only tn* amount applicable to prognm income
mat <••* required to be used for the protect or pro-
gram by tn* terms of tn* grant or other agreement.
lid Only vften making requests tar advance payments.
enter tn* total estimated amount of casn outlay* tnat
•M bo mede during me period covered by tn* advance.
protect na* bean planned and budget ad by program.
function, or activity. If additional column* are i
13
Comotet* the certification before lubmrttmg this
-------
United SUM*
Environmental Prottetion
Agency
Olfic« of
Planning end Management
Division of Financial Management
Washington.
August 1980
>fPA
Letter of Credit
Users Manual
-------
FOREWARD
This manual has been prepared by Che United States Environmental
Protection Agency to assist recipients of EPA funds in the use of
letter of credit procedures where authorized under EPA grants and
contracts. These procedures apply only when advance financing is
authorized and projected disbursements meet the criteria established
by the Department of the Treasury. I/hen authorized by EPA, recipient
organizations may obtain the necessary funds (Federal portion only)
to carry out a project agreement by submitting a payment voucher to
a commercial bank. The commercial bank obtains approval from the
Federal Reserve System to transfer funds to the recipient's account.
This method provides funds to a recipient organization as promptly
as they are needed to meet expenses and precludes the withdrawal of
funds from the Department of the Treasury earlier than necessary.
-------
ENVIRONMENTAL PROTECTION AGENCY
LETTER OF CREDIT - USER'S MANUAL
CONTENTS OF CHAPTERS
CHAPTER PAGE
1. GENERAL , ,.,..... 1
2. POLICIES AND PROVISIONS 2
3. ESTABLISHING LETTERS OF CREDIT 6
4 . CASH DRAWDOWNS '. , 11
3. REPORTING REQUIREMENTS , U
ii
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CHAPTER 1 - GENERAL
1. PURPOSE. Federal programs under grants or contracts which involve cash
advances to organizations outside the Federal Government constitute a
significant portion of the Federal budget. The timing of advance payments
to such organizations has a substantial impact on the Department of the
Treasury in its management of the public debt and financing costs. These
procedures (a) provide a system whereby the recipient organization may
promptly obtain the funds necessary to finance the Federal portion of a
project by presenting a payment voucher to a commercial bank which will
transfer funds to the recipient's account upon approval by a Federal
Reserve Bank, or branch and (b) preclude withdrawal of funds from the
Department of the Treasury any sooner than absolutely necessary.
2. METHOD OF OPERATION. The following is a brief outline of the letter of
credit procedures:
a. EPA makes a determination that a project will be funded through
the letter of credit method and requests certain information from the
recipient organization. .This information will include a statement
concerning the accounting competency of the recipient.
b. The recipient organization selects a commercial bank and provides
information concerning the selected bank to EPA.
c. The recipient organization designates the employees who are
authorized to drawdown funds against a letter of credit and certifies their
signatures to EPA on a signature card.
d. EPA certifies the signatures appearing on the signature card to
the Department of the Treasury.
e. EPA prepares a letter of credit. Copies are transmitted to the
Department of the Treasury and to the recipient organization.
f. The Department of the Treasury transmits the letter of credit and
the signature card to the applicable Federal Reserve Bank or branch which
services the commercial bank selected by the recipient organization.
g. The recipient organization executes payment vouchers against the
letter of credit to aeet its innediate cash needs and presents them to the
commercial bank for deposit. Moreover, the recipient organization provides
drawdown information on each grant or contract under the letter of credit.
h. The commercial bank credits the recipient organization1^ bank
account promptly upon approval of the voucher by the Federal Reserve Bank
or branch. EPA receives a copy of the paid voucher.
i. EPA reports to the Department of the Treasury on disbursements
under letter of credit procedures.
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CHAPTER 2 - POLICIES AND PROVISIONS
1. POLICIES. '
a. Cash advances shall be limited Co Che minimum amounts possible
and shall be timed Co be as close as administratively feasible Co Che daily
needs of Che recipienC organization. Federal funds may noC be used Co pay
for Che recipient's matching share of disbursemencs for liabilities
relating Co projecc costs.
b. Cash advances made by primary recipient organizations (chose
which receive advances direcdy from Che Federal Governmenc) Co secondary
recipients shall conform substantially to Che same sCandards of timing and
amount as apply co advances by Che Agency Co primary recipienC organlzaCions.
c. In instances where Che contract or grant agreement becveen Che
United States Environmental Protection Agency (EPA) and Che recipienC
organisation provides that the recipienC. organization shall pay 'a part of
Che projecc costs in cash, Che recipient organization shall provide its
pro-rata share of the cash on a current basis pursuanc Co Che agreemenc.
Generally, for instance, Federal funds should not be used exclusively uncil
exhausted and Chen Che non-Federal funds be used Co pay Che renaining project
coses.
d. Letters of credit generally shall be issued by an EPA Regional
Office. However, under certain conditions, Che Headquarters Office may
elect Co issue a letter of credit.
e. The map (Figure 2-1) on page 5 shows, among other Chings, Che
location of each EPA regional office and Che geographical boundaries
assigned Co each office. The mailing address of Che Headquarters servicing
office and of each regional office is shown in paragraph 3.
f-. All EPA programs which are not affected by the limitations and
excepcions listed in 2. below shall use Che letcer of credie technique in
providing Federal funds to the recipienC organizatons. The leCCer of
credic technique shall be used for procurement contracts which qualify.
However, these contracts are also subject to the provisions of the Federal
Procurement Regulations regarding contract financing.
g. In instances where the letter of credit recipienC organization is
operaCing more than one projecc under the EPA program, the grant amount
for each project shall be added together and, if the anticipated cash
requirements exceed $120,000 per year, a single letter of credic shall be
issued covering Che aggregate amount provided other limitations do not
preclude issuance.
h. Where a recipient organization consistenCly fails to comply with
the provisions governing the tiding of drawdowns or with reporting require-
ments, Che Agency may revoke the letter of credit in favor of the reimbursable
payment method.
-------
2. LIMITATIONS.
a. Letters of credit shall not be used in the following instances:
(1) When the disbursements are made, or will be made, on a
reimbursable basis, unless specific approval is granted by the Department
of the Treasury.
(2) When the aggregate annual amount required for advance
payment does not equal or exceed $120,000 per recipient.
(3) When the project(s) is not of a continuing nature of at
least one year duration.
(A) When a method other than letter of credit, but meeting the
objectives of the Department of the Treasury Circular No. 1075, has been
established by EPA and approved by the Department of the Treasury. These
objectives are identified in la, b, and c on the preceding page.
(5) When the existing Federal legislation specifies the timing
of payment in a manner which makes the letter of credit technique
impracticable.
(6) When the recipient is funded on a reimbursable basis,
except when the recipient is a non-profit organization participating in
a single letter of credit to a State.
b. Payment vouchers on letters of credit shall not be for amounts
less than $5,000 or more than $5,000,000 unless so stated on the letter
of credit.
3. LOCATIONS AND ACCOUNTING STATION SYMBOLS OF EPA OFFICES. The following
are locations of administering EPA offices and the eight-digit accounting
station symbols assigned to those offices. These symbols shall be used
exclusively for letters of credit transactions.
-------
OFFICE
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
Headquarters
Grants
Headquarters
Contracts
LOCATION
John F. Kennedy Federal Building
Boston, Massachusetts 02203
26 Federal Plaza
New York, New York 10007
Curtis Building
6th and Walnut Streets
Philadelphia, Pennsylvania 19106
345 Courtland Street, N.E.
Atlanta, Georgia 30365
230 South Dearborn Street
Chicago, Illinois 60604
1201 Elm Street
Dallas, Texas 75270
324 E. llth Street
Kansas City, Missouri 64106
Lincoln Tower Building
1860 Lincoln Street
Denver, Colorado 80203
215 Fremont Street
San Francisco, Calif. 94105
1200 Sixth Avenue
Seattle, Washington 98101
Accounting Operations Office
P.O. Box 18418
Las Vegas, Nevada 98114
Financial Management Division
EPA (MD-32)
Accounting Operations Branch
Research Triangle Park, N.C. 27711
8 DIGIT ACCOUNTING
STATION SYMBOL
68 13 9701
68 13 9702
68 13 9703
68 13 9704
68 13 9705
68 13 9706
68 13 9707
68 13 9708
68 13 9709
68 13 9710
68 13 9799
68 13 9722
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UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
FIGURE 2-1 MAP OF EPA REGIONS
-------
CHAPTER 3 - ESTABLISHING LETTERS OF CPHDIT
1. SELECTION OF A COMMERCIAL BANK.
a. The recipient organization shall selcrt a commercial bank which
agrees to receive payment vouchers drawn on th'e Treasurer of the United
States and to forward such vouchers to the applicable Federal Reserve Bank
or- branch. If feasible, the bank selected should be one in which a
minority group has an interest,
b. The recipient organization shall furnish the applicable EPA
office the following inforuiation pertaining to the selection of a
commercial bank:
(1) Name, address, and telephone number of the commercial bank
selected.
(2) Name and title of two principal officers of the bank.
(3) Title and account number of the recipient's bank account.
(4) Address of the Federal Reserve Bank or branch which serves
the commercial bank selected. (The recipient organization must obtain this
information from the selected commercial bank.)
2. AUTHORIZED SIGNATURE CARD (SF 1194). In the letter of transmittal or
other document providing the information required in paragraph l.b., the
name, title and signature of the official authorized to sign the signature
card must be shown. The signature card must be completed as follows:
a. The recipient organization shall submit to EPA two originals of
Standard Form 1194, Authorized Signature Card for Payment Vouchers on
Letter of Credit.
b. On the following pages are a facsimile of SF 1194 (Figure 3-2)
and an explanation of what information shall be entered in the numbered
blocks (Figure 3-3).
c. The Federal Reserve Bank or branch will accept only the signature
of persons named on current signature cards (SF 1194) on file. Recipient
organizations shall, therefore, submit new signature cards (SF 1194)
whenever there is a change, including additions or deletions in the persons
authorized to sign payment vouchers. Change in the title or position of a
person so authorized does not require a superseding signature card if the
person's authority to sign payment voucher (Form TFS 5401) remains
unchanged.
3. LETTER OF CREDIT (SF 1193). Figure 3-1 is the letter of credit
format. When the steps described in paragraphs 1 and 2 ar.e completed, a
-------
letter of credit is prepared by the EPA. The following is an explanation
of the information on the letter of credit and how used by a recipient:
BLOCK DESCRIPTION
(1) The letter of credit is prepared by the financial
management office of the issuing EPA office,
(2) The first four digits of the number assigned to the letter
of credit identifies EPA and the issuing office. The last
four digits identify the letter of credit. The Letter of
Credit Number is required on the payment voucher (TFS
5401). . .
(3) The letter of credit must be amended for (a) any increase
or decrease in the amount authorized; (b) a change in the
name of the recipient organization; (c) a change in the
title of the bank account; or (d) a change in the
commercial bank which requires a change in the Federal
Reserve Bank or branch. A statement should be included in
the amending letter of credit to explain any amendment
other than a change in the amount authorized.
(4) The AGENCY STATION SYMBOL identifies the accounting
station of the EPA office which is administering the
letter of credit. The agency station symbol is required
on the payment voucher (TFS 5401).
(5) For State recipients, the letter of credit is issued in
favor of the title (not name) of the official authorized
by the recipient's governing body to receive Federal
funds. For educational or other institutions, the letter
of credit is issued in favor of the name of the recipient.
organization.
(6) The name of the bank account, as specified on the
signature card by the recipient, is entered here.
(7) The letter of credit issued by the EPA office for an
amount which represents the maximum the recipient can draw
as designated. Any unused balance of the authorized
amount is automatically canceled at the end of the
designated period, and the full authorized amount is
reinstated at the beginning of the next period. The EPA
office should be contacted whenever the designated periodic
ceiling requires revision.
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ISSUING AGENCY
(1)
X. JU A
OF
CREDIT
Auih: TREASURY DErARTMENT
CIRCULAR No. 107). Rrv.wd
LETTER OF CREDIT NUMBER
(2)
AMENDMENT NUMBER
(3)
AGENCY STATION SYMBOL
(4)
(FOR AGENCY USE)
EFFECTIVE DATE
TO: The Federal Reserve Binlc,
BRANCH BANK AT
accordance with the authorization of the Fiscal Assistant Secretary, Treasury Department, there is
hereby authorized for the account and responsibility of the issuing agency a letter of credit:
IN FAVOR OF
(5)
FOR DEPOSIT ONLY TO
(6)
ACCOUNT
AMOUNT AUTHORIZED
(7)
EACH MONTH
EACH QUARTER
WITHOUT TIME LIMIT
PRIOR AUTHORIZATION
D
THIS CHANGE
Increase
Decrease
I 1 The unpaid balance of (his letter of credit will remain available until you are advised in writing by the
Treasury Department chat this letter has been revoked.
OR
I I The unpaid balance of this letter of credit is revoked at the end of each period indicated and the full
amount reestablished at the beginning of the following period until you are advised in writing by the Treas-
ury Department that this letter has been revoked.
V
The amount of this letter of credit is hereby certified to be drawn against, upon presentation to you of Form
TUS 5401, Payment Voucher on Letter of Credit, by the official(s) of the recipient organization whose sig-
nature(s) appear(s) on the Standard Form I 194, Authorized Signature Card for Payment Vouchers on Letter
of Credit, attached hereto or previously or subsequently furnished you through the Treasury Department.
The amount of each payment voucher paid by a Federal Reserve Bank or branch to a designated com-
mercial bank for credit to the account of the recipient organization shall constitute payment to the recipient
organization by the United States.
I certify to the Treasury Department chat (he payments authorized herein are correct and proper for pay-
ment from (he appropriations or funds legally committed and available for (he purpose, when paid La accord-
ance with the terms and conditions cited above.
1ATE CERTIFIED
AUTHORIZED CERTIFYING OFFICER
CPO: I9M—JH.flSS
TYPED NAME AND TITLE n»j-ioj
FIGURE 3-1 - LETTER OF CREDIT
-------
l>.«4««4 r*mt 11*4
4 T,Mlwy I*M IOOO
IUXOT ol A«o»«*t
AUTHORIZED SI
FOR PAYMEN
ON LETTER
Letter of Credit Issued in Favor of (Recipient)
(3)
GNATURE CARD " ' °(n" 4"U"JL""
OF CREDIT Federal Res^rve Bank
Issued by (Federal Agency)
(4)
SIGNATURES OF INDIVIDUALS AUTHORIZED (5)Q ONIY ONE SIGNATURE REQUIRED ON PAYMENT VOUCHERS
TO DRAW ON THE CITED LETTER OF CREDIT (6)(~j ANY TWO SIGNATURES REQUIRED TO SIGN OR COUNTERSIGN
Typed' Name and Signature
(7)
Typed Name and Signature
i CERTIFY THAT THE SIGNATURES ABOVE ARE OF THE INDIVIDUALS AUTHOR-
IZED TO DRAW PAYMENT VOUCHERS FOR THE CITED LETTER OF CREDIT.
(8)
OATI AND SIGMAtuM Of AUTMOIIZINC OMICIAl (ttdp.vwi
194-101
Typed Name and Signature
Typed Name and Signature
APPROVEDi
(9)
OAtl AND SICNATUlf Of AGINCT CHIi'TinG OfflCEl
FIGURE 3-2 STANDARD FORM 1194
-------
BLOCK
NUMBER EXPLANATION
1. Leave blank - to be completed by EPA.
2. Enter the city address of the Federal Reserve Bank or
branch which services the recipient organization's
selected commercial bank.
3. Enter the name, address, grant(3) number and contract(s)
number of the recipient organization. If additional space
is required, use the reverse side of this form for listing
grant(s) and contract(s) numbers.
4. Enter U.S. Environmental Protection Agency plus the
appropriate address of the applicable regional or the
central office which is to issue the letter of credit.
5. Enter an "X". Only one signature will be'required.
6. Leave blank.
7. Enter the typed name and signature of the officials of
the recipient organization wfio are authorized to execute
Form TFS 5401 - Payment Voucher on Letter of Credit.
8. Enter the date, typed name, title, and signature of the
recipient organization's official who is authorized to
certify the authenticity of the signature of individuals
authorized to execute Form TFS 5401-
9. Leave Blank - to be completed by EPA.
FIGURE 3-3. PREPARATION OF STANDARD FORM 1194
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CHAPTER 4 - CASH DRAWDOWNS
1. PAYMENT VOUCHERS ON LETTER OF CREDIT (FORM TFS S4 Dl ) . The recipient
organization shall execute a. Form TFS 5401 - Payment Voucher on Letter of '
Credit, each time it is determined that funds are needed to meet current
expenses. Figure 4-1 is a facsimile of Form (.TtS 5401 and Figure 4-2
contains instructions for the preparation of the payment voucher.
2. LIMITATIONS. Drawdowns may not be for amounts less than $5,000 or
nore than $5,000,000 unless so stated on the letter of credit.
3. DISTRIBUTION OF PAYMENT VOUCHERS. The executed Form TFS 5401 shall be
distributed as follows:
a.- Original and Duplicate and Triplicate - The recipient
organization shall present these forms to the commercial bank handling its
account for forwarding to (1) the appropriate Federal Reserve Bank or
branch, or (2) the Cash Division, Office of the Treasurer of the United
States, Department of the Treasury, if that cocsnercial bank is located in
the District of Columbia.
b. Quadruplicate - The recipient organization shall retain this copy
for its files.
4. SUPPLY OF FORM (TFS 5401) . The oavment vouchers which are pre-numbered
by the Department of the Treasury will be obtained from the EPA office
issuing the letter of credit.
5. PROJECT IDENTIFICATION. As drawdowns will be made as close as is
possible to recipient disbursements liquidating project liabilities,
identification of funds to individual grants or contracts will be reported
on the reverse of the payment voucher J.TF3 5401) . Show the grant or
contract number for each agreement under the letter of credit and the
portion of the drawdown pertaining to each. Only show agreements with
activity on the current payment voucher. As only the triplicate copy
reaches the program Agency (EPA), there is no need to reflect this
information on the original and duplicate copy.
11
-------
US
• ranamission lo roderal Rusoivc GanK.
PAYMENT VOUCHER ON LETTER OF CREDIT
rro at COLLECTED AS A NON-CASH ITEMI
I-TFRM fi ~non i "^ ^ ^"' dn«er'» »•«» »h»il be me neni of ihe dr«»er for the eoll<
VOUCHER NO LC.1FER Of CREDIT NO. ACCMCV LOCATION COOC DATE VOUCHER 0'
(1) (2) (3) (A)
NAME AND AOOOESS Or DRAWER NAME AND ADDRESS OF DRAWER'S SANK fEDERJ
(£.} (I}
AOJ \'J ftoim
s
I 294400(1
', U ii— ' SERIAL NO.
SYM8O1. 17-865
IAWN AMOUNT
$ ' (5)
kL RESERVE BANK OR BRANCH
(8)
tl FUNDS ON HAND
^^ / dnwe' i bank
J^}/r>pAe, (i2) • (11)
C '*-<*>'P Y (14)
1 TlllC)
(13)
I r.Hei
Tfriiu'r. debit i h« icneril iccouni of me U S. Tiniytr ind pif la (15) (16)
Tee ro»M exrn OCPAHTMCNT or TMC TREASURY _ FISCAL. SERvicS
TFS «-7« 5401 eo.TiON or 3-73. is oasonTe aoRCAO or ooveRN«eMT r.NANciAt O^KATIOMS T
EXHIBIT 4-1 FORM TFS-54Q1
-------
1. Enter the payment voucher number commencing with number "1"
for each letter of credit and progressing in consecutive
order. Amendments to the letter of credit will not
interrupt the progression.
2. Enter the letter of credit number exactly as shown on the
applicable SF 1193.
3. Enter Agency Station Symbol.
4. Enter the actual date that the payment voucher is presented
to the local commercial bank.
5. Enter the dollar amount of the drawdown against the letter
of credit. Each grant or contract number and the amount of
drawdovn applicable to each shall be shown on the reverse
side of Form TFS 54Q1.
6. Enter the name and address of the recipient organization.
The Information in this block shall be exactly the same
shown on SF 1193 and on SF 1194.
7. Enter the name and address of the commercial bank which
handles the recipient organization's bank account.
3. Enter the city location of the Federal Reserve Bank or
branch which services the local commercial bank, exactly
as it appears on the SF 1193,
9. Enter the total amount of unexpended Federal funds on hand.
10. Enter the "U.S. Environmental Protection Agency" and Che
address of the EPA office executing the applicable letter of
credit.
11. & 12. The name and title of the person authorized to sign payment
vouchers Cas evidenced by an executed SF 1194) shall be
typed in block 11 and the person so authorized shall affix
his signature in ink in block 12.
13. & 14. Mo entries are necessary since EPA does not require a
countersignature.
15. & 16. Leave blank. - to be completed by the Federal Reserve Bank.
FIGURE 4-2 INSTRUCTIONS TO COMPLETE FORM TFS 5401
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CHAPTER 5 - REPORTING REQUIREMENTS
1. RECIPIENTS' RESPONSIBILITIES. Recipients of Federal funds by way of
EPA.grants or contracts are responsible for reporting to EPA as required.
This chapter is concerned with the requirements when funding is obtained by
the letter of credit system.
2. RECIPIENTS' RECORDS. Records must be maintained to satisfy the
particular requirements of the programs awarding the grants or contracts.
For the purposes of the letter of credit system, such records must enable
the EPA to ascertain that the cash drawdowns are directly related to and
closely timed to the actual disbursements on account of liabilities
involving EPA supported projects. Moreover, the records must have the
capability of providing information as to the Federal share of accrued
costs.
3. REQUIRED REPORTS.
a. Financial Status Report. Form SF-269. This report, Figure
5-1, must be submitted for each project as required by the grant
provision 30 days after Che close of each fiscal year. In addition,
final reports must be submitted 90 days after Che end of the grant
period or Che completion of Che project or program. Extensions to
reporting due dates may be granCed if justified. The report will be
prepared in accordance wich Che insCruccionson Che reverse Chereof,
and forwarded Co Che appropriate grants administration office at the
addresses listed on Che applicable award document.
b. Report of Federal Cash Transactions. Form SF-272. This
report, Figure 5-2 and 5-3, oust be submitted 15 working days following the
end of each calendar quarter. The report will be prepared in accordance
wich the instructions on the reverse thereof, and submitted to the
cognizant EPA Finance Office at the addresses listed in Chapter 2.
4. ' ADDITIONAL INFORMATION,
AddiCional informaCion, concerning Che responsibilities of grant
recipienCs under Che lecter of credic financing raeChod, may be obCained
by concaccing Che granc recipienc's servicing EPA regional financial
managenenC office or Che following office:
Chief, Fiscal Policies and Procedures Branch
Division of Financial Management
401 M SCreeC, S.W.
Washingcon, D.C. 20460
(202) 755-4523
14
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FINANCIAL STATUS REPORT
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Told r*1«ti
(Lint t mi*** n«.
h. Total unnquM«l*4 oNI|illont
I l»«t:Non fodtril ih«t» o* u
obUftltont iKown on Rn« h
k. Toll! r*4 my
••
lh*l •*
•r» lor ttw purpo««i w<
terttt In tfM
(I)
Or AUIMORI7CD CtRTinriNO
rrrto OK PKINTID NAUC AND mic
177*1
OAft
sueuintD
> r>««c«««i w o
' CO. N. A- 11«
FIGURE 5-1 FINANCIAL STATUS REPORT
KPA FORM
-------
rcUtrxMi. OM^n i r\Mi«i»iwll'« Kcauxt oumbtr w
7. l»t Myniwtl michw numtxr
Give total number for this, period
S. Piftnml Voudiwi ttwtittt I*
9. Titiiurt cdccta rKdnd IvArlArr
or net ^«pon(rd)
1O. PERIOD COVERED BY THIS REPORT
FROM (m*n(A, t*v. »MT)
a. Cash on hand beginning of reporting period
b. Letter of credit withdrawal*
c. Treasury check payments
d. Total receipts (Sum of lines b and e)
e. Total cash available (Sum of lintt u and d)
f. Gross disbursements
g. Federal share of program income
n. Net disbursements (Line f minua fine g)
i. Adjustments of prior periods
j. Cash on hand end of period
TO (moot A. )
THIS SPACE FOR AGENCY USE
272-101
STANDARD FORM 272 (7-76)
PrttcriDcd by OfTic* of M«n«c«m«nt end Budl«t
Clr. No. A-liO
FIGURE 5-2 REPORT OF FEDERAL CASH
TRANSACTION SF-272
-------
Please type cr print icrjibly. Items 1. ?. 3. 6. 7. 9. 10'J. lOc. ICg. lUi. 101. 1 la, and 12 are self-explan;.:oiy.
specific instructions for otlier il'jms arc as (oiiows:
Item.
4 Enter the employer identification number assigned !iy
the U.S. Internal Revenue Sen/ice or FlCC (institution)
code, if required by the Federal sponsoring agency.
5 This space is resented lor an account number or other
identifying numbers that may be assigned by the
recipient.
8 Enter the month, day. and year of the beginninrj and!
ending of this protect period. For formula E'3°'s \ »ff
number in space provided in upper rirhl: however. :h<*
totals of all programs, functions or activities should lie
shown in column (g) of the first page. For agreement*
pertaining to several Catalog of Federal Domestic
Assistance procrams that do not require a further
functional or activity classification bri-jfccown. enter
under columns (a) through (f) th« title of the proc'am.
For grants or other jsustance agreements containing
multiple programs where1 one or IT.ore programs require
a further breakdown by function or activity, use 3
separate form lor each program ihnwmp !*»• epplcab'e
'(unctions or activities in the separate columns. Fo'
grants or other assistance 3grei.-mcr.ti containing sev-
eral functions or activ.ties which are funded from
several programs, prepare : lepa'ate term (or each
activity or function when requested by the Federal
sponsoring agency.
lOa Enter the nei outlay. This amount should be the same
.is the amognt reported m Line lOe of th» last r»port.
if there has Lecn an .irtiustment tc the .iricunt t.'iown
previously, please attach explanation. Shew zero if this
is the initial report.
lOb Cuter the total gross program outlays ('•** rebates.
refunds, and olfier discounts) for this report period.
including disbursements of cash realued as progr.im
income. For reports that are prepared on a c.ish
basis, outlays are the sum of actual cash disburse-
ments for goods and services, tne amount of indirect
e«cense charged, the value of in kind CGntnoutions
jcplied. and the amount ol cash advances and
payments made to contractors and subgrantees. For
reports prepared on an accrued e»penditure basis, out-
lays are the sum o( a :tual cash disbursements, the
amount of indirect eipense incurred, the value cf m-
^md contributions applied, and the net increase (or
decrease) in the amounts owed by the recipient for
goods and other property received and (or services
performed by employees, contractors, subgratitees. and
other payees.
ICc inter the amount of all prr.gram income rciM J.T m
this period thai is required by the term* and con-
ditions of the F-der.il awarj to be deducted from total
project costs. For repents prepared on a cash basis.
-nler th.; amount of cash -ncome recpived durmp The
reporting period. For reports urc-pared on an accruol
basis, enter the amount of income earnsd since
beginning of the reporting period. When the terms ir
conditions allow program income to bs added to the
total award, explain in remarks, the source, amo.mt
and disposition of the income.
lOf Enter amount pertaining to the non-Fec'eral share ol
program outlays included in the amount on line e.
10n
Enter total amount of unliquidated oL-!.Kjtions for tr
protect or program, including unliquidated obligation**
to subprantee* and contractors. Unliquidated oblif;?,/
'.-oni .no:
Cas.'i basis^-obligations incurred tut not paid;
Accrued expenditure basis—oblicnt-or.s incurred but
for which an outlcy has not been reccrdpd.
Do not include any amcur.ts H.r.t have tveen mcludorl
on lines a through g. On the fmjl report, line h should
>.ave a zero balance. '
10j Cnter »r.n Federal snare of unt ^i.-ifi.^tpct ctil-Actions
iliown on line h. The amc'j.'t shov.n on this lino ^hc'j'J
'Je the d.rference between the amounts on !:nes h on-1 ,.
1C* Enter th<» sum of the amounts ^hown on lines g and |.
If the report is final the r«port should not contain any
unliquidated obligations.
10-n En:er the ur.obli^dlcd bai.mc* ol Terlerdl fun-J5. T>-.is
amount should be the difference between lines k and I.
1 Ib Enter rate in effect during the reporting period.
I Ic Enter amount of the base to which tfy rate w#s applied.
1 Id Enter total amount of indirect cost charged during the
'eport period.
lie Enter amount of the Federal share charged during the
'eport period.
If more than one rate was applied during the prciect
period, include a separate schedule showing Car?s
against which the indirect cost rates were applied, the
respective indirect rates the month, day. and year the
indirect rates were in effect, amounts of indirect ex-
pense charged to the protect, and the Federal share ol
indirect expense charged to the project to date.
FICUkF 5-la
INSTRUCTIONS FOR PREPARING THF.
STATlo r.EPCP'."
-------
INSTTHUCrsONS
Please type.or print legibly. Items 1. 2. 8. 9. 10. lid. lie. llh, and 15 are self explanatory, specific
instructions for other items are as follows:
F.ntry
i'nfry
Ittr*
lla
1 ID
lie
Enter employer identification number assigned by the
U.S. Internal Revenue Service or the FICE (institution)
cod*.
If this report covers more than one grant or other
agreement, leave items 4 and 5 blank'and provide the
information on Standard Form 272-A. Report ol Fed-
eral Cash Transactions—Continued: otherwise:
Enter Federal grant number, agreement number, or
other identifying numbers if requested by sponsoring
agency.
This spJCe reserved lor an ji count numhef or other
identifying number that may be assigned by the re-
cipient.
Enter the letter ol credit number that aoo''»i to this
report. II all Jdvjnces ••«••<• made hy Trr,»M.ry c^rck.
enter "NA" (or not Ji>piic.i0ie jnd Icjve items 7 and 8
blank.
Enter the voucher number ol the last letter-of credit
payment voucher (Form TUS 5401) that was c/ediled
to your account.
Enter the total amount of Federal cash on hand at the
beginning of the reporting period including all of the
Federal funds on deposit, imprest funds, and unde-
posited Treasury checks.
Enter lotal amount of Federal funds received through
payment vouchers (Form TUS 5401) that were cred-
ited to your account during (he reporting period.
Enter the total amount of all Federal funds received
during the reporting period through Treasury checks.
whether or not deposited.
emplopee's share of benefits if treated as a direct cost.
interdepartmental charges .for supplies and services.
and the amount to which the recipient is entitled for
indirect costs.
llg Enter the Federal share of program income that was
required to be used on the protect or program by the
terms of the grant or agreement.
1 li Enter tht amount of all adiustments pertaining to prior
periods affecting the ending balance that have not
been included in any lines above. Identity each grant or
agreement for which adjustment was made, and enter
an explanation lor each adiustment under "Remarks "
Use plain sheets of paper if additional space is required.
1 11 Enter the total amount of Federal cash on rtjnri .it th«
end of the reporting period. This amount should include*
all funds on deuosif. imnreM funds, and u"rtepoWrt
lunds (line e, less line h. plus or minus line i).
12 Enter the estimated number of days until the cash on
hand, shown on line 1 1|. will be expended If more than
three days cash reqirements are on hand, provide an
eiplanadon under "Remarks" as to why the drawdown
was mad* prematurely, or other reasons lor the excess
cash. The requirement for the explanation does not
apply to prescheduled or automatic advances.
Ua Enter the amount of interest earned on advances of
Federal funds but not remitted to the Federal agency.
If this includes any amount earned and not remitted to
the Federal sponsoring agency lor over 60 days, explain
under "Remarks." Do not report interest earned on
advances to States.
13b Enter amount of advance to secondary recipients in-
cluded in item llh.
llf Enter the total Federal cash disbursements, made
during tn* reporting period, including cash received
as program income. D-sbursements as used here also
include the amount of advances and payments less
refunds to suCgranires or contractors, the gross
amount of direct salaries and wages, including the
14 In addition to providing explanations as required above.
give additional explanation deemed necessary by the
recipient and 'or information required by the Fedeial
sponsoring agency in compliance with governing legis-
lation. Us* plain sheets of paper if additional space
-------
FEDERAL CASH TRANSACTIONS REPORT
CONTINUATION
7°'n» form i* cumjilcteii and attached to Standard farm S7S only u-lien
••/•nrling mnre limn nnr yrant or nxsixtnnre firireetnfnt.)
2. RECIPIENT ORGANIZATION (G.«* ««M« ofilv ai tluxan in tttm t. SF ITt)
AoO'Ov»<3 by OHici of Mana(«m«nl and Budftt No. 80-HQ1SJ
1. FEDERAL SPONSORING AGENCY AND ORGANIZATIONAL
ELEMENT TO WHICH THIS REPORT IS SUBMITTED
J. PERIOD COVERED BY THIS REPORT (A., ifcoii* an SF ITt}
FROM (mofifA. dan. mar) TO 1 Month. rfa». »rar)
«
. List information below for each grant or other agreement covered by this report. Use additional forms if more space is required.
FEDERAL GRANT OR OTHER
IDENTIFICATION NUMBER
Slmw a subdivision by other identi-
innij number* if required by the
'riltrai Sponsoring Agency)'
(a)
RECIPIENT ACCOUNT NUMBER
OR OTHER
IDENTIFYING NUMBER
(b)
^
TOTALS (Should rorrtfjiond with amounts .ihown on SP S?S a.t
/..//./u-s: column (c) tl>e same n.t line lilt: column (d) the sum of linen
1 /JAnd lli'of tin* SF ST2 and cumulative ilislnimrmentx xliown on
i'.i^^Ppurf. A ttneli fTjjlnnatian of any difference*.)
FEDERAL SHARE OF NET DISBURSEMENTS
NET DISBURSEMENTS ><;ra.m
ro>»* "rttvrdi FOR REPORTING
PERIOD
(e)
$
5
CUMULATIVE
NET DISBURSEMENTS
(d)
$
$
STANDARD FORM 272-A (9-76)
Prttcnbcd by Office of Minigtmtnt and Budffl
CIR. NO. A-110
FIGURE 5-3 REPORT OF FLDEF.AL CASH
TRANSACTIONS -
rnNTTNTTATTDN - 7T>A
-------
£
REdf'si1*. j .i*;»..-,UC..TONS
_..' . u ..''.—. .—.II'
REQUEST FOR FUNDS
*?
SECTION 1— MESSAGE FORMAT
0
21030059
ROM
86500634
TYPE
1031
O. HEF AMOUNT
$ 20,000.00
FOR FINANCIAL INSTITUTION USE ONLY .
a PAID
OATF
Q REJECTED DUE TO: '" :
SPECIAL MANOUNG INSTRUCTIONS
REQUEST FOR FUNDS
•ENOCH
Central Bank
RO FINANCIAL INSTITUTION
.ECEIVEfl TOO FPA LCN ACN
REAS LOG A312 1/68128707 / 6813072 27 152 0 0 S
RON BOM
/ D47/* Ifl 7fll SS
OUR
/3-25-9V
.ON
Department of Agriculture
THIRD PARTY INFORMATION
/ 007442-01-0315,000.00 & OQ7436-01-0$5foOO.OO
SECTION II—CERTIFICATION (Muat Be Completed By Oraw«f)
I ctnty Uui iTui Request lor Fund* rv»» t>*»o drawn m accortianc* «<(n in« i«rms and conabons 01 tne lanw ol O»Cil oiad and tn«t me amount lor wn.cn drawn n
•op«r lor payment to tne «cooum ol in* driwvr at tn^_:lraw«r's financial muiuuon. I alto certify mat tr<* dau reported i» correct and tnal trie amount ol in« Request lor
unot ia not m exceM ol irnmeOiaie diiOuri«meni need*. / / *
ATE
March 25,
•ATE
March 25,
1991
1991
A-cL '- 1L_/X1 -Cxf-/ /x/^: -i / - /•' X-U' 1. J^Director
douN/^fif^njHE^ ^ '^T f ' //
7~T*LZf^€^*^7^/^-e--*-~^-^' •/
TITLE
Admin Secretary
Oril(;i\.tL—SUSMlT TO FI\.i\CJhL l\Si ITl' T/O\
"*i*tJK Form iSOS)
J 7&^^ft240.]tU
STANOAHO FOHM iaOS |f<». J-o
6-JiOO
-------
FINANCIAL STATUS "REPORT
(Short form)
2. Federal Grant or Otner identifying Numoer Assigned
By Federal Agency
t Federal Agency ana Organizational
to Wnor 01 is
z* in *oo'0on«f» oo«>
Q
d Tata Amount
e. Federal Share
12.
13. CerBftcncn- I ctrdfrio Lh« b««t of my tnowl*djt and belief Ut«t tMar«por(U correct a«d rampieu wvd that ail oatlmrt
unliquidated obllfttiont are for tW purport Mt fort* (• ike rvard
or Pmtad Name and
Tiiepnone (Av«« cod*, numoar and exian&on)
o< Autnonzed CerPyvig Otto*
Oav P*noo
out
Oy OU8
2fl9A (REV 4-»8i
*-'02 «o«3 A-nO
-------
FINANCIAL STATUS REPORT
(Short Farmt
Please type or print legibly The following general instructions explain how to use the form itself. You may need
additional information to complete certain items correctly, or to decide whether a specific item is applicable to this
award. Usually, such information will be found in the Federal agency's grant regulations or in the terms and
conditions of the award. You may also contact the Federal agencv directly.
Item Entry Item Entry
1. 2 and 3. Self-explanatory
4. Enter the employer identification number-
assigned by the U.S. Internal Revenue Service.
5. Space reserved for an account number or other
identifying number assigned by the recipient.
6 Check yet only if this is the last report for the
period shown in item 8.
7 Self-explanatory.
8 Unless you have received other instructions from
the awarding agency, enter the beginning and
ending dates of the current funding period. If this
is a multi-year program, the Federal agency
might require cumulative reporting through
consecutive funding periods. In that case, enter
the beginning and ending dates of the grant
period, and in the rest of these instructions,
substitute the term "grant period" for "funding
period."
9 Self-explanatory.
10. The purpose of columns. I, II and III is to show the
effect of this reporting period's transactions on
cumulative financial status. The amounts
entered in column I will normally be the same as
those in column III of the previous report in tkt
tame funding period If this is the first or only
report of the funding period. leave columns I and
II blank. If you need to adjust amounts entered
on previous reports, footnote the column I entry
on this report and attach an explanation.
lOa. Enter total program outlays less any rebates,
refunds, or other credits. For reports prepared on
a cash basis, outlays are the sum of actual cash
disbursements for direct costs for goods and
services, the amount of indirect expense charged,
the value of in-kind contributions applied, and
the amount of cash advances and payments made
to sub-recipients. For reports prepared on an
accrual basis, outlays are the sum of actual cash
disbursements for direct charges for goods and
services, the amount of indirect expense
Incurred, the value of in-kind contributions
contributions applied, and the net increase or
decrease in the amounts owed by the recipient for
goods and other property received, for services
performed by employees, contractors.
subgrantees and other payees, and other
amounts becoming owed under programs for
which no current services or performances are
required, such as annuities, insurance claims.
and other benefit payments.
IQb. Self-explanatory.
lOc. Self-explanatory.
lOd. Enter the amount of unliquidated obligations.
including unliquidated obligations to subgran-
tees and contractors.
Unliquidated obligations on a cash basis are
obligations incurred, but not yet paid On an
accrual basis, they are obligations incurred, but
for which an outlay has not yet been recorded
Do not include any amounts on line lOd that have
been included on lines lOa. b or c.
On the final report, line lOd must be zero
lOe. f. g. h and i. Self-explanatory
lla. Self-explanatory. '
lib. Enter the indirect cost rate in effect during the
reporting period.
lie. Enter the amount of the base against which the
rate was applied.
lid. Enter the total amount of indirect costs charged
during the report period.
He. Enter the Federal share of the amount in lid.
Note: If more than one rate was in effect during the
period shown in item 8, attach a schedule
showing the bases against which the different
rates were applied, the respective rates, the
calendar periods they were in effect, amounts
of indirect expense charged to the project, and
the Federal share of indirect expense charged
to the project to date.
269A u S«. &ics
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ASSISTANCE AEMDIISTRATION
5700
12/3/84
U-S. ENVIRONMENTAL PROTECTION AGENCY
EPA ASSISTANCE AGREEMENT/AMENDMENT
PAMT I • A0KTAMCX NOTIFICATION INFORMATION
I. ASSISTANCE IO NO.
3. OATS OP AWARD
4. MAILING OATE
0. AGREEMENT TYPE
A. PAYMENT MCTHOO
I L*mr of Croait.
7. TYPE OP ACTION
•. RECIPIENT
EIN NO.
1
9. PAYEE
10. RECIPIENT TYPE
11. PROJECT MANAGER ANO TELEPHONE NO.
17. CONSULTANT IWWT ConttrvftUm CrvtU Only I
13. ISSUING OP PICE /Clty/3tMUt
14. EPA PROJECT/STATS OPPICER ANO TELEPHONE NO.
IS. EPA CONGRESSIONAL LIAISON * TEL. NO.
!•. STATE APPL IO
-------
5700
ASSISTANCE ADMTNISTRATION 12/3/84
PART tl-APPROVeo BUDGET ASSISTANCE IDENTIFICATION NO.
TABLE A - OBJECT CLASS CATEGORY
(Nan - construction)
1. PERSONNEL
X. PRINOE BENEFITS
J. TRAVEL
4. EQUIPMENT
§. SUPPLIES
«. CONTRACTUAL
7. CONSTRUCTION
•. OTHER
». TOTAL DIRECT CHARGES
10. INDIRECT COSTS: RATE « BASE
11, TOTAL (Sn«r»: B—ifJ—* "- fmtim*mt *.\
it TOTAL APPROVED ASSISTANCE AMOUNT
TABLE a - PffOGMAM ELEMENT CLASSIFICATION
(Nomt— construction)
1.
X.
].
4.
t.
4.
7.
t.
».
IO.
1 1.
ij. TOTAL APPROVED ASSISTANCE AMOUNT
TABLE C - PROGRAM ELEMENT CLASSIFICATION
(Construction)
1. ADMINISTRATION EXPENSE ,
t PRELIMINARY EXPENSE
1. LAND STRUCTURES. RIGHT-OF-WAY
4. ARCNITECTURAL ENGINEERING BASIC FEES
S. OTHER ARCNITECTURAL ENGINEERING 'EU
4. PROJECT INSPECTION »EES
7. LAND DEVELOPMENT
• . RELOCATION EXPENSES
». RELOCATION PAYMENTS TO INDIVIDUALS AND BUSINESSES
10. DEMOLITION AND REMOVAL
11. CONSTRUCTION AND PROJECT IMPROVEMENT
IX. EQUIPMENT
IJ. MISCELLANEOUS
14. TOTAL CLMM-I rnrv 13)
IS. ESTIMATED INCOME (It ffftilr **,!»)
1«. NET PROJECT AMOUNT rt*M 14 mtmmm It)
IT LESS: INELIOIBLE EXCLUSIONS
I*. ADO: CONTINOENCIES
JO. TOTAL APPROVED ASSISTANCE AMOUNT
TOTAL APPROVED ALLOWABLE
SUOOET PERIOD COST
S
S
S
CPA
S700-2OA (ROT. M3)
"Igure 15-4A
-------
5700
ASSISTANCE AEMINISmATION 12/3/84
•A«T HI.AVAtO COMOtTIOMS
COMOITIOMS
The tweipieatcovwaaata aad agiaa that it will i«yadltioaaly iaitiate and timely coaelete the project work for
which ••aiataare haa baea awaiuad oader thia acreaaMat, ia acrrndaana with all applicable pioviaioaa of 40 CFH
Chapter I, Sobpart B. The recipient •aiiaiua, rcpreseota. aad aajeaa that it. aad ita eoatractora, •abooatoactom,
eaployeea aad repreeeatativea. will caayly with: (1) all applicable proviaioaa of 40 CFR Oiaptar I. Sobehaptar B,
INCLUDING BUT NOT LOOTED TO the proviaioaa of Appearilz A to 40 CFP Put 30. aad (2) aay special
coaditioaa set forth: ia thia ••airtaara aajeeaMat or aay aaatatance lannihunt punaaat to 40 CFR 30.425.
b S»gClAC COKOITIONi.
(For cooparatfre agrweiaeafa iae/ode toWoti/rcafj'oa op •oa«aanxa(Ma at EPA reapoaaiai/iftee ttmt rv//ec( ar
coiMrtaare to
-------
ASSISTANCE ADMINISTRATION
5700
12/3/84
ASSISTANCE IOEN1
iv
NOTE: The Agreement au»t be completed ia duplicate tad the Original cammed to the Gnats Administration
Division for Headquarter* • wards and to the appropriate Great* Administrations Office) (or State aad local
awards within 3 calendar week a after receipt or wtthia any extanaJoa of time aa may be granted by EPA.
Receipt of a written refuaal or failure to return the properly executed Junumiut within the preachbed tiaie, may
result ia the withdrawal of the offer by the Agency. \ay change to the Agreement by the recipieat subsequent
to the document being signed by the EPA Award Official which the Award Official determines to materially
alter the Agreement shall void the Agreement.
Of ft* A*0 ACCEPTANCE
The United States of America, actinc bv and throagh the U.S. Environmental Protection Agency (EPA), hereby offers
assistance/amendment to the ^^_^_^______^^^^^_^^^_^^^_^__________________
tor.
"' OHOAMI t ATIOW
.% of all approved costs incurred up to and not exceeding S
* for the support of approved budget period effort described in application (including all application modifications)
_^___^_^____^_____^_-_ included herein by reterence.
ISSUING OFFICE CGrmntm A&ummlrtlio* Otttco)
AWARD APPROVAL. OFFICE
OftGAMIZATtON/AOOMCSS
ONOADIZATIOM/AOOIIUS
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
SIGNATURE OF AWAMO OFFICIAL
HAMK AND TITLC
OATK
Thia Agreement ia subject to applicable U.S. Environmental Protection Agency natatory provisions sad aaaii
regulation. In accepting this award or amendment and aay payments made pursuant thereto, (1) the undersigned
represents that he ia duly authorized to act on behalf of the recipieat organisation, aad (2, the recipient agieaa
(a) that the award ia subject to the applicable provisions of 40 CFR Chapter I. Snbchaptar B sad of the provisions
of this agreement (Parts I thro IV), and (b) that acceptance of aay payments constitute* aa agreement by the payee
that the amounts, if aay fionad by EPA to hare been overpaid will be refunded or credited ia fall to EPA.
SIGNATURE
e PA F«*» 57QS-20A Ota*. 5-S3J
BY AMD OM 5BMALE OF THE PgSICMATgD ggClFlgMT OBCAMIZAT1OM
[ TYPCO HAMC AMO TITLE
Figure
DATE
FA0E 4 OF
-------
ASSISTANCE ADMINISTRATION
5700
12/3/8^
U.S. ENVIRONMENTAL PROTECTION AGENCY
• ASSISTANCE AMENDMENT
(Ootionml)
(Pfeeee reed inarracrfona on reverse)
, ~*toaTAMCE I.O. NO.
AMENDMENT MO.
MOT?... Th« origins! Amendment with oas copy oust b* executed sad fsrumxl to tils Grata AdsiiaistrsUoa Division for Headquarters
aasittsnce swards sad to the Crsats Admiaistrstioa Branches for State sad locsJl isaiataac* sward* within 3 east's slier receipt
or wichia say •xtension of tine is rosy be created la writiae, by EPA. Except as asy be otnerwite provided, ao costs es s result of "
the Amendment asy b« lacurred prior to the «ze•••
east In full force tad e/fee« sad ea6f set la mil eapWlciMe ararfaJesMi at 49 CfH Clm
ISSUING OFFICE
IM
££r'~£±Lp£r " * "'• "- " -"""^
THE UNITED STATES Of AMERICA BY THE UJ. ENVIRONMENTAL. PROTECTION AGENCY
SIGNATURE OF AWARD OFFICIAL TYPED NAMC ANO TITLE
DATE
BY ANO ON BEHALF Of THE DESIGNATED RECIPIENT ORGANIZATION
SIGNATURE TYPED NAME ANO TITLE
DATE
I70»ia«
•'•I
PREVIOUS EDITION IS OBSOLETE.
Figure 15-5
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5700
ASSISTANCE ADMINISTRATION ' 12/3/8U
GENERAL INSTRUCTIONS POR 6PA FORM 5700-208. ASSISTANCE AMENDMENT
(EPA Personnel
1. Uae of t'riis Aaaiatancg Amendment- Required for ail Assistance Amendments entered into pursuant to 40 CFR 30.900-1.
This form is not applicable to fellowship*.
2. Preparation of the Assistance Amendment.
a. The Assistance Amendment will be prepared by Grant* Administration Division for Headquarters Assistance Amend-
ments and by the Regional Grants Administration Office for regional awards.
b. All approved amounts should ba> rounded downward to the nearest dollar.
e. If so item is not applicable to th« Assistance: Agreement. pface "N/A" in the? corresponding block. DO NOT LEAVE
ITEMS BLANK.
d. Amendments should be) numbered consecutively under each award.
3. Transmittsi. Upon approval of an amendment award and S days after the Greats Information Branch, PM— 216. is notified.
the amendment document will be transmitted by certified mail (Verm receipt reooeafed) to the applicant for execution. An
additional copy of the Assistance Amendment will be transmitted to the) State agency for Wastewater Treatment Works Con-
struction projects.
4. Return Address. The recipient should be instructed in the tranamittai letter to return Headquarters Assistance Amend—
ments to the Grants Opet atioaa Branch, Grants Administration Division, and regional Assistance Amendments to the Grants
Administration Office of the appropriate regional office. It should be recommended that return tranamittai be made by cert-
ified mail.
5. Distribution. The final distribution of the executed Assistance Amendment copies shall be performed by the Grants Ad—
ministration Division for Headquarters awards and by the appropriate Grants Administration Office for regional swards.
• REPARATION INSTRUCTIONS BY ITEM
Appr opnatar and Accounting Data Supply appropriation account ing aad object cieaa data as indicated.
LJeacrtptfon ot Amendment! Supply concise description of iisenrlaiant indicating all deletions and addition to the) Assis—
tance Agreement. (Us« »nd artacA eddi'fiona/ «Aeefa it neceeaery.J
NOTE: Any change in the approved project wodt. approved budget, or the approved comaMocemeat aad completion dates
for the approved project or major phases thereof must be dated is thai Aaaistaace Amendment. Example: Assistance
Agreement. Page 1. Part 1. Item S. entitled "PROJECT MANAGER" is deleted ia its entirety. The following Item 5. entit-
led "PROJECT MANAGER" is substituted ia lieu thereof:
PROJECT MANAGER
a. Name (lot* Smith)
b. Title (Project Manejer)
c. Phone Number 123-4567
d. Address 1 00 Hmia St., Jficftown, USA
Award Approval Office. Indicate, the EPA program organisation title of the A ward Approving Official aad complete address.
Issuing Office. Indicate the Grants Administration Office fffaai/ijieafaia or R*4ioo»l) aad complete address.
Recipient Organization. Indicate the llegal' organisation title aad complete addreaa of the Recipient.
CPA r~m S7W_joe) <••»• 11-7
Figure 15-5A
-------
PESTICIDE APPLICATOR TRAINING
Evaluation Format
Evaluator
Date
Type
Location
Instructor/Extension
Nurier of Trainees
Did the presentation include the approved topics? Any ."no" ans--»er must be
explained.
4.
6.
£.
1C.
c.
Cc
D:
D.
cc
T\
oc
D
c:
Topics
Presentation | Require-ients Ccnmsnt
Method j Adequatelv Met No.
1 Yes
1
1
1
i
1
1
' i
!
i
!
!
1
i " I
xild all trainees see
.c tne trainer recuir*
.cl the trainer require
l^— ™ ^ 1 A ** i ^^*^ ^
-* '•tJ A C te X W* i •
No
!
i
!
:
i
•
| ^res : No
cr hear a6ecuately?l
; full attendance? |
1
'pe of participation (exam, worksheet, |
)en discussion, etc. ) . |
.c tne trainer provide inicrrrction en [
3ipletion of certification forr.? j
-------
/ 4 J / a ••
REVIEW FORM for PRIVATE APPLICATOR TRAINING SESSION
Reviewer's Name(s): ; Date of Session:
Affiliation:
Session Title: Location/State:
Purpose of a) For Initial Certification Only d) Also serves as
Training b) For Initial Certification OR commercial core
Program: Renewal of Certification session
c) Optional training session which e) Als; serves as
applicator may attend if he/she so comercial
chooses in addition to completing category
the required examination session
Length of session: Agency/Organization conducting training:
* applicators participating:
Other key participants/organizations associated with training session:
A. ELEMENTS INCLUDED AS PART OF TRAINING SESSION
Submitted Specific Reviewec
Open Closed to State Pass/ Grade during
Book Book for Review Fail Assigned Ungraded Session
1 . Pre-training exams
2. Post-training exams
3. Worksheet
4. Attestation Form Yes No
5. Attendance Roster Yes No
6. Monitored Sign In/Sign Out Sheet Yes No
7. Is the applicator required to obtain specific training material/study guides
prior to attending the session? Yes No
8. Are handouts used in the training session? Yes No
(If yes to *7 or #8, attach list of titles & brief description if appropriate.)
B. ISSUES ADDRESSED IN CURRENT FEDERAL REGULATIONS ON PRIVATE APPLICATOR COMPETENCY
Evaluation therms used in part for this section are: O * Outstanding; S = Strong;
SA = Sufficiently Addressed; NS = Needs to be Strengthened; NA = Not Addressed.
How well does the training session address the following?
Evaluation term:
1) Recognizing common pests to be controlled
and damage caused by them
0 Common features of pest organisms and characteristics
of damage/traces needed for pest recognition
Recognition of relevant pests
Pest development & biology as may be relevant to
problem identification and control
Notes:
Attach sheets as necessary — This applies to every "notes" section.
-------
B. ISSUES ADDRESSED IN CURRENT FEDERAL REGULATIONS ON PRIVATE APPLICATOR COMPETENCY (cor.
Evaluation terms used in part for this section are: O = Outstanding; S = Strong;
SA = Sufficiently Addressed; NS = Needs to be Strengthened; NA = Not Addressed.
How veil does the training session address the following?
Evaluation term:
2) Reading and understanding the label and labeling
information - including:
0 Requirement/necessity for use consistent with label
0 General format of labels & labeling
0 Understanding of product vs. chemical vs common names,
names, signal words and symbols, and precautionary
statements commonly appearing on label/ing
0 Classification of product (general vs. restricted)
0 Protective clothing and equipment statements
0 Environmental hazard statements
0 Preharvest or reentry restrictions
0 Storage and disposal instructions
0 Directions for use section:
- crop/animal/site
- dosage instructions
- timing & methods of application
- mixing directions (if applicable)
- pests to be controlled
0 When to read different sections of label/ing
Notes:
3) Recognizing local environmental situations that must
be considered during application to avoid contamination
0 Weather factors which affect pesticide
applications and why
0 Factors which affect drift
0 Factors which affect runoff and other aquatic
contamination (including formulation, site, amount
of pesticide, soil type, rainfall, drainage, direct
application to waterways)
0 Presence of wildlife, aquatic areas, bees and other
non-target areas
Notes:
4) Recognizing poisoning symptoms and procedures to
follow in case of a pesticide accident
0 Signs and symptoms o.f pesticide poisoning
0 First aid (including recognition of pertinent
information on Label) and other procedures to be
followed in case of a pesticide accident
Notes:
-------
-3-
B. ISSUES ADDRESSED IN CURRENT FEDERAL REGULATIONS ON PRIVATE APPLICATOR COMPETENCY (cc
Evaluation terms used in part for this section are: O = Outstanding; S = Strong;
SA = Sufficiently Addressed; NS = Needs to be Strengthened; NA = Not Addressed.
How well does the training session address the following?
Evaluation term:
5) Storage of Pesticides/Containers
0 Appropriate storage facility characteristics
0 Storage facility supplies
0 Proper storage and identification of pesticide
containers
Notes:
6) Disposal of Pesticides, Containers and Rinseate
0 Proper methods of disposing of excess pesticides
0 Proper methods of disposing of pesticide rinseate
0 Proper methods of disposing of used pesticide
containers.
0 Consequences of improper disposal (including
health, environmental and legal precautions)
Notes:
7) Legal Responsibility, Laws and Regulations
(and Liability Information)
0 Pertinent state/federal pesticide laws and
regulations not previously discussed
0 Types of situations in which applicator could be
held liable
0 Liability/penalties as yet another reason for
following information on labels/labeling and
other laws and regulations
0 The need for recordkeeping and how to keep
records
0 Other federal laws that affect pesticide
applicators (such as RCRA, FFDCA, CWA, SDA)
Notes:
-------
-4-
OTHER ISSUES ADDRESSED IN EPA/SFIREG C&T TASK FORCE S, ELSEWHERE
Certain issues which follow may have been mentioned briefly under one
of the headings in the preceding section.
Evaluation terras used in part for this section are: O = Outstanding; S = Strong;
SA = Sufficiently Addressed; NS = Needs to be Strengthened; NA = Not Addressed.
How well does the training session address the following?
Evaluation term:
8) Safety
0 Acute toxicity
* Chronic effects
0 Concept of accumulative effects
0 Concept that risk is a function of both
toxicity and exposure
0 Common routes of pesticide exposure
(oral, dermal, inhalation)
0 Protective clothing and equipment (including
body covering, aprons, gloves, hat, foot
coverings, goggles/face shields, respirators)
0 Care and maintenance of protective clothing
and equipment
0 Personal hygiene
0 Proper mixing/loading of concentrated pesticides
0 Closed handling systems
NOtPS:
9) Reentry and Worker Protection
0 Definition & importance of reentry intervals
0 Types of reentry intervals
0 Warnings to workers of reentry intervals
0 Content of warnings to workers
°. Early reentry
0 Other worker protection rules
Notes:
10) Pesticides
0 Types•of pesticides
0 Choosing the correct pesticide
0 Typical formulations (characteristics, advantages,
disadvantages, main uses)
0 Pesticide compatibility
0 Adjuvants
0 Factors which influence effectiveness or lead to
such problems as resistance to pesticides
Notes:
-------
-5-
OTHER ISSUES ADDRESSED IN EPA/SFIREG CST TASK FORCE REPORT & ELSEWHERE (continued)
Evaluation terms used in part for this section are: O = Outstanding; S = Strong;
SA = Sufficiently Addressed; NS = Needs to be Strengthened; NA =•Not Addressed.
How well does the training session address the following?
Evaluation term:
11) Pest Control Strategies
0 Insect and insect-like pests
- Insect control strategies
- Importance of accurate pest i.d. & timing in the
pest's life cycle in chemical control strategies
0 Plant disease pests
- Plant disease control strategies
- Types of chemical control strategies
- Importance of timing & coverage
0 Weeds
- Weed control strategies
- Types of chemical control strategies
- Importance of timing in chemical weed control
strategy
0 Mollusk control strategies (if appropriate)
0 Vertebrate control strategies (if appropriate)
Notes:
12) Application Equipment
0 Typical agricultural pesticide spray equipment
(characteristics, advantages, disadvantages,
and main uses)
0 Nozzle patterns and materials
0 Sprayer selection, use and care
0 Granular applicators (characteristics, advantages,
disadvantages, main uses, selection, use and care)
0 Chemigation equipment (characteristics, advantages,
disadvantages, main uses, selection, use and care)
0 Cleanup of equipment after use
Notes:
13) Calibration
3 Mixing soluble and wettable powders
0 Mixing liquid concentrate formulations
0 Determining size of area to be treated
0 Considerations before calibration of sprayer
0 Selecting nozzle tips
0 Adjusting nozzle output
0 Swath width a how to calculate it
0 Field calibration of sprayers (as applicable)
0 Calibration of granular applicators (as applicable)
Notes:
-------
-6-
OTHER ISSUES ADDRESSED IN EPA/SFIREG C&T TASK FORCE REPORT S ELSEWHERE (continued)
Evaluation terms used in part for this section are: 0 = Outstanding; S = Strong;
SA = Sufficiently Addressed; NS = Needs to be Strengthened; NA = Not Addressed.
How well does the training session address the following?
Evaluation term:
14) Proper Transportation of Pesticides
Notes:
15) Groundwater Contamination
0 Nature of groundwater
0 Factors that affect groundwater contamination
such as properties of pesticides, properties
of soil, conditions of site, management
0 Local groundwater conditions
0 Applicator Practices/Preventive Measures
(How applicator practices impact on groundwater
contamination.)
0 Laws and Regulations (Legal consequences of
contaminating groundwater)
Notes:
16) Endangered Species
0 Definition & importance
0 Endangered Species Act
0 Ways pestcides may harm endangered species
0 Concept of habitat
0 Label/ing changes to initiate endangered species
use restrictions
0 Sources of further information
Notes:
17)
Responsibility of applicator to use pesticides
properly in order to protect such products for
future use and supervision responsibilities of
certified applicators.
Notes:
-------
-7-
TRAINING AIDS
Evaluation terms used in part for this section are: 0 = Outstanding; S = Strong;
SA = Sufficiently Addressed; NS =* Need to be Strengthened; NA = Not addressed.
1) Is there a question/answer period?
Did the audience actively participate in the session?
Notes:
2) Are slides or viodetapes used in the training session?
If yes, for what subject areas?
How well do the slides/videos relay the intended
message?
(Attach list of slides/tapes/materials etc. used
& brief description as appropriate)
Yes_
Yes"
No
~No~
Yes
No
Evaluation Term:
Notes:
3) Is there any "hands-on" training incorporated
into the training session? Yes
If so, please briefly explain.
How effective is the hands-on training?
Notes
No
Evaluation term:
4) If worksheets or exams are used in the training
session, are the answers to the questions reviewed
before the training session ends? Yes No_
5) If handouts are used, are they referred to in the
training session? Yes No_
Do the handouts provide information relayed during the
session? Yes No
Does the information in the handouts go beyond that
provided in the session?
Notes:
Yes No
6) Was the audience given an opportunity to evaluate the
training session at its conclusion?
Is trainee feedback used in the session?
Notes:
Yes
Yes
No
No
-------
C. TRAINING AIDS (continued)
7) Are there breaks provided during the training session if
appropriate? Yes No
notes:
8) Was the overall setting for the training session conducive to
the receipt of training? Yes No
Was the following adequate?
Lighting Yes No
Temperature Yes No
Seating (No./Arranganent) Yes No
Accoustics Yes No
Was there a limit set on the maxljnuin
nunber of trainees allowed to attend
the session? Yes No
Notes:
-------
SUMMARY EXPLANATION OF EXAM EVALUATION V/ORKSHEETS
The Pesticide Examination Evaluation Worksheets should provide a mechanism
for evaluating exams with relative ease and guidance for persons when
constructing exams.
The numbers in parentheses on the right margins indicate the percentage
of the total questions which should fall into the various categories and
subcategories of the standards of competency. Slight variations are to be
expected but they should not be to the degree that the subject is inadequately
covered. A rule of thumb should be that each percentage not deviate more or
less than 25%. For example, if a category has (40) percent designated, the
percent of questions should range between 30 and 50 percent. The 20 percent
given to "other" should not be exceeded but may be zero. Any percentage more
than 20 for "other" should be equally distributed in the remaining category
standards.
Any.person who constructs exams which deviate beyond the given percentages
may submit a written explanation as to why in his opinion such is warranted.
The grant manager will review and provide approval or disapproval to the pro-
posal within 15 days of such a request.
When a question falls into two or more categories, enter at each
appropriate line and circle each entryGJ Questions directly related to
needs identified through enforcement activities will be identified by
marking a box around the question number [~s_ I. Other questions dealing with
national priorities should be identified with an asterisk 5*.
In very few cases the approved state standards of competence go beyond
40 CFR 171.4. In such cases, the evaluator should list these category
standards and provide a footnote explanation.
In the event the state has a subcategory or category specific to a
particular use the evaluation key percentages may need to be adjusted.
For example, a subcategory such as stored grain pests (fumigation) may
need only about 15% under applicable pests as there are a smaller number
of pest species in this category. Also, an argument could probably be
made that a subcategory dedicated to household pest control may need a
greater percentage of questions under applicable pests. All deviations
should be coordinated with the lead agency and agreed upon by the evaluator
in advance of exam construction or revision if at all possible.
Questions which directly address measures intended to prevent pest
infestations and/or pesticide applications may be considered as indirectly
related to exposure since such practices are expected to result in less
or no pesticide use and thus little or no potential for such exposures.
-------
GENERAL STANDARDS
Label and Labeling Comprehension (10) Question Number
General format and terminology ______________
Understanding of instructions, warnings, and
other commonly appearing information ______________
Classification
Necessity for use consistent w/label _______________
Other (identify)
Safety (15)
Toxicity, hazard to man and exposure routes
Common types and causes of accidents
(includes chronic health effects)*
Precautions to protect applicators and
others nearby from injury
Protective clothing and equipment
(includes proper use and disposal)*
Symptoms of pesticide poisoning
First aid and other procedures
Identification, storage, transport, handling
and mixing
Pesticide and container disposal
(includes disposal methods)*
revention of childrens access to pesticides
nd containers
Other (identify)
Environment (20 )
Potential consequences of use/misuse
Weather and climate factors
Types of terrain, soil or other substrate
Presence of fish, wildlife, and other
non-target organisms (includes endangered species)*
Drainage patterns {includes surface and groundwater)*
Other (identify)
Pests ( 10)
Features and damage characteristics
Recognition of relevant pests
Biology relevent to problem I.D. and control
Other (identify)
'national enforcement priorities
-------
Pesticides (10)
Types
Formulations
Compatibility, synergism, persistence
and animal and plant toxicity
Use hazards and residues
Factors influencing effectiveness or
leading to resistance
Dilution procedures
Other (identify)
Equipment (10)
Types:
Advantages
Limitations
Use, maintenance, calibration *
Other (identify)
Application Techniques (15)
Methods of procedure used to apply various
formulations, solutions and gases and which
technique to use
Proper use, unnecessary use and misuse
Drift prevention and other loss into the
environment
Other (identify)
Laws and Regulations (10)
Federal
State
Other
•national enforcement priorities
2 Of 11
-------
ART toil cural - PI ant
Question tlo.
Toinl
Practical Knowledge of crops/peats
Ultimate food and feed use (residues)
Re-entry Intervals
Pre-lurves t Intervals
Pliytotoxlclty
Potential for envlromaencal contamination
Non-target Injury
Community problems related to ag. use
Oilier (Identify)
Agr 1 cultural-Animal
Knowledge of :
Animal/Animal Pests
Specific Pesticide Toxlclty
Specific Residue Potential
Formulation Hazards
Application Techniques
Age of Animal Hazards
Animal Stress
Extent of Treatment Hazards
Other (Identify)
(35)
(5)
(5)
(5)
(5)
(10)
(10)
( 5)
(20)
(40)
(10) <
(10) <
(10) <
(10) "
(20)
3 ot 11
-------
Forest . Question No. Total
Knowledge of forests, forest numerics (10)
and seed production
Pests:
Identification • (30)
Cyclic Occurrence
Population dynamics
Programming applications (10)
Ulotlc agents and their vulnerability
to pesticides (10)
Practical knowledge of methods mini-
mizing effects on aquatic habitats (10)
mid wildlife
Proper use of specialized appllc. (10)
equip, as relates to weather and
adjacent land use
Other (Identify)
(20)
of. 11
-------
Ornamental and/or Turf (circle us approprlotc) QucsLI on Mo. Total '%
Pest problems associated with ornamental: (35)
Trees
Shrubs
Plant Ings
Turf
Recognition of potential phytotoxIc1ty (5)
Drift (15)
Persistence beyond the Intended period (5).
Methods to minimize or prevent hazards to:
Humans (Includes applicators) (20)
Pets
.Other domestic animals
Other (Identify) (20)
5 of 11
-------
Greenhouse
Question No.
Totnl X
Pest problems associated with: ('i5)
Trees
Shrubs
Plant Ings
Potential phytotoxlclty (10)
Persistence (5)
Methods to minimize or prevent hazards:
Humans (Includes applicators) (20)
Pets
Other domestic animals (20)
Other (Identify)
Seed - Treatment
Types of seeds requiring cheiolcnl protection (15)
Factors which Influence binding >•><) may
affect germination:
Seed coloration (20)
Carriers
Surface active agents
Hazards associated with: (35)
Handling
Sorting and mixing
Misuse of treated eeed b'y Introduction
Into food or feed channels
Disposal of unused treated seed (10)
Other (Identify) (20)
-------
Aquatic , Question No.
Knowledge of secondary effects caused by
Improper rates (20)
Incorrect formulations
Faulty application
Practical knowledge of:
Water use situations (10)
Potential downstream effects (10)
Practical knowledge of effects on:
Plants (40)
Fish
Birds
Beneficial insects
Other organisms
Other (identify) (20)
7 of 11
-------
of Way Question No. Tntnl
Practical knowledge of wide variety of (10)
environments (waterways, other terrain)
Practical knowledge of potential problems: (20)
Runoff
Drift
Excessive foliage destruction
Ability to recognize target organisms (20)
Practical knowledge of herblcldeu:
Nature , (20)
Containment
Adjacent area and community Impact of (10)
application
Applicator safety
Other (Identify) (20)
0 of 11
-------
Industrial. Institutional. Structural niul
Health Related
Question Mo.
Total
Applicable pests:
Ident1fleatIon
Lire cycles
Pesticide types and formulations
Exposure and contamination of:
Food
Pets
Habitat
Hunan exposure hazards to:
Babies
ChiIdren
Elderly
Appl1ca tors
Other (Identify)
(Identify bubcatc£or
OB appropriate)
(30)
(5)
(15)
(30)
(20)
U of. 11
-------
Public Health
Quest I on No.
Totnl
Vector/disease trnnsmlssIon
Pe s t s :
RecognltIon
Life cycles
Habitats
Practical knowledge of a wide variety qf
environments: (Streams, Buildings, etc.)
Non-clieinlcal methods:
Sanitation
Waste disposal
Drainage
Other (Identify)
(20)
(30)
(20)
(10)
(20)
Rcgulatory
Practical knowledge of:
Regulated pests
Applicable quarantine laws and
regulations
Environmental Impact of pesticides used
for suppression and eradication
Factors Influencing Introduction,
spread and population dynamics
of pests
Knowledge of problems in areas
beyond normal duty areas
Other (Identify)
(35)
(10)
(20)
(10)
( 5)
(20)
-------
Demonstration and Research
Problems:
B1oaccumulatIon
Blowugnlflea 11 on
Persistence
Pests
Population levels
Pest ic ide-organlsin interaction
Integrating pesticide use wltli oilier
control methods
Other (Identify)
Quest Ion No.
Total I
(30)
(25)
(25)
(20)
•11 of 11
-------
•.•>«***'.«
TlS"
POLICY ASP PROGRAM
TO IMPLmDcf THE MANZATORY DUALITY ASSURANCE PROGRAM
1. ffJRPOSg. This Order establishes policy and program requirements for the
conduct of quality assurance (OA) for all environmentally related measurements
performed by or for this Agency.
*
2. EACXGROUNT*. Agency policy requires participation in a centrally managed
OA program by all EPA organizational units supporting environnentally related
measurements. Under Delegation of Authority 1-41, "Mandatory Ouality Assurance
Prograrr." (dated 4/1/B1), the Office of Itesearch and Development (ORD) is the
focal point in the Agency for quality assurance policy and is responsible for
developing OA requirements and overseeing Agencywide implementation of the OA
program. ORD established the Quality Assurance Management and Special Studies
Staff (QA.MSS) to serve as the central managenent authority for this prograru
The OAM.5S activities involve the development of policies and procedures; co-
ordination for and direction of the implementation of the Agency OA progra-;
and review, evaluation, and audit of program activities involving environrientsl
monitoring and other types of data generation.
The Agency OA prograr. embraces many functions including: establishing OA prlicy
and guidelines for development of prograr. and project operational plans; establishing
criteria and guidelines for assessing data quality: serving as a OA information focal
point; auditing to ascertain effectiveness of OA inplementation; and identifying and
developing OA training prograns.
3. GO»kL.c AS"D POLICY. The primary go^l of the OA progra-. is to ensure that
all environnentally related measurements supported by the EPA produce dat = cf
knc*-n quality. TT^e quality of data is known when all components associate::
with its derivation are thorougMy documented, such docunentation being verifi-
able and defensible. It shall be the policy of all EPA organizational units to
ensure that data representing environmentally related measure-ients are of kno-.
quality. Derisions by managenen-,. rest on the quality of environmental data;
therefore, program managers shall be responsible for: 1) specifying tho quality
cf the data req-jired fror. environmentally related measurements and 2) prov i d i r\:
sufficient resources to assure that an adequate level of OA is performed.
All routine or planned projects or tasV.s involving environmentally related
me a serene .its shall be undertaken wjLh an adequate OA project plan that spec
da*.a quality goals acceptable to the data user and assigns responsibility lor
these goals.
In discharging its responsibility for implementing the Agency-*r,andated Ouality
Assurance Prograrr., the ORD/OAM55 will strive for consensus by sulrutting for
revirv proposed policies and procedures to affected prngran offices and'recions.
&psponsit>llity for adjudication of unresolved issues, with respect to tfv above
and OAT.SS conducted audits, will be at the lowest level of authority consistent
with the scope of the issues. The OA*iS£ will refer issues which renain un-
resolved at lo*er levels of authority to the AA/ORD for decision, after con-
sjltation with the appropriate AA or RA.
-------
REGION VII
MODEL STATE QUALITY ASSURANCE PROGRAM PLAN
1.0 Quality Assurance Program Plan
Identification Form
2.0 Background
The Environmental Protection Agency (EPA) is making quality
assurance one of the highest priorities in the area of environmental
monitoring. EPA policy requires all EPA-supported monitoring programs
to develop and implement QA plans which cover all monitoring and
measurement activities within their purview and which ensure that all intra-
and extramural monitoring activities are consistent with Agency policies
and guidelines.
All Environmental data generated and processed such as the following
are included: :
1. Air
2. Drinking Water
3. Water Quality
4. Solid and Hazardous Wastes
5. Toxic Substances
6. Pesticides
. 7. Radiation
This document is the Qualtiy Assurance Program Plan for the State
of . The State of is implementing the Quality
Assurance Program on a state-wide basis and will- insure that the QA
program will have sufficient resources and authority to support the EPA
national program effort.
3.0 Quality Assurance Policy
3.1 Goals
The goal of the QA program within the State of is to ensure
that all environmental data obtained within the state for EPA will be
scientifically valid, defensible, and of known precision and accuracy.
This goal can be achieved by ensuring that adequate QA steps and pro-
cedures are used throughout the entire monitoring process (from initial
study planning through data usage).
-------
3;2 Policy
It is the policy of the .State of that:
(a) All environmental data generated for the EPA will be of known
quality and will meet the needs of each program's intended use(s)
of the data. The data quality information developed with all
environmental data will be documented and will be available to
EPA and other data users.
(b) The intended use(s) of the data (and associated level of needed
data quality) will be defined before the data collection effort
begins, when feasible, and will take into account the needs
of secondary users, as appropriate. The intended data uses,
• level of quality, specific QA activities, and data acceptance
criteria needed to meet the data quality needs of these uses, will
be described in each monitoring activity's QA Project Plan.
(c) An acceptable and cost-effective program of QA activities will
be developed and implemented at the onset of each data collection
effort to help ensure that the necessary level of data quality
is achieved.
(d) All state monitoring activities will ensure that acceptable QA •
requirements are included and implemented in all applicable
extramural procurements funded by EPA.
(e) Each program which generates environmental data will develop a
Quality Assurance Project Plan following the guidance provided
in EPA's Interim Guidelines and Specifications for Preparing
Quality Assurance Project Plans" QAMS-005/80, December 29,
1980, and will ensure that adequate resources (both monetary and
staff) are provided to support the quality assurance effort, and
will be responsible for implementing the plan. The QA Project
Plan will specify the mechanism by which timely corrective action
can be taken when data quality becomes degraded. The Project Plan
will specify the detailed procedures to be followed to assure
quality data.
(f) Each program will designate a person who is responsible for QA
activities within the program. This QA coordinator will be
responsible for maintaining documentation for all QA plans, and
communication with EPA.
4.0 Quality Assurance Management
Line managers have overall responsibility for the implementation of
all quality assurance requirements.
-------
4.1 Responsibilities of the QA Coordinators (QAC)
(a) The QA coordinators are responsible for coordination of all
aspects of QA activities within their purview. They will keep
upper level management and the EPA Regional Office Informed of
QA needs, problems, and overall status.
(b) The development and maintenance of state QA programs will be
Integrated into the overall State/EPA Agreement (SEA) "process.
4.2 Communication/Reporting
Lines of communication and reporting of QA program status/needs will
be maintained to ensure that effective QA programs are implemented
within the state. All QAC's will have direct access to the Program
Managers or Laboratory Division Directors on specific QA matters as
problems arise. It is important that the QAC's keep responsible
management informed, at all times, of the performance of the data-
production systems and of any program problems and needs. It is
also important for the responsible management to adequately respond
to identified program problems and needs (including needs for resources)
and to ensure their resolution.
By May 1 of each year, the QAC's will submit a QA Status Report to EPA
Region VII, Environmental Services Division Director. These reports
shall contain at least the following types of information:
Status of QA Plans,
Data quality assessments, to include:
Accuracy
Precision
Completeness
Representativeness
Comparability
Significant QA problems, corrective actions, progress, plans and
recommendations,
Results of performance audits,
Results of system audits,
Summary of QA-related training, and
Other information specifically requested by state management and
• EPA Region VII.
-------
4.3 QA Program Review and Audit
Several activities are necessary to ensure an adequa'
program operation, review, audits, and QA plan appro'
outlined below.
(a) Review of QA Program and Project Plans:
As part of each QAC's responsibility for QA pro
existing programs, future program plans, study/
experimental designs, and extramural procuremen
for adequacy, and be modified as necessary. Th
ensure -that acceptable QA/QC activities and req
included, that proper QA was considered at the
and that the project will be able to produce da
quality in a reliable and cost-effective manner
(b) External Reviews/Audits of Performance:
Effective management of the QA activities requi
program assessment, on which corrective actions
Therefore, all state programs will allow. their
extramural monitoring programs to be subjected
or audits of performance:
- Systems and performance audits and
comparison studies shall be conducted on
extramural (e.g. , contractor laboratories) monl
within the state as arranged by the appropriate
These audits will assess the adequacy of, and c
respective QA plans.
5.0 Personnel Qualifications
All monitoring personnel shall possess adequate exps
knowledge to perform satisfactorily all technical t<
6.0 Facilities, Equipment, and Services
The state ensures that the following are maintained
(a) acceptable facilities (e.g., lighting, ventila
noise levels, etc.) in their laboratory.
(t>) acceptable utility services (e.g., electricity
purity, pressure, and supply of water and air,
laboratory.
-------
(c) acceptable general laboratory equipment (e.g., air conditioners,
furnaces, generators, refrigerators, incubators, laboratory hoods,
sinks, counters, etc.) in their laboratory.
(d) acceptable monitoring equipment
The above applies to any contractor receiving State/EPA funds for
monitoring.
In order to ensure consistently high data quality in the state programs,
plans for routine inspection and preventive maintenance will be
developed and followed for all facilities and equipment.
7.0 Data Generation: General QA Requirements
Adequate QA must be applied throughout the entire monitoring process
to ensure that the data which is produced is of known and acceptable
quality. It is important that essential QA "elements" be incorporated
into the several major activities/steps of the monitoring process (as
appropriate). Those QA elements which will be incorporated into
monitoring activities (both in-house and extramurally procured) by
all program offices are outlined in EPA's Guidance documents "Interim
Guidelines and Specifications for Preparing Quality Assurance Project
Plans, QAMS-005/80, December 29, 1980. The specific'requirements and
level(s) of effort applicable to these QA elements will be described
in the QA Project Plans which will be prepared for each monitoring
program.
8.0 Data Processing: Reduction, Manipulation, and Storage of Data
Adequate precautions must be taken during the reduction, manipulation,
and storage of data in order to prevent the introduction of errors,
or the loss or misinterpretationn of the data:
(a) Proper checks will be made at all data handling points between
the analyst (who determines the data values) and the individual who
enters the data into the data storage system, inclusively.
- All data must be recorded clearly and accurately on all field
or laboratory bench data sheets, and be periodically checked.
- All data must be transferred and reduced from field and bench
sheets completely and accurately, and be periodically checked.
- All field and bench sheets will be retained in permanent files
for a reasonable time period.
-------
(b) An acceptable data storage and information system will be used.
This system will be capable of:
- Receiving all properly reduced data.
- Screening and validating all data to identify and reject
outl.iers, errors, or otherwise unacceptable data.
- Preparing, sorting, and inputting all acceptable data into
the data storage files (which are either computerized or manual).
- Providing all stored data points with associated data quality
descriptions.
- Making all data readily available to potential users.
9.0 Data Quality Assessment
The quality of all data must be assessed after it is generated and
before it is used in order to ensure that it is satisfying the intended
data user's needs and QA Project Plan requirements. This assessment
should focus on five basic aspects of the data:
(a) Accuracy - Can the data's accuracy be determined, how was it
determined, and is it acceptable for the planned use?
(b) Precision - Can the data's precision be determined, how was it
determined, arid is it acceptable for the planned use?
(c) Completeness - Is a sufficient amount of data available for the
planned use?
(d) Representativeness - Generally, how well does the data represent
actual conditions at the sampling location, considering the original
study design, sampling methods, analytical methods, etc., which were
used?
(e) Comparabil ity - Generally, how comparable is the group of data
with respect to several factors, including:
- consistency of reporting units
- standardized siting, sampling, and methods of analysis
- standardized data format relative to applicable criteria and standards
All of these factors will initially be considered when designing a
study, and will be addressed in all QA Project Plans.
-------
10.0 Corrective Action
As described in Section 4 ("Quality Assurance Program Coordination/
Management"), line managers are responsible for overviewing all
aspects of QA activities within their realm of responsibility,
including both identifying, and responding to (and resolving) identified,
QA program problems and needs. It is important that all supervisors
(with sufficient support by upper management) take appropriate
corrective action when, how, and where necessary to resolve the problem(s).
Also, upper level management as well as the Region VII Quality Assurance
Office should always be kept adequately informed of all program problems,
needs, and overall status.
Each QA plan will specify system control limits that will indicate the
need for corrective action when they are exceeded, and will also
describe procedures and requirements for establishing and maintaining
QA reporting or feedback channels to the appropriate individual (including
the program manager) to ensure that early and effective corrective
action can be and is taken when data quality falls below required limits.
11.0 Irr.pl ementationn Requirements and Schedule
In order to effectively and satisfactorily implement the mandatory QA
program, several on-going actions are required.
ACTION DATES
1. Prepare and submit QA Program 5/1/each year
Status Report.
2. Preparation of QA Project Plans on-going
not previously addressed.
3. Review and update of QA Program and on-going
Project Plans.
4. Participation in sample perfor- annually
mance or system audits.
-------
IJ.'iO.JA Page 16 of 20
Attachment 3
GENERAL GUIDANCE FOR EVALUATING QUALITY ASSURANCE PROJECT PLANS
rim information provided in this section summarizes the rnqii i romont:r. --.nt-
Lorth in the document entitled, "Interim Guidelines for the Preparation oL
Quality Assurance Project Plans".
l. Title Page
a. project title
b. names of principal investigators
c. approval/signature lines for appropriate authorities
d. document control format
:. Table of Contents
.1. the 16 essential elements
b. list of Appendices
c. Jistribution list
J. Project Description
a. statement of purpose/objectives
b. overview of project activities
c. background informat.ion/site history
d. statement of intended data usage
e. schedule of events
;. Project Organization and Responsibilities
a. identity of key organization / individuals responsible for:
- overall QA/QC
- sampling operations and sampling QC
- laboratory analyses and lab QC
- data review and validation
- performance and systems audits
b. line authority for all referenced organizations
2A Objectives and Criteria
a. for each method/technique and matrix, quantitative DQOs for
precision, accuracy (bias), and completeness
b. CQOs for representativeness and comparability
c. CQOs consistent with the intended use of the data, capability
••: t.K.e measurement process, resources and cost.
Sampling Procedures
a. sample types
b. map of locations to be sampled
c. sample locations and frequency
d. technique or guidelines used to select sampling sites
e. field QC samples
f. specific sample collection methods
g. description of sampling devices
h. containers
-------
i'cVif 1 .' • > I .' ()
.. preparation of sampling equipment and containers
j. anaiytes of interest
:<. holding tines
1. preservatives
m. transport and storage
n. coordination with the laboratory
o. sampling records
Sample Custody
a. field custody procedures for recording:
- the sample number
- the exact location where the sample was collected
- date and time of sampling
- specific preservation method
- other considerations associated with sample acquisition
- transfer of custody and shipment
- labels containina all necessary :nfornation
- examples cf forms, tags, records, -etc.
b. lab custody procedures
- transfer cf custody and receipt or samples
- sample custodian
- custody within the Lab
- lab storage, handling and disposal
ibration Procedures and Frequency'
a. methods/procedures for calibrating field and laboratory equipmen
b. frequency of calibration
o. • ••quipment log books for ma intenancrr -uid repair
•J . -.:a 1 ibrat ion documentation procedures Lor recording:
- dates of calibration
- •-. r..incin rds used
- personnel perrcrmina calibration
- pertinent environmental conditions
- results cf calibration (raw data)
- corrective actions taK.en
Analytical Procedures
a. full written procedure including all steps and options cr
reference to approved method and regulatory requirement
b. laboratory capability consistent with method requirements
z. .-.ethod consistent with DQOs
Jata ."eduction, Validation and Reporting
a. units for all determinations
b. equation used to calculate ccncentrations (may be in netted retero
c. raw data requirements and storage
d. blank data handling procedures
e. criteria used to accept or reject data
CC sample data
data deliverables
acticn levels against which to compare results
-------
I .; .;n ->A
1 ;i ,, f
internal gc Checks
a. type and frequency of field and laboratory QC samples
(replicates, spiked samples, split samples, blanks)
b. calibration standard, internal standard, reagents checks
c. acceptance or control limits are specified for both field and
lab checks
Performance and System Audits
a. audits for field and lab activities
b. individual conducting audits
c. audit checklist
d.'acceptance criteria
e. schedule of audits
Preventive Maintenance
i. schedule of preventive maintenance tasks
::. list cc critical spare parts
.'jjeciCio JOPs Used to Assess Cata Precision. Accuracy,
opresentativeness and Completeness
a. .T.ethod of collecting QC data
b. equations used to calculate precision, accuracy and completeness
c.• statistical procedures for analyzing QC data
Corrective Actions
a. a plan to detect out-of-control situations
b. pre-determined limits for data acceptability
c. individual responsible for initiating and approving corrective acticn1
."A P»?pcrrs to Manaaement
i. -.ypc and frequency ot reports
•t content
-------
V <_ h ' ^ 0 , -' / /
1. COMPLAINANT
Confidentiality Requested ( )Yes ( )N:o
Name, Address of Complainant
Telephone J Agency/Company
Complainant Identif--
( ) Resident ( ) Worker
( ) Gov't Official ( ) Other
2. LOGGING DATA
Date Received [Time Log "
Received by [Referred by
via ( )Phone ( )Visit
( )Letter ( )0thec
Special Response Instructions
3. DESCRIPTION OF INCIDENT
General Descript ion/Anount of Pesticide
Nace of Pesticide Product(s) involved,
EPA Registration No:
Date of Incident [Ongoing since
4. HUMAN EXPOSURE
Direct Human Exposure
^B ) Actual ( ) Potential .( ) None
Site Location
( ) Residential ( ) Workplace
( ) Remote ( ) Other
Area ( ) Accessible ( ) Inaccessible
Public Water Supply
( ) None nearby ( ) Unknown
( ) Nearbv (distance )
Details of Hunan Exposure
Exact Location of Problem
Name, EPA Establishment No. of:
Manufacturer:
Dis tributor :
Applicator: N.irae and Address
5. ENVIRONMENTAL EXPOSURE
Waterway /Surface Water ( ) None nearby
( ) Nearby (distance )
Animal or Bird Exposure
( ) Actual ( ) Potential ( ) Unknown
Groundvater Contamination
( ) Actual ( ) Potential
( ) None ( ) Unknown
Agriculture/Food Processing in Area
( ) No ( ) Yes (Describe)
Details of Environmental Exposure
6. NOTIFICATION/CLEANUP
Responsible Company Notified Corrective Action Taken Problems Remaining
( ) No ( ) Yes (Date ) ( ^No ( )Yes (Describe)
7. EPA RESPONSE
C ) Pesticides Enforcement ( ) Refer to Other EPA ( ) Refer to Other
Responsibility Program Agency
Pesticides Enforcement Action Indicated
Folluwuo Priority: ( ) High ( ) Low
Action Taken
Referred to (Name, Agency/Program)
Date Referred /. ^tt: Re ison1!'-- Irjf-
Copies to
t
Follow-up to Referral
-------
In-ixienc
Dace ot
Ldent
Log »
Use this worksheet to assist in determining the type and
level of response. Assign points to each category based
on evaluation of incident. Worst case: 200 points.
Suggested response levels:
100-200 points-Priority 0-100 points-Routine
Evaluaxor
Date of Evaluation
FACTORS
POINT OPTIONS
POINTS ASSIGNED
Public Health Effects
o Likelihood of exposure
to human population:
Actual.
Probable .
Potential.
Unknown
Up to 100 points
based on
level of exposure
^MM^M^^^MMM^B^^^^W^J^VW^HHH^H
80 to 100 points
60 to 80 points
40 co 60 points
20 to 30 points
Environmental Health Effects
o Likelihood of exposure
to the environment:
Actual.
Probable .
Potential.
Unknown .
Up to 5j) points
based on
level of exposure
40 to 50 points
30 to 40 points
20 to 30 points
10 to 20 points
Enforcement Considerations
Up to 20 points
o Need for legal action
o Enforceability
o Itmijediate action to obtain evidence that
otherwise would be lost or destroyed
o Other:
Public Concern
Up to 10 points
o Need to respond to expressions
of concern from the public
Judgmental Factors
o Type, quantity, toxicity of material
o History of responsible party
o Remedial actions taken by party
o Frequency of occurrence
o Reliability of information source
. o Ocher:
Up to 20 points
State Enforcement Priority
100 Points
~ ~ TOTAL s
RZSPONSE DETERMINATION
ROUTINE PROGRAM ACTIVITY
( )Inspection (as part of neutral
inspection scheme)
( )Telephone, letter to responsible
party
( )0ther:
PRIORITY RESPONSE
Comments:
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION VII
324 EAST ELEVENTH STREET
KANSAS CITY MISSOURI - 64106
.Date
CERTIFIED MAIL
RETURN RECEIPT REQUESTED
Mr. John Hagan
Federal/State Coordinator
Bureau of Pesticide Control
Plant Industries Division
Missouri Department of Agriculture
P.O. Box 630
Jefferson City, Missouri 65101
Dear Mr. Hagan:
In accordance with Section ?7(a) of the Federal Pesticide Act of 1978,
we are referring the following complaint(s) of pesticide misuse to your
office:
Si ncerely yours,'
Leo J.
Chief, Aoxyc and Pesticides Section
Air and WdKre Compliance Branch
Air and Waste Management Division
Enclosure(s)
-------
, \3 l
-f
r
original
Update _
Request Date /
Referral Type 27
Origin 07
Referral Sequence
FTTS TRACKING SYSTEM FOR
26/27 REFERRALS
(Date Referral Received by EPA)
Destination (State)
Legislation £
Complainant Name:
Address:
City:
(Federal Number 01,02, etc.)
(IA,KS,MO)
_Site Name:
_Address:
.City:
Referral Date / '_ /
Inspection Target /
Inspection Conducted
*Inspection Completed
*Analysis Received /
Enforcement Warranted:
Enforcement Target
Enforcement Issued /
(Date Referral Called to State)
(Add Five Days to Referral Dnte)
_/ (Date Inspection Initiated)
' (All Reports Submitted)
'__ (Date Received by SLA)
' (Thirty Days After All
Documentation Collected)
(Date Action Issued or Completed,
Referral to County Attorney, etc.
*Action Taken 1
Action 2
Action 3
Remarks (Include Fine(sj/Cannot Exceed 35 spaces)
WL=Warning Letter, ACC= Administrative Civil Complaint,
RCA=Refer to Co. Atty., S.C.=Settlement Conference,
LM=License Modification, LS=License suspension, LR=Licens<;
revoked, CM=Certificntion modified, CS=Certification suspended,
CR=Certification Revoked, REPA=Referred to EPA.
ENW=Enforcement Not Warranted
Pcviscd 5/31/90
-------
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
This is to certify that
r\
an employee of
whose signature encXjViotograph appear below, is a duly designated inspector
for the Environmentar^f rolection Agency.
DATE ISSUED
EPA FORM 3940-28 (REV. 4-7D STATE INSPECTOR'S CREDENTIAL.
REPLACES CPA FORM S920-6 WHICH MAY BE USED
\\
This person is authorized to draw samples, secure
information a ndT^perds^n nd otherwise make in-
vestigations in corVnectioriswith the enforcement
of the federal Insecticide, fungicide, and Roden—
ticide Ac
SIGNATURE OF INSPECTOR
REGIONAL ADMINISTRATOR
EPA FORM 3S4O-24 (REV. 4-781
Printed on Recycled Paper
-------
NAME (last,first.m.i.)
CREDENTIAL NO.
CREDENTIAL
ACKNOWLEDGEMENT
STATEMENT
I acknowledge receipt of the above-referenced EPA Credential. I understand
that it Is to be used only in the performance of my official duties for the
U.S. Environmental Protection Agency, and that in the event I am reassigned,
transferred, terminated, or otherwise 130 longer require this credential, it is
to be surrendered to CREDENTIAL OFFICER, OCM (EN-342).
I also understand that I am not to use this credential for other than official
purposes and any misuse could result in disciplinary action.
DATE
SIGNATURE
EPA Form 1400-1 (Rev. 1-81)
PREVIOUS EDITION IS OBSOLETE.
-------
X A
WORKER PROTECTION SCHEME
States have begun conducting worker protection activities
•funded in part by OPP ("program") and OCM ("enforcement."). The
grant guidance distinguishes between program activities and
enforcement activities but seems to ask -for similar activities
within each section; and, in some cases, allows states to decide
whether those activities will be funded with program money or
enforcement money.
The following is an attempt to outline activities under the
whole worker protection scheme and identify for the states and
the regions which activities are "program" and which are "en-
forcement". Activities are arranged in a chronological order of
anticipated occurance.
(ENFORCEMENT)
(PROGRAM)
Ensure compliance with
tion requirements.
current worker protec—
II. Compile mailing list of regulated community and
other persons who should receive copies of the
final rule.
(ENFORCEMENT)III.
(PROGRAM)
(PROGRAM)
Between effective date of the rule and effec-
tive dates for compliance, and during routine
inspections, notify prospective constituents of
the provisions of the rule.
IV. Develop an implementation strategy.
B.
(PROGRAM or
(ENFORCEMENT or
(a combination w/
(state determinations)
Establish interagency coordination.
Outreach/communi cati ons
communication strategy).
(= compliance
a. Maintain and use mailing lists.
b. Disseminate outreach materials.
c.. Identify and present programs to reg-
ulated sector; may be in cooperation
with other agencies.
d. Other.
(PROGRAM)
(ENFORCEMENT)
C. Design a training program or adopt req-
uirements for employers to develop a
training/education program.
D. Develop, submit, and implement a comp-
liance monitoring strategy.
a. Identify any communications (refer to
B, above) to be supported with en-
forcement funds.
b. Describe and document interagency co-
-------
ordination for worker protection en-
forcement.
c. Develop an inspection targeting
scheme.
(ENFORCEMENT) V. Conduct inspections, investigate complaints &
tips, track, use National Checklists.
(ENFORCEMENT) VI. Send personnel to EPA-sponsored training on
the new Worker Protection Rule. State may also
develop training if Region VII approves.
(PROGRAM and VII. Reporting as required by guidance.
(ENFORCEMENT)
-------
•> I V..
United Slates Environmental Protection Agency
__ •^•^k ^^ Washington. DC 70460
^K-f •""HpX Pesticides Enforcement and Applicator Certification
^^ !"• * * Cooperative Agreement Output Projections
Pomi fo bo completed by Slate agency and submitted with application lor Cooperative Agreement
Stale
Enforcement Projections
Inspections
Protected Per Quarter
1
2
3
4
Inspections Projected (or Fiscal Year
^ Physical
Samples
Projected Per Quarter
1
2
3
4
Samples Projected tor Fiscal Year
Agricultural
Us«
Foflowup
Form Approv-nd
OMSNo ?070-0(I3
Fxp/nss 2-29 93
Project Period
NonftgrlcuRural
Us«
,
Foflowup
rjpwl
mentnl
UM
Producer
E5l»r>
lishment
MarV et-
Place
Imports
t
Export
Certilied
Applicator
Records
Restricted
Us«
Pesticide
Dealers
Total
EPA Form 5700-33H (Rev. 9-90) Previous edition* are obsolete
-------
c/EI
^^_ ^_ Unrlud Status Environmental Protection Agency
^••m Washington. DC 20460
!^£.\ Pesticides Enforcement and Applicator Certification
• » Cooperative Agreement Quarterly Accomplishment Report
form Appiovod
OMB No. 2070-0113
fjumes 22993
Public reporting burden lor this collection ol information is eMiiimtud lo average 63 hours per response, including lime lor reviewing instructions, searching enisling data sources, gathering oiid maintaining the data needed, and
completing and reviewing lh« collection ol inloimation Sond comments regarding the burden estimate or any oltrar aspect ol this collection ol information, including suggestions lor reducing this burden, lo Chief. Information Policy
Branch. PM 223. U S Environmental Protection Agency. 401 M Si , S W . Washington. DC 20460. and lo Management and Budget. Paperwork Reduction Project (2070-0113). Washington, D.C. 20503.
Slate
Fiscal Year
Enforcement Accomplishments
This Quarter
Total Inspections Conducted
Federal Facilities
Mow many addressed the following *
a) Worker Protection
b) Ground Water
c) Endangered Species
d) Cancellalions/Sus|xinsioris
Sample* Collected
Physical
Documentary
Civil Complaints Issued
Criminal Actions Referred
Administrative Hearings Conducted
License/Ceililicate Suspension
Licen&e/Cortilicate Revocation
License/Certificate Conditioning or Modification
Number of Warnings Issued
Slop-Sale. Seizure. Quarantine, or Embargo
Cases Forwarded lo EPA lor Action
Other Enforcement Actions
Number of Cases Assessed Fines
Itoporlmg Ponod
Agricultural
Use
Followup
Nonagnculluial
Use
Follawup .
1 1 Cooperative Agreement Only f"~
Eipen
mental
Use
Producing
E&lab
lishmenl
Place
Imports
] Slate Activities Only
Export
'
/
/
Certified
Applicator
Records
1
1
1
1
Use
Restricted
Pesticide
Dealers
Total
EPA Form 5700-33H (Rev. 8-90) Previous edillona are obiolel*.
v * Comprehensive inspections shall be conducted Of the 'inspections conducted* which are reported on the lirst line, please
verify how many addressed the elements listed above as a-d.
f I II is expected that nationally elements a-d would not be routinely addressed lor export and record inspections only.
However, if a state finds it necessary lo report compliance monitoring lor these elements under these inspections, they can
do so in the blocks indicated above.
-------
ANNUAL CERTIFICATION AND TRAINING PROJECTIONS
Certification Projections
(Annual)
Private
Applicators
Commercial
Applicators
Agricultural
Plant
Animal
Fewest
Orna-
mental
and
Turf
Seed
-Treat-
ment
Aquatic
Right
of
Way
Industrial.
Institu-
tional,
Structural.
Health
Public
Health
Demon-
stration
and
Research
Other
Training Sessions To Be
Participated in or Monitored
£*
Applicators To Be Certified
Mr
i
Applicators To Be Recertified
CERTIFICATION AND TRAINING ACCOMPLISHMENTS
THIS QUARTER
Certification
Accomplishments
This Quarter
Training Sessions Participated In
or Monitored
Applicators Certified
Applicators Recertified
Private
Applicators
Commercial
Applicators
Agricultural
Plant
Animal
Forest
Orna-
mental
and
Turf
Seed
Treat
menl
Aquatic
Right
ol
Way
Industrial
Institu-
tional,
Structural.
Public
Health
flogula
lory
Demon
strnlion
and
Research
Other
i
MOTE • Report lh« Information below only wRh ttw End-ol Y»»t Report
Total Applicators Holding a Valid Cer-
tification as of September 30th
Recortification Period fin yearsj
tMA l-orm bJOO-J^Hev. 9-UO) Previous editions are obsolete ' ~~~"
-------
STATE CASE EVALUATION WORKSHEET
':nto 1.0. Number
i ."iipi .1 i nnnt ______
•••rot i cat or
r.i^e Type
':'icni cal
L'.isc Reviewer
Yes No Number
Sec. 26/27 Referral
Enforcement Status: Pending
Dismissed _ , U/L
Formal Hearing
Days,
, Inf. Hearing
Other
Invest igotor
. Referral to attorney
• ••.••••.i i i.it ion:
a,irr.it i ve
• orms
J.impl ing Proc.
formula
'Ke Oilut i on
Sosiaue
Control
••ncements
r>iotcgraphs
M.ips/Sketches
•'•?coras
i M;:-i i ng
••••? Review
'•••>r rot i vc/ form
C .;)/ of
;:r occcd' ngs
• '.rf of Ac t i on
YCS
Adoqun t o
Inndcquo t e
res No
•il Enforcement Action Aopropriate
(No requires discussion)
ri.irks and Discussion (Include all inadequacies)
First Knowledge
Insp. Initiated
Insp. Completed
(Est.)
Insp. Report
Sample(s)*
Collected
To Lab
Lab Rec'd
Analysis
Rec'd Back
Enf. Proceedings:
Initiated
Completed
Date
TOTAL TIME - First
Knowledge To Action Completed
Time Lapse
(Days)
(Days)
•for PEI Samples, specify in REMARKS above
if greater than 30 days.
.EPA EVALUATOR
Date
-------
•&EPA
CHECK
PESTICIDE ENFORCEMENT GRANTS
Case Evaluation Summary
^ADEQUATE OR MISSING NUMBER OF DAYS EACI
CASE
NUMBER
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D.C. 20460
JUN 1 6
OP
ANO TOXIC SuaBTAMCCS
MEMORANDUM
SUBJECT: Federal Register Publication of Amendments to
State Plans
.
FROM: Chuck Reese ,: Director
Pesticide Applicator Certification and
Training Program
TO: Regional Pesticide Division Directors
Regional Pesticide Branch Chiefs
I have incorporated the recommendations that I received
from Regions 1, 3, 8, and 10. Most of the comments were similar
in nature. Thus, I feel comfortable in providing you with a
finalized copy of this guidance document. If you have any
problems please call me at FTS-475-9582 .
Attachment
TOXICS C: PESTICIDES
BRANCH
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POLICY AND PROCEDURAL DETAILS
FOR
FEDERAL REGISTER PUBLICATION OF AMENDMENTS
TO
STATE PLANS
Attachment I - Types of changes which would and would not
justify publication in The Federal Register
Attachment II - Process for submitting amendments to the
Plans and Federal Register Notice
Attachment III- Authority and Limitations to signing of
Federal Register Notices by Regional
Administrators
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Attachment I
Column I lists the changes in state plans which, as proposed, would
necessitate: a) publication of a Federal Register Notice announcing tne
Agency's intent to approve such amendments to a State Certification Plan;
and b) publication of a subsequent FR Notice announcing the Agency'.s approval
of the amendments.
Column II lists the changes which would not necessitate publication of a
notice in the Federal Register.
Column I
1) Establishment of a recertification
program.
2) Establishment of a new or additonal
mechanism for certification and/or
recertification within a state.
(For example, a state may have pre-
viously allowed certification only
by training and may now offer the
option of training or. examination.)
3) State significantly changes its
method of tracking recertification
training sessions attended by the
applicator.
4) Deletion of a mechanism for certifi-
cation and/or recertification within
a state.
5) Establishment of a passing grade for
.an examination (where a grade did
not previously exist).
6) Changes that are expected to generate
substantial public interest.
7) Change in a renewal period.
B) The establishment of licensing pro-
visions for those previously covered
under "the direct supervision"
provisions.
9) Any change that subjects new appli-
cators to the certification process
(for example, to require that all
government employees using any
pesticide must be certified, a South
Dakota requirement).
10) Establishment of a new commercial .
applicator category and accompanying
competency standards.
Column II
1) Changes in personnel/titles.
2) Changes in a state plan which
would simply update the document
to reflect changes in the program
which had occurred by September 20,
1988 and had been reviewed pre-
viously by EPA.
3) Changes in the passing grade for
exams.
4) Changes in competency standards
for existing categories or changes
in sub-categories.
5) Introduction of worksheets into
training.
6) Changes in length/type of exams or
trainina.
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Attachment II
A. proposed process for submitting/approving amended state plans.
1) state Lead Agency (SLA) submits a draft of the amended State plan for ^..
review to the Regional Pesticides Branch. Regional Pesticides Branch
provides Agency's comments, if any, to .the. SLA. The SLA addresses the
comments, if any, received from EPA. • " • '
2) SLA submits the amended State Plan to the Regional Administrator for <-•
approval. (The submittal should be made by whomever in the SLA is
authorized to submit an amended State Plan to EPA for approval. The
submittal should at least be made by the Pesticide Administrator in the
SLA.) The SLA should send a copy to the Regional Pesticides Branch.
3) The assumption is made here that the Agency reviews the Plan and is
ready to grant approval to the amended .State Plan. If the changes to
the State Plan are such that they do not require publication in the
Federal Register, then a letter would be signed by the Regional
Administrator and addressed to whomever in the SLA submitted the amended
State Plan. The letter would indicate the Agency's approval of the
amended State Plan.
If the changes to. the State Plan require publication of a FR Notice,
then go to section B.
4) Copy of the amended State Plan would be sent to the C&T Program at
Headuarters.
B. Proposed process for drafting/publishing FR Notices
nf ' *
,->.., ».-
"'• '
1) If a Federal Register Notice-is needed, the Regional Pesticides Branch
drafts an FR Notice announcing the Agency's intent to approve the
amended State Plan.
2) A copy of the draft notice is sent for review to the C&T Program. Any
changes agreed upon are made. .
3) A copy of the FR Notice, plus a disc containing the Notice, should then
be sent to the Federal Register Office at Headquarters for a format
review. The Federal Register Office would make necessary format changes
to the disc and pouch-mail, the disc back to the Region.
4) The Pesticides Branch-drafts a letter for the Regional Administrator to
the Assistant Administrator for Pesticides'and Toxic Substances to
request concurrence on the .proposed publication of the notice (announcing
the Agency's intent'^to approve the amended State Plan). (This is based
on the information from Attachment III, taken from the EPA Delegations
Manual.) The AA has 5 days to concur or non-concur.
5) The AA concurs. The Regional Administrator signs the FR Notice. The
original is sent to the Federal Register Office, along with a completed
typesetting request.
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-2-
6) The Federal Register office publishes the FR Notice.
7) The Pesticides-Branch addresses any comments received on the FR Notice.
8) It is assumed here that comments are not received which change the
intent of the Agency to approve the amended State Plan. After comments
are examined and appropriately addressed, the Pesticides Branch drafts
an FR Notice announcing the Agency's approval of the amended State Plan.
9) Steps 2-6 are then followed again except that this time, they refer to
the publication of a FR Notice announcing the Agency's approval of
(instead of the intent to approve) the amended State Plan.
10) Copy of the amended State Plan would be sent to the C&T program at
Headquarters.
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ATTACHMENT III
DELEGATIONS
FEDERAL INSECTICIDE, FUNGICIDE, AND RODENTICIDE ACT
5-2. Certification of Applicators
1. AUTHORITY. To perform the EPA functions and responsibilities relative to
the Federal certification of applicators and the approval, disapproval and
withdrawal of approval of State certification plans, as set forth in the Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA), Section 4; and to sign
Federal Register notices pertaining thereto.
2. TO WHOM DELEGATED. Regional Administrators.
3. LIMITATIONS.
a. Regional Administrators will forward for review copies of all State
plans to the Assistant Administrator for Pesticides and Toxic Substances or his
designee upon receipt, and copies of all Federal plans upon development, and
will notify the Assistant Administrator or his designee five days prior to
signing a Federal Register notice pertaining to intended or final action thereon.
b. Regional Administrators will notify the Assistant Administrator for
Pesticides and Toxic Substances five days prior to signing any notice or order
pursuant to Section 4(b).
c. The authority to prescribe standards for the certification of applicators
of pesticides as set forth in Section 4(a)(l) is reserved to the Administrator.
4. REDELEGATION AUTHORITY. Authority to approve, disapprove or withdraw
approval of State plans and to sign Federal Register notices may not be
redelegated. All other authorities may be delegated to the Division or Staff
Director level.
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STATE FIFRA ISSUES
RESEARCH AND EVALUATION GROUP (SFIREG) •
STATEMENT OF FUNCTION, ORGANIZATION, ROLES
AND RESPONSIBILITIES
I. INTRODUCTION
This document provides a brief history of the State FIFRA Issues Research
and Evaluation Group (SFIREG) and discusses its general function and
organization and the roles and responsibilities of the members of SFIREG and its
Working Committees. The document also describes participation with SFIREG at
the full committee level and Working Committee level, of EPA representatives
in Headquarters and in the Regional Offices.
This document is not intended to be all encompassing, but instead, is
intended to provide the reader with a better understanding of SFIREG and how it
operates. It is the hope of EPA and SFIREG representatives who participated in
the development of this paper, that it may serve to clarify various aspects of
the cooperative effort between the states and EPA.
SFIREG plays a valuable role in maintaining information exchange and
cooperation between EPA and the States. However, it is not EPA's intention to
use the SFIREG mechanism as the sole or primary means of communication
between individual states and the Agency. EPA's Regional Offices have the
expertise and experience necessary to perform the role of primary Agency
contact and maintaining such direct contact is strongly supported.
II. HISTORY
Initially, a formal advisory committee was in existence to advise the
Agency on state, FIFRA issues. Subsequently, under a Congressional order to
disband many advisory committees, the State FIFRA Issues Advisory Committee
was abolished. In 1978, in an effort to fulfill the Office of Pesticide Programs'
(OPP) need for input from state regulatory officials, a cooperative agreement
was entered into by OPP and the Association of American Pesticide Control
Officials (AAPCO). That cooperative agreement created the State FIFRA Issues
Research and Evaluation Group (SFIREG) as an independent, but related body, to
advise OPP on pesticide matters affecting the states.
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111. GENERAL FUNCTION
As an independent, but related body of AAPCO, SF1REG identifies, analyzes
and recommends courses of action to the Office of Pesticide Programs on
matters relating to pesticide registration, enforcement, training and
certification, ground water protection, disposal, and other areas of
environmental concern.
IV. SCOPE OF ISSUES
SFIREG may operate rather independently of AAPCO when addressing
issues that must receive attention in a time frame that does not permit direct
AAPCO involvement. However, it is expected that SFIREG will inform AAPCO of
discussions and decisions in which AAPCO has not been directly involved.' Two
areas of issues will consistently be routed through AAPCO rather than resulting
in recommendations or positions from SFIREG: issues resulting in AAPCO policy
changes, and legislative or other matters addressed in the Congress of the
United States.
Issues outside the scope of these two areas may also, at the discretion of
SFIREG or at the request of EPA, be submitted for approval, endorsement, etc. by
the AAPCO.
The issues on which SFIREG focuses may be identified from any number
sources. Issues identified through AAPCO may be referred to the SFIREG for
consideration, issues may be identified by SFIREG independent of AAPCO, OPP
may identify issues, or other sources may suggest that SFIREG focus on a
particular issue. Normally, complex issues which have been identified by
AAPCO, EPA, or full SFIREG will be referred to the appropriate Working
Committee for consideration and development.
V. ORGANIZATION. ROLES. AND RESPONSIBILITIES
A. FULL SFIREG
ORGANIZATION
The full SFIREG is headed by a Chairperson who is appointed by the
President of AAPCO. The Chairperson serves a term of 2 years in length.
The Chairperson is aided by the Executive Secretary. The Executive
Secretary may be a hired position for an undefined term of office.
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Membership consists of ten state representatives, each representing the
states within an EPA region. These representatives are selected by the states
within each EPA region. The length of their term is two (2) years, but members
may be appointed for subsequent terms.
The following participate in SF1REG meetings as non-voting members:
Office of Pesticide Programs' Senior
Intergovernmental Liaison
Office of Compliance Monitoring SF1REG Liaison
Association of State and Territorial Health
Officials (ASTHO) representative
Association of Structural Pest Control Regulatory
Officials (ASPCRO) representative
Extension Service (ECOP) representative
State Fish and Game Association representative
EPA Regional Offices (one from each
SF1REG Working Committee)
ROLES AND RESPONSIBILITIES
CHAIRPERSON
The Chair of SF1REG is generally responsible for conducting meetings of
the group, ensuring that appropriate issues are addressed through development
of the meeting agendas, and appointing chairs of standing Working Committees
(see Working Committees, below). The Chair is also responsible for approving,
in consultation with the OPP Senior Intergovernmental Liaison, ail travel
charged to SFIREG for purposes other than scheduled SFIREG, pre-SFIREG, or
working committee meetings.
;
VOTING MEMBERS
The Members of SFIREG are responsible for ensuring representation of the
states within their region at meetings of the group, determining and raising the
issues of importance to those states by suggesting issues as agenda items, and
relaying information back to the states represented by the Member.
Each Member is encouraged to coordinate with the EPA Regional Office, a
meeting of the states within the region prior to SFIREG meetings to identify
issues, develop issue papers, etc. The Members are also encouraged to include
in all or part of these "pre-SFIREG" meetings, representatives from the
cooperative extension service and other state agencies, as appropriate. These
meetings should be held far enough in advance of the SFIREG meeting, to allow
inclusion of important issues on the agenda. NOTE - Agendas must be drafted at
least one month prior to the actual meeting for publication in the Federal
-------
Register by the OPP Senior Intergovernmental Liaison. Pre-SFlREG meetings
should be held at a place agreeable to the participants. Locations near the EPA
Regional Office pose advantages since other EPA offices (i.e., water, air, etc.)
will be more accessible. This is particularly important given the cross media
nature of ongoing and developing programs.
It is the responsibility of the Member to provide to the SF1REG, an issue
paper for any issue on which the Member or the states the Member represents,
request EPA action. Issue papers should clearly state the issue, identify and
analyze any options available to address the issue, and recommend a course of
action. In addition, all issue papers should indicate whether the states within
the region believe the item should receive high, medium or low priority. Action
items, in the form of issue papers, will be discussed at the SF1REG meetings,
either accepted or rejected by vote, and if accepted, a priority status (either
high, medium or low) will be designated by the full membership of SFIREG.
Issue papers developed by a SF1REG Member should be provided to the Chair
of SFIREG and the Executive Secretary in advance of the SFIREG meeting. The
Executive Secretary will provide copies to all members (voting and non-voting)
in advance of the meeting.
NON-VOTING MEMBERS
Executive Secretary
The Executive Secretary is specifically responsible for arranging meeting
facilities; ensuring receipt by members of issue papers, background materials,
etc.; coordinating agenda topics with the OPP Senior Intergovernmental Liaison;
recording and producing minutes of all meetings; and ensuring that minutes are
forwarded to all AAPCO, SFIREG, and Working Committee members (voting and
non-voting) in a timely manner. The Executive Secretary's responsibilities to
the SFIREG Working Committees are identical to those expressed here.
Therefore, they will not be repeated under "Working Committee Roles and
Responsibilities".
OPP Senior Intergovernmental Liaison
The OPP Senior Intergovernmental Liaison is responsible for administering
the cooperative agreement between EPA and AAPCO. In addition, the Liaison
assists in the preparation of meetings by collecting issues from EPA
Headquarters, preparing the agenda in consultation with the SFIREG Chairperson
and Executive Secretary, and announcing the meeting in the Federal Register.
The Liaison also is the official representative from the Office of Pesticide
Programs at SFIREG meetings and is responsible for ensuring states'
understanding of OPP positions and ensuring that OPP management understand
states' positions. The OPP Senior Intergovernmental Liaison is also responsible
for coordinating EPA Headquarters participation in meetings and for
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coordinating the resolution of issues. The roles and responsibilities of the OPP
Senior Intergovernmental Liaison to the SF1REG Working Committees are
identical to those expressed here. Therefore, they will not be repeated under
"Working Committee Roles and Responsibilities".
Office of Compliance Monitoring Liaison
The OCM Liaison is responsible for representing the Office of Compliance
Monitoring to SFIREG, ensuring the states' understanding of that office's
positions, and ensuring that the Office of Compliance Monitoring understands
the states' positions on matters related to enforcement and compliance. The
OCM Liaison is also responsible for coordinating with the OPP Senior
Intergovernmental Liaison, OCM related agenda topics, OCM participation in
meetings and resolution of issues. The roles and responsibilities of the OCM
Liaison to the SFIREG Working Committees are identical to those expressed
here. Therefore, they will not be repeated under "Working Committee Roles and
Responsibilities'*.
EPA Regional Representatives
EPA Regional representatives to SFIREG are responsible for ensuring that
the "Regional perspective" is brought to the meetings. The Regional
participants are responsible for ensuring that all EPA Regions are kept informed
of the issues, decisions, etc. discussed at the meetings and for ensuring that
issues arising in the Regional Offices are raised for inclusion on the meeting -
agendas.
Other Participants
All other participants may participate as appropriate by ensuring that the
position of the group they represent is taken into consideration at the meetings
and by relaying back to the group they represent, the positions of the SFIREG.
B. WORKING COMMITTEES
ORGANIZATION
There are currently three standing Working Committees of SFIREG:
Registration and Classification, Enforcement and Certification, and Ground
Water and Disposal.
The Chairs of each Working Committee are appointed by the Chair of
SFIREG, serve a term of two (2) years, and can serve no more than two terms
consecutively. However, the same individual may be appointed to other
committees as the chair or as a member.
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Each Working Committee is comprised of '7 or 8 state representatives.
The Chair of the Working Committee selects, in consultation with the
states, members of the Working Committees. Working Committee
Members are appointed for a term of four (4) years. Two members' terms sho
expire each year. A rotational expiration of term such as this will enable the
committee to maintain some consistency while providing other individuals an
opportunity to become more involved.
In selecting members for Working Committees, States should strive for
regional balance to the extent possible taking into consideration and
acknowledging the expertise of individuals in the states.
The following participate in Working Committee meetings as non-voting
members:
OPP Senior Intergovernmental Liaison
OCM SFIREG Liaison
EPA Regional Offices
The Lead EPA Region coordinates the selection of Regional representatives
to the SFIREG and its Working Committees. In general, the sub-lead Region for
enforcement will serve as the primary Regional representative to the
Enforcement and Certification Working Committee; the sub-lead Region for
ground water will serve as the primary Regional representative to the Ground(
Water and Disposal Working Committee; and the sub-lead Region for core F1FRA
will serve as the primary representative to the Registration and Classification
Working Committee. In addition, each of the remaining Regions will be
designated as an additional representative to one of the three Working
Committees. Attachment 2 outlines the Regional participation for FY '91.
The Regions should consider rotating primary participation at least every
four years (consistent with the terms of Working Committee members) to
promote distribution of responsibilities.
ROLES AND RESPONSIBILITIES
CHAIRPERSON
The Chair of each Working Committee is generally responsible for
conducting meetings of the group, ensuring that appropriate issues are
addressed through development of the meeting agendas, and selecting
Working Committee members in consultation with the other states.
The Chair is responsible for ensuring that appropriate issues are referred to
full SFIREG or EPA for consideration. The Chair is also responsible for re
at full SFIREG meetings, the activities of the Working Committee and presenting
any issue papers developed by the Working Committee.
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VOTING MEMBERS
The Members of Working Committees are. responsible for ensuring that
issues are raised for inclusion on the meeting agendas, representing the state
perspective on issues being discussed, resolved, etc. Members of the Working
Committees also may, from time to time, be requested to serve on special task
groups comprised of members of the Working Committees or SF1REG, or serve on
EPA working groups, to address issues related to the Working Committees' area
of expertise. Any cooperative agreement funds used for participation in these
special groups must receive advance approval from the SFIREG Chairperson.
NON-VOTING MEMBERS
Executive Secretary
The roles and responsibilities are the same as those described under "Full
SFIREG" for this position.
OPP Senior Intergovernmental Liaison
The roles and responsibilities are the same as those described under "Full
SFIREG" for this position.
OCM Liaison
The roles and responsibilities are the same as those described under "Full
SFIREG" for this position.
EPA Regional Representatives
The primary EPA Regional Representative to the Working Committee is
responsible for attending the appropriate meetings and representing the
"regional perspective" to the SFIREG, ensuring that appropriate issues from all
the regions are raised by contributing to the agenda items, and ensuring that the
EPA regions are informed of any issues of interest to the regions.
The additional Regional representatives are encouraged to attend the
appropriate meetings with the primary Regional representative. They too are
responsible for ensuring that the regional perspective is considered. Further,
the additional Regional representatives will serve as alternates to the primary
Regional representative in the event that the primary representative can not
attend a full SFIREG meeting or a meeting of the working committee to which
they are the Regional representative.
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Register by the OPP Senior Intergovernmental Liaison. Pre-SFlREG meetings
should be held at a place agreeable to the participants. Locations near the EPA
Regional Office pose advantages since other EPA offices (i.e., water, air, etc.)
will be more accessible. This is particularly important given the cross media
nature of ongoing and developing programs.
It is the responsibility of the Member to provide to the SF1REG, an issue
paper for any issue on which the Member or the states the Member represents,
request EPA action. Issue papers should clearly state the issue, identify and
analyze any options available to address the issue, and recommend a course of
action. In addition, all issue papers should indicate whether the states within
the region believe the item should receive high, medium or low priority. Action
items, in the form of issue papers, will be discussed at the SFIREG meetings,
either accepted or rejected by vote, and if accepted, a priority status (e'ither
high, medium or low) will be designated by the full membership of SFIREG.
Issue papers developed by a SFIREG Member should be provided to the Chair
of SFIREG and the Executive Secretary in advance of the SFIREG meeting. The
Executive Secretary will provide copies to all members (voting and non-voting)
in advance of the meeting.
NON-VOTING MEMBERS
Executive Secretary
The Executive Secretary is specifically responsible for arranging meeting
facilities; ensuring receipt by members of issue papers, background materials,
etc.; coordinating agenda topics with the OPP Senior Intergovernmental Liaison;
recording and producing minutes of all meetings; and ensuring that minutes are
forwarded to all AAPCO, SFIREG, and Working Committee members (voting and
non-voting) in a timely manner. The Executive Secretary's responsibilities to
the SFIREG Working Committees are identical to those expressed here.
Therefore, they will not be repeated under "Working Committee Roles and
Responsibilities".
OPP Senior Intergovernmental Liaison
The OPP Senior Intergovernmental Liaison is responsible for administering
the cooperative agreement between EPA and AAPCO. In addition, the Liaison
assists in the preparation of meetings by collecting issues from EPA
Headquarters, preparing the agenda in consultation with the SFIREG Chairperson
and Executive Secretary, and announcing the meeting in the Federal Register.
The Liaison also is the official representative from the Office of Pesticide
Programs at SFIREG meetings and is responsible for ensuring states'
understanding of OPP positions and ensuring that OPP management understanos
states' positions. The OPP Senior Intergovernmental Liaison is also responsible
for coordinating EPA Headquarters participation in meetings and for
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VI. MEETING SCHEDULES
The following is the meeting schedule of AAPCO, SFIREG and the Working
Committees:
ORGANIZATION APPROXIMATE TIME
AAPCO
SRREG
Enf.& Reg.
Wrkg. Comms.
Gr. Water
Wrkg. Comm.
March
August
July
December
June
October
three times/yr.
PLACE .
Washington D.C.
Determined by AAPCO
Washington D.C.
Washington D.C.
West 1/2 of U.S.
East 1/2 of U.S.
Washington D.C.
VII. SETTING AGENDA TOPICS
The OPP Senior Intergovernmental Liaison will work with the appropriate
Chairperson, the Executive Secretary, the Office of Compliance Monitoring and
the EPA Regions as appropriate to establish the agenda for meetings. Prior to
the scheduled meeting, the Executive Secretary will issue to members of the
group (voting and non-voting), a call for agenda topics. At the same time, the
OPP Senior Intergovernmental Liaison will solicit agenda topics from EPA
Headquarters and will coordinate with the OCM Liaison to ensure OCM topics are
considered.
The OPP Senior Intergovernmental Liaison will publish in the Federal
Register, a notice of Full SFIREG and Working Committee meetings 15 days prior
to the scheduled meeting date.
VIII. PUBLIC PARTICIPATION
While not a formal advisory committee and therefore, not subject to the
requirements for public notification of meetings and public participation, the
Office of Pesticide Programs will announce all open meetings to encourage such
participation.
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The public is invited to attend the meetings and participate as the Chair
of the meeting deems appropriate and as recognized by the Chair, to address the
group.
While the Office of Pesticide Programs and the State F1FRA Issues
Research and Evaluation Group believe in the process of open meetings and
discussion, they may, from time to time, hold meetings that will be closed to
the public to discuss matters related to the cooperative agreement between
AAPCO and EPA, or matters related to regulatory, enforcement issues.
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ORGANIZATION
OPP
cooperative i
~~ agreement
AAPCO
SFIREG
VOTING MEMBERS
Chair
10 Members -
representing states
within each EPA
region
NON-VOTING MEMBERS
Executive Secretary
ASTHO representative
ASPCRO representative
Extension representarive
Fish and Game representarive
OPP Intergovernmental Liaison
OCM SFIREG Liaison
EPA regions
WORKING COMMITTEE
ENFORCEMENT &
CERTIFICATION
WORKING COMMITTEE
REGISTRATION &
CLASSIFICATION
WORKING COMMITTEE
GROUND WATER &
DISPOSAL
voting memoen
non-voting memben
voting memoen
non-voung memben
voting members
non-voting mcmbe
Chair
7-8 states
Executive Sec.
OPP Liaison
OCM Liaison
EPA Region
Chair
7-8 states
Executive Sec.
OPP Liaison
OCM Liaison
EPA Region
Chair
7-8 states
Executive Sec.
OPP Liaison
OCM Liaison
EPA Region
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