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
                                12

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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.
                                16

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                                         /O  ^

              FUNDING   PROCESS
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 TRANSFERRED
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6

-------
       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
                                17

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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





                                18

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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,
                         19

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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





                         20

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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.
                         21

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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





                                22

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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
                               23

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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.
                         24

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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.
                         25

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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





                         26

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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) ;
                         27

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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.
                     28

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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.





                         29

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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






                         30

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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






                         31

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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.





                         32

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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)





                                33

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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.





                          34

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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.
                                35

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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






                                36

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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





                                37

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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





                 38

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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





                         39

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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





                         40

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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





                                41

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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





                         42

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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.
                         43

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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.
                                44

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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.





                                45

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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





                                46

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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.
                         47

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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.
                                48

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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.
                                49

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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
                                50

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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.
                                51

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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

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                 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.

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|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.

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               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

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            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
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 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).

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            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

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

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

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

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 
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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.


                                         14

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Pesticide Guidance                                                              FY 92

            5.     Work Program

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

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

      D.    ACCOUNTABILITY UNDER THE COOPERATIVE AGREEMENT

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

      The recipient's expenditures under the agreement must follow cost categories (i.e.,
budget line item or  program elements) 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


                                        15

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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
                                        16

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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


                                        19

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Pesticide Guidance                                                           .   FY 92

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

       b.     Implementation of Changes to State Certification Programs

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

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

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

       d.     Meetings with the State Cooperative Extension Service '

             States/tribes  must  meet  a  minimum  of twice  each year with the state
             Cooperative Extension Service  to discuss and  evaluate  the state/tribal
             pesticide  applicator certification and  training program.   EPA Regional
             Program Offices should be notified of  meetings in  advance.  At least twice
             a year, states/tribes will submit a  report of points of agreement and decisions
             to the EPA Regional Program Office.  These reports may be submitted by
             states/tribes with  their mid-year  reports and end-of-year reports.
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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;
                                        21

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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.
                                         22

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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


                                        23

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Pesticide Guidance                                                             FY 92

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

                   f.     A description of preliminary monitoring

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

             2.     Implementation

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

             3.,     Development of Generic Management Plans

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

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

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

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Pesticide Guidance                                                              FY 92

                   To the extent possible,  the state/tribe will identify those aquifers
                   where protection is most critical based on available criteria, which may
                   include use, proximity to the surface, well location, population density,
                   etc. Vulnerability may also be dependent upon climate, type of 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

                                        25

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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


                                          26

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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.
                                         27

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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. ;;
                                          28

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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:
                                       29

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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


                                        31

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Pesticide Guidance                                                                 FY 92

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

                           The  outreach program  will include briefing  workshops to
                           educate the affected public about the WPS.  States/tribes may
                           want to utilize funds to organize meetings in different 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.
                                          32

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Pesticide Guidance                                                              FY 92

                   d.     Compliance Monitoring Strategy

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

       3.     Implementation Schedule

             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.
                                         36

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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.
                                        37

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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


                                          38

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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.
                                          56

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Pesticide Guidance                                                               FY 92

             h.    Provisions of Analysis Results

      The applicant will send a copy of the results of any sample analysis made under
the authority of 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.
                                        59

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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.
                                         60

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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.
                                         61

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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
                                        62

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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.
                                         65

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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
                                        66

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Pesticide Guidance                                                              FY 92

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

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

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

             2. Allotment Schedule

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

       B.    Worker Protection Enforcement

       The  Office of Compliance Monitoring expects to receive  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.
                                         67

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Pesticide Guidance                                                             FY 92

             2.  Formula Funding

             Total  formula funding available  for worker protection is  determined  by
             subtracting the total base amounts from the total funding amount dedicated
             towards worker protection enforcement. The total amount of funds available
             for distribution by formula in FY 92 is 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
                                        68

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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


                                        69

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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.
                                           70

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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

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••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

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••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

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"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)
^TAM>MC«nl
f



f
|c|VM«
1



I

t



f
	 M IQIMt
$



f
SECTION D • FORECASTED CASH NEEDS
!•*•!«•« I*****
t

f
III ft»«rt«l
t

1
SECTION E - 1UDGET ESTIMATES Of FEDERAL FUNDS NEEDEf
<•»*-*«*-
u
11.
It

».
I,
» fOfMS^of^U...)
MO^rt*.
t

f
) FOR RALANCE Of THI

»>4OM«t«
•

1
«MlOHM««
i

t
EMOJECT
IWIUM IkMMM M«MM |V«*>4
(feirtnrt
t



t
|<|U<(N^
1



t
Mn*4
f



f
MIW*
t



1
SECTION F - OTHER RUDGE T INFORMATION
(AitAih Adtlilton^l Sh«li if N*«iMiy)
(•• " ••• "•
	 . 	 = 	


-------
  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.

-------
                           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

-------
 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.
                                     «2*S
                                                                                        Oi*
                                                                                                 («•«•>
                                                                                                 *-t02
                                 Authorised for Local Reproduction

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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

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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

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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

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                                          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

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                                        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

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                                        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

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                                         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

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                                            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

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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

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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

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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

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                                             (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

-------
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

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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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                             BUDGET INFORMATION — Non-Construction Programs
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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.
                           OOCU*»€»«T MAS MIM 0»A»

                                         t
                                                                                             0»t«
Appendix  IX
                                     Authorfx*d for Local P*oreduction

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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

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                    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

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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

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 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^_,
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                                                                                <*••! *•% Q2T* •>


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                                                                 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

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               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

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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

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    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

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                                   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

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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

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                                                      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

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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

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                                                          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

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                                                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

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                                                                  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

-------
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-------
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   do so In the block*  Indicated above.
                                                                                                                                                                                      -o
                                                                                                                                                                                       c
                                                                                                                                                                                       
-------
                                           ANNUAL CERTIFICATION AND TRAINING PROJECTIONS
   Certification Projections
          (Annual)
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-------
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

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                    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

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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

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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

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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

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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

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Pesticide Guidance                                     7Y92

C which gives a geographic distribution of funds and Table D which
shows the regional distribution.
Appendix XXIV

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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

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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

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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

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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

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                             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

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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

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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

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                             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

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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

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                             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

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                             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

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                              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

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                                                                  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.

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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

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                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.

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     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.

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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.

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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.

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               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.

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               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.

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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.

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               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

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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.

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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

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               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

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               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

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               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

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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

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    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

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                                     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.
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.
                 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.
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
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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 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 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.


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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.
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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.
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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.
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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.
6/7/91

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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;

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                                                                   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

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                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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REQUEST  FOR  ADVANCE

  OR  REIMBURSEMENT


      iSf m»fr-««io«» m buck)
                                                             9y ome*  af s»an»»«fn»m
                                                    Bu-^. •
CU» JMM
,-ttlfC^t:
11. COMPUTATION Of AMOUNT OP KCJMIUftSCMCHn/ ADVANCES REQUESTED
P*OaMAM8/F\JNCTtON3/ACTTVrnES »
(At at daut
i. Tool precram
ouinyt to d«t*
b. £,«•«.• Cufnui4trv« oro^rvn iflcarn^
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

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               United SUM*
               Environmental Prottetion
               Agency
                Olfic« of
                Planning end Management
                Division of Financial Management
                Washington.
                                               August 1980
>fPA
Letter of Credit
Users  Manual

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                            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.

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           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.

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 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.

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 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

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                 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

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 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

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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

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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

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                    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

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  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
                                                              I. f fix HAL AOf WCT AMO O»«AHtlAt»O**«l fit »*»HT TO WMICM OTTOrT II lufwirtrn ;l. rrrw»*t QBAHT 0* nmi • II^HItv? two
                                                                                                                                                                OMH
                                                                                                                                                                   po-noino
                                                              «. tMnOTf• mnr
                                                                TWIT»noK wo»«»««             T a. *f etnt NT ACCOUNT Mv*i«ta o«t iot«mrriwo MUM*?• I t/"rm«i •trovr
                                                                          -^^-------    	
                                                                                                                                                                        I r. ««tn
                                                                                                                                                                  NO    I    ("| CXM j  | ACC'UAl
                                                                                                                                                 rtntoo COVIKIO ir rvii »fpf)»T

                                                                                                                                                               tO IM.Wk. 4m,. v»*t
10.
b.   Tdil oullirt IW» rtport p»rted
             »n loeem* t»»Jlt>
4.   Nt< ou
».   H«l (HH'ty-l lo dtlt
    fLto« • fliu tint ill
f.   N": Hoo r»(J»ttl thirr ef oultty*
    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

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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

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        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'."

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                                                 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 
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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

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£
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

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                                            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

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                                   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

-------
                                                                                                 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

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                          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

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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

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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

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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

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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

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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)

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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

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    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

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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

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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)

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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

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                                                                       •.•>«***'.«
                                                                         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.

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                               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).

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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.

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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.

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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.

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     (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.

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     (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.

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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.

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      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

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                                                      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

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  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

-------
                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

-------
                                 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.

-------
                           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.

-------
                                    -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

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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 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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