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U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF INSPECTOR GENERAL
Ensuring the safety of chemicals
Tribal Pesticide Enforcement
Comes Close to Achieving
EPA Goals, but "Circuit Rider"
Inspector Guidance Needed
Report No. 20-P-0012
October 29, 2019
-------
Report Contributors: Ganesa Curley
Jeffrey Harris
Jee W. Kim
Alii Phillips
Denton Stafford
Abbreviations
EPA U.S. Environmental Protection Agency
FIFRA Federal Insecticide, Fungicide, and Rodenticide Act
FY Fiscal Year
OECA Office of Enforcement and Compliance Assurance
OIG Office of Inspector General
U.S.C. United States Code
Cover Photo: Farm workers on Navajo Nation land. (EPA photo)
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U.S. Environmental Protection Agency
Office of Inspector General
At a Glance
20-P-0012
October 29, 2019
Why We Did This Project
The U.S. Environmental
Protection Agency (EPA) Office
of Inspector General (OIG)
conducted this audit to
determine whether the EPA's
negotiation, review and approval
of tribal pesticide enforcement
work plans—required as part of
Federal Insecticide, Fungicide,
and Rodenticide Act (FIFRA)
cooperative agreements—
support the achievement of
agency goals and requirements.
The goal of the EPA national
pesticide program, consistent
with FIFRA, is to ensure that
pesticides are made available
for use and are properly sold,
distributed and used in a way
that is protective of human
health and the environment.
The EPA enters into cooperative
agreements with tribes that fund
compliance and enforcement
activities under FIFRA.
According to the EPA, the
FIFRA enforcement cooperative
agreements are important in
promoting environmental justice
and the welfare of tribes and the
quality of their environments.
This report addresses the
following:
• Ensuring the safety of
chemicals.
Address inquiries to our public
affairs office at (202) 566-2391 or
OIG WEBCOMMENTS@epa.oia.
List of OIG reports.
Tribal Pesticide Enforcement Comes Close
to Achieving EPA Goals, but "Circuit Rider"
Inspector Guidance Needed
What We Found
The EPA's negotiation, review and approval of
tribal pesticide cooperative agreement work
plans were close to supporting achievement of
the agency's goals and requirements. We
found that for the period covered by fiscal
years 2016-2017, the 17 participating tribes
completed 87 percent of projected inspections
and met 86 percent of applicable work-plan
requirements. Some tribes indicated they did not complete the projected number
of inspections and enforcement activities in their cooperative agreements due to
staff turnover. According to EPA program staff, some tribes have only one
inspector, and if the inspector departs the tribe must re-start its pesticide
compliance and enforcement program after a replacement inspector is found
and trained.
If a tribe is interested in establishing a pesticide cooperative enforcement
agreement with the EPA but does not have enough inspectable entities, such as
certified applicators or producing establishments, to justify its own cooperative
agreement, the EPA guidance suggests investigating whether the tribe can
affiliate with a circuit rider—an inspector who provides inspections to other tribes
as well as his/her own. We found, however, that tribes which use circuit riders
may not be fully aware of the scope or outcome of activities circuit riders
conduct. The agency's tribal pesticide circuit rider agreements can be improved
by setting clear performance expectations between circuit riders and the tribes
they serve, developing priority-setting plans, and providing opportunities for the
tribes to provide feedback directly to the EPA regarding performance and
concerns. Without these improvements, EPA regions are not able to gather
feedback and concerns from tribes about circuit rider performance.
Recommendations and Planned Agency Corrective Actions
We recommend that the Assistant Administrator for Enforcement and
Compliance Assurance require circuit riders to include the pesticide needs and
risks of each tribe in the development of their own priority-setting plans, develop
and implement tribal pesticide circuit rider guidance to detail expectation-setting
and communication plans with tribes served by circuit riders, and establish
regional processes to receive feedback from tribes served by circuit riders. The
agency agreed with our recommendations and provided acceptable corrective
actions.
Improvements in the "circuit
rider" program can enable
the EPA to better detect and
prevent pesticide misuse and
unnecessary risks to human
health and the environment
in Indian country.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF
INSPECTOR GENERAL
October 29, 2019
MEMORANDUM
SUBJECT: Tribal Pesticide Enforcement Comes Close to Achieving EPA Goals,
but "Circuit Rider" Inspector Guidance Needed
Report No. 20-P-0012
FROM: Charles J. Sheehan, Acting Inspector General
TO:
Susan Parker Bodine, Assistant Administrator
Office of Enforcement and Compliance Assurance
This is our report on the subject audit conducted by the Office of Inspector General (OIG) of the
U.S. Environmental Protection Agency (EPA). The project number for this audit was
OA&E-FY18-0285. This report contains findings that describe problems the OIG identified and
corrective actions the OIG recommends. This report presents the opinion of the OIG and does not
necessarily represent the final EPA position. Final determinations on matters in this report will be
made by EPA managers in accordance with established audit resolution procedures.
The Office of Enforcement and Compliance Assurance's Office of Compliance and Office of Civil
Enforcement have primary responsibility for the subjects covered in this audit.
In accordance with EPA Manual 2750, your office provided acceptable corrective actions and milestone
dates in response to OIG recommendations. All recommendations are resolved, and no final response to
this report is required. However, if you submit a response, it will be posted on the OIG's website, along
with our memorandum commenting on your response. Your response should be provided as an Adobe
PDF file that complies with the accessibility requirements of Section 508 of the Rehabilitation Act of
1973, as amended. The final response should not contain data that you do not want to be released to the
public; if your response contains such data, you should identify the data for redaction or removal along
with corresponding justification.
We will post this report to our website at www.epa.gov/oig.
-------
Tribal Pesticide Enforcement Comes
Close to Achieving EPA Goals, but
"Circuit Rider" Inspector Guidance Needed
20-P-0012
Table of C
Chapters
1 Introduction 1
Purpose 1
Background 1
Responsible Offices 5
Scope and Methodology 5
Prior Report 6
2 Tribal Pesticide Enforcement Comes Close to Achieving EPA Goals,
but Circuit Rider Inspector Guidance Needed 7
EPA's Tribal Pesticide Enforcement Work Plans Come
Close to Achieving Agency Goals and Requirements 7
EPA Can Improve Planning and Communication with Tribes
Using Pesticide Circuit Riders 10
Conclusion 13
Recommendations 13
Agency Response and OIG Evaluation 14
Status of Recommendations and Potential Monetary Benefits 15
Appendices
A Agency's Response to Draft Report 16
B Distribution 19
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Chapter 1
Introduction
Purpose
The U.S. Environmental Protection Agency's (EPA's) Office of Inspector
General (OIG) conducted this audit to determine whether the EPA's negotiation,
review and approval of tribal enforcement work plans—required as part of
Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) cooperative
agreements—support the achievement of agency goals and requirements.
Background
Under FIFRA, the EPA has the authority to regulate how pesticides are registered,
distributed and sold, and whether they are used appropriately. Section 23(a)(1) of
FIFRA also authorizes the EPA to enter into cooperative agreements with states,
territories and Indian tribes to conduct pesticide enforcement programs.
EPA Tribal Pesticide Program
As of fiscal year (FY) 2018, there were 573 federally recognized American Indian
tribes. Tribes occupy approximately 60 million acres of trust land1 in Indian
country (Figure 1).
Figure 1: Map of federally recognized tribal lands
Federally recognized tribal lands
Source: Government Accountability Office, GAP-18-630.
1 "Trust lands" are defined in 25 U.S.C. § 2201 as those lands where the title is held in trust by the United States for
the benefit of an American Indian tribe or individual American Indians.
20-P-0012
1
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According to the EPA, 43 percent of the Indian
population resides in rural areas compared to
21 percent of the overall U.S. population.
Because American Indians are more likely to
report farming as their primary occupation,
American Indian farmworkers and their
families face greater risks of exposure to
agricultural pesticides.
Unlike states, tribes are not granted primary
enforcement2 responsibility under FIFRA. The
EPA is responsible for implementing and
enforcing FIFRA in Indian country. The EPA
considers unique tribal lifestyles and exposure patterns when registering pesticides
and works with tribal governments to implement pesticide programs under
FIFRA, including providing tribes with expertise, training and opportunities for
partnership when pesticide issues affect their lands. The federal government has a
unique relationship with federally recognized tribes, recognizing the importance of
tribal sovereignty over tribal members and their territories.
According to the EPA, the goal of the national pesticide program, consistent with
FIFRA, is to "assure that pesticides are made available for use, and are properly
sold, distributed and used, in a way that is protective of human health and the
environment."3 To support this goal, the EPA enters into cooperative agreements
with tribes that fund pesticide compliance and enforcement activities, including
compliance assistance, inspections, case development and enforcement. The EPA
goal is achieved primarily through the completion of negotiated tribal pesticide
inspections and other enforcement-related activities (e.g., reporting of enforcement
results, and providing outreach and compliance assistance). According to the EPA,
the FIFRA enforcement cooperative agreements are important in promoting
environmental justice and the welfare of tribes and the quality of their
environments.
Tribal "Circuit Rider" Approach
If a tribe is interested in establishing a pesticide cooperative enforcement agreement
with the EPA but does not have enough inspectable entities4 to justify its own
cooperative agreement, the EPA guidance suggests investigating whether the tribe can
affiliate with a circuit rider. Under this agreement, the EPA provides funding through
2 Section 26 of FIFRA authorizes the EPA to grant to a qualifying state the primary enforcement responsibility for
pesticide use violations.
3 EPA Office of Pesticide Programs and EPA Office of Enforcement and Compliance Assurance (OECA),
2015-2017 F1FR4 Cooperative Agreement Guidance (March 6, 2014), p. 1.
4 EPA regions determine if there is a sufficient number of inspection targets (names and addresses) to justify a
compliance and enforcement component of cooperative agreements. According to the EPA guidance, "the tribe must
have enough targets to ensure a minimum of 25 inspections of a mix and workload commensurate with the financial
resources and tribal capacity provided each year."
Pesticide Exposure
Pesticides are designed to harm
insects, weeds, disease-causing
organisms and other pests, and
have the potential to harm
people and the environment.
Potential risks include:
• Worker exposure during
pesticide use and application.
• Water contamination.
• Potential pesticide drift of
sprays and dusts to nearby
farms, homes, schools and
playgrounds.
20-P-0012
2
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a cooperative agreement to a tribe to conduct pesticide program activities on behalf of
the EPA within its tribal boundaries, as well as for other nearby participating tribes.
This tribal inspector is known as a "circuit rider." The EPA encourages the tribal
circuit rider approach whenever feasible because it provides pesticide program
assistance to a broader area than a single tribal program. Also, it allows those tribes
that may not want to have or are not well suited to having a single tribe pesticide
enforcement program to receive tribal pesticide enforcement assistance.
Work Plans
In FYs 2016 and 2017, the EPA funded 16 tribes and one inter-tribal organization
(hereafter referred to as "tribes") a total of $1.3 million each year for pesticide
enforcement cooperative agreements. Details are in Figure 2.
Figure 2: EPA funding to tribes for pesticide enforcement cooperative agreements in
FYs 2016 and 2017
FY 2016 Tribal Pesticide Enforcement
Cooperative Agreement Funding
FY 2017 Tribal Pesticide Enforcement
Cooperative Agreement Funding
Navajo Nation (R9)
$190,000
Navajo Nation (R9)
$203,000
Cheyenne River Sioux (R8)
3173,307
Cheyenne River Sioux (R8)
$168,981
Inter Tribal Council of AZ (R9)
Inter Tribal Council of AZ (R9)
$151,353
$151,353
Salish and Kootenai (R8)
1 $117,700
Coeur d'Alene (R10)
$104,000
Gila River (R9)
Coeur d'Alene (R10)
$103,318
$82,000
Duck Valley (R9)
$81,500
Colorado River (R9)
$71,000
Gila River (R9)
$79,476
Three Affiliated Tribes (R8)
$65,931
Colorado River (R9)
$71,000
Salish and Kootenai (R8)
$65,000
Three Affiliated Tribes (R8)
$64,574
Standing Rock Sioux (R8)
$65,000
Standing Rock Sioux (R8)
$64,475
Fort Peck (R8)
$65,000
Yakama Nation (R10)
$59,606
Pine Ridge (R8)
$65,000
Fort Peck (R8)
¦¦ $50,367
Yakama Nation (R10)
^¦1 $62,073
White Earth (R5)
m $43,711
White Earth (R5)
M $44,000
Ak Chin (R9)
¦ $30,000
Duck Valley (R9)
¦ $38,250
Coco pah (R9)
¦ $22,260
Coco pah (R9)
¦ $36,000
Salt River Pima (R9)
1 $14,902
Ak Chin (R9)
¦ $30,000
Pine Ridge (RS)
$0
Salt River Pima (R9)
¦ $20,000
Source: EPA OECA's Office of Compliance and EPA Regions 5, 8, 9 and 10.
Note: In the figure, after the name of each tribe, the "R" in the parentheses stands for "Region." For example,
"R9" represents "Region 9."
20-P-0012
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EPA FIFRA project officers in regional offices oversee tribal pesticide
enforcement cooperative agreements, negotiate work plans, monitor progress of
work-plan activities and provide fiduciary oversight. The EPA recognizes that
available resources, program capacity and needs for many tribes are very different
from those of most state pesticide programs. EPA FIFRA project officers and
tribal grantees negotiate work-plan activities based on priorities and the needs of
the tribes and the EPA. Each cooperative agreement with a tribe must be
accompanied by a completed FIFRA cooperative agreement work-plan that must
include:
• The work-plan components to be funded under the grant.
• Estimated work years and funding amounts for each work-plan component.
• A performance evaluation process and reporting schedule.
• The roles and responsibilities of the applicant and the EPA in carrying out
the work-plan commitments.
As a part of the work plan, tribes agree to conduct compliance and/or enforcement
activities under FIFRA. Tribes can conduct 10 types of FIFRA inspections (Table 1).
Table 1: Types of FIFRA inspections
Inspection type
Description
1. Use
Typically, an observation of an agricultural or non-agricultural pesticide
application or an inspection following an application.
2. For cause
Initiated in response to a complaint, damage report, referral, tip, or known or
suspected noncompliance.
3. Marketplace
Ensure industry compliance with product registration, formulation, packaging
and labeling requirements.
4. Producer
establishment
Conducted at an establishment where pesticides or devices are produced
and held for distribution or sale.
5. Certified applicator
license and records
Normally conducted at a pesticide applicator's place of business to
determine whether the (1) applicator is properly certified and/or licensed,
(2) required records are being maintained, (3) applicator is applying
pesticides only in those areas with a certification, and (4) records indicate
that all applications have been made in compliance with all applicable laws
and regulations.
6. Restricted-use
pesticide dealer
Determine compliance with FIFRA record-keeping requirements regarding
sales and distribution of restricted-use pesticides.
7. Import and export
Ensure that pesticides and devices (e.g., insect traps) imported into or
exported from the United States comply with FIFRA.
8. Experimental-use
permit
Determine whether the terms and conditions of the permit avoid
unreasonable adverse effects on the environment and whether the terms
and conditions of the permit are being met.
9. Worker Protection
Standard
Involve examining practices of agricultural and pesticide handler employers
and their employees to assess compliance.
10. Cancellation and
suspension
Determine compliance with EPA's orders concerning suspended and/or
canceled products.
Source: EPA OECA's Office of Compliance.
20-P-0012
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EPA FIFRA project officers conduct post-award monitoring to assess the status of
work being completed during that fiscal year. Tribes must report inspection
accomplishments to the EPA annually or as negotiated by the region. At the end of
the fiscal year, EPA FIFRA project officers conduct required end-of-year
evaluations of tribal performance under the agreements. In the end-of-year
enforcement evaluation, the EPA reviews accomplishments and discusses the
status of actual inspections compared to projected inspections. The evaluation
also addresses the status of the work-plan-required activities and documents any
issues or areas of concern. Project officers may also hold mid-year evaluations or
check-ins.
Responsible Offices
Within the EPA's OECA, the Office of Compliance and the Office of Civil
Enforcement develop national compliance monitoring and enforcement policies,
priorities and strategies for FIFRA. Pesticide enforcement grants are administered
by the Office of Compliance to support tribal pesticide inspection programs (and
tribal enforcement as described in the cooperative enforcement agreement). EPA
FIFRA project officers in regional offices oversee tribal pesticide enforcement
cooperative agreements.
Scope and Methodology
We conducted our work from September 2018 through July 2019. We conducted
this performance audit in accordance with generally accepted government
auditing standards. Those standards require that we plan and perform the audit to
obtain sufficient, appropriate evidence to provide a reasonable basis for our
findings and conclusions based on our audit objective. We believe that the
evidence obtained provides a reasonable basis for our findings and conclusions
based on our audit objective.
We reviewed relevant materials, including FIFRA, applicable regulations,
guidance documents and policy documents. We also interviewed OECA
headquarters staff and staff in the Office of Chemical Safety and Pollution
Prevention's Office of Pesticide Programs to understand the FIFRA pesticide
cooperative agreements, work-plan negotiation and review process, and overall
goals of the program at the national level.
We attended the Tribal Pesticide Program Council's full council meeting in
October 2018. The meeting provided information on current pesticide issues in
Indian country and updates from OECA and Office of Pesticide Programs staff.
We judgmentally selected two EPA regional offices (Regions 8 and 9) and two
tribes (the Cheyenne River Sioux Tribe in Region 8 and the Gila River Indian
Community in Region 9). We interviewed staff from these regions and tribes
about FIFRA tribal enforcement work plans and the negotiation process. We
20-P-0012
5
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collected additional information from pesticide and enforcement staff in EPA
Regions 5 and 10.
We also interviewed and collected information from four tribal pesticide circuit
riders (the Cheyenne River Sioux Tribe in Region 8, the Confederated Salish and
Kootenai Tribes in Region 8, the Inter Tribal Council of Arizona in Region 9, and
the Coeur d'Alene Tribe in Region 10). Further, we sent email questionnaires to
each of the participating tribes to gain a better understanding of their expectations
of the program and their experiences with circuit riders and EPA regional staff.
Prior Report
In EPA OIG Report No. 18-P-0079. EPA Can Better Manage State Pesticide
Cooperative Agreements to More Effectively Use Funds and Reduce Risk of
Pesticide Misuse, issued February 13, 2018, we evaluated whether the EPA's
negotiation, and review and approval of state work plans for compliance
inspections—which are required as part of FIFRA cooperative agreements—
support the achievement of agency goals and requirements. We identified
weaknesses in the processes that underlie the development and monitoring of
FIFRA compliance inspection work plans. We recommended that the agency
evaluate the reasonableness of work-plan funding and conduct a national review
to verify consistent program implementation. The EPA OIG agreed to a set of
agency corrective actions. The recommendations are considered resolved with
corrective actions pending.
20-P-0012
6
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Chapter 2
Tribal Pesticide Enforcement Comes Close to
Achieving EPA Goals, but Circuit Rider
Inspector Guidance Needed
The EPA's negotiation, review and approval of tribal pesticide cooperative
agreement work plans were close to supporting the achievement of the agency's
goals and requirements. For the FYs 2016-2017 period, we found that the
17 participating tribes completed 87 percent of projected inspections and met
86 percent of applicable work-plan requirements. For four of the 17 cooperative
agreements where the EPA provides funding to a tribe to conduct pesticide
program activities on behalf of the EPA within their tribal boundaries (as well as
for other nearby participating tribes), we found that the EPA can improve
planning and communication with tribes using pesticide circuit riders by
developing priority-setting plans, setting clear expectations and providing
feedback opportunities for these tribes about circuit rider performance and
pesticide-related concerns.
EPA's Tribal Pesticide Enforcement Work Plans Come Close to
Achieving Agency Goals and Requirements
The EPA's negotiation, review and approval of tribal pesticide cooperative
agreement work plans were close to supporting the achievement of agency goals,
primarily through negotiated tribal pesticide inspections and resulting
enforcement actions.
Based on negotiations with EPA FIFRA project officers, we found that the
17 participating tribes:
• Projected to conduct 529 pesticide inspections in FY 2017 and completed
491 (93 percent).
• Projected to conduct 584 pesticide inspections in FY 2016 and completed
472 (81 percent).
Figure 3 provides details. Four of 17 tribes indicated that they did not complete
the projected amount of inspections due to staff turnover. According to the EPA
2011 Guidance for Funding Development and Administration of Tribal Pesticide
Field Program and Enforcement Cooperative Agreements, "staff turnover may
create serious difficulties for the tribal pesticide program." One EPA FIFRA
project officer said that due to staff turnover some tribes must re-start their
compliance and enforcement programs (i.e., hire a new inspector and then ensure
the inspector receives all necessary training and obtains federal inspector
20-P-0012
7
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credentials). According to an OECA staff member, this is a lengthy process that
negatively impacts tribal enforcement performance. For example, the EPA
Region 9's FY 2017 End-of-Year Evaluation Report for the Shoshone-Paiute of
Duck Valley Tribe details the following: "The vacancy of the pesticide
coordinator position resulted in the lack of measurable results."
Figure 3: FYs 2016 and 2017 projected and actual pesticide enforcement inspection totals
FY 2016 Tribal Pesticide
Enforcement Inspection Numbers
FY 2017 Tribal Pesticide
Enforcement Inspection Numbers
~ Projected inspections
¦ Actual inspections
~ Projected inspections
¦ Actual inspections
Navajo Nation (R9)
1 78
78
Navajo Nation (R9)
1139
Cheyenne River Sioux (R8)
1 82
1 73
62
Cheyenne River Sioux (R8)
1 80
Gila River (R9)
| 51
Gila River (R9)
151
55
1 A 1
Ak Chin (R9)
45
Colorado River (R9)
141
¦¦1 41
Colorado River (R9)
40
| 50
^^^^¦40
Salish and Kootenai (R8)
^^¦40
Salish and Kootenai (R8)
| 45
Cocopah (R9)
128
35
Coeur d'Alene (R10)
25
Ak Chin (R9)
| 43
25
¦ 34
Salt River Pima (R9)
~1 28
Coeur d'Alene (R10)
25
25
25
¦
Three Affiliated Tribes (R8)
25
Three Affiliated Tribes (R8)
5
25
25
25
Standing Rock Sioux (R8)
25
Standing Rock Sioux (R8)
5
25
25
25
Cocopah(R9)
1 28
Fort Peck (R8)
5
25
23
25
Yakama Nation (R10)
Salt River Pima (R9)
0
23
Fort Peck (R8)
J"
¦ l2
Pine Ridge (R8)
lio
in
Inter Tribal Council of AZ (R9)
~ 6
0
Yakama Nation (R10)
i
Duck Valley (R9)
I] 10
0
White Earth (R5)
White Earth (R5)
0/0
Duck Valley (R9)
~ io
0
Pine Ridge (R8)
0/0
InterTribal Council of AZ (R9)
0/0
Source: EPA OECA's Office of Compliance and EPA Regions 5, 8, 9 and 10.
Note: In the figure, after the name of each tribe, the "R" in the parentheses stands for "Region."
For example, "R9" represents "Region 9."
In the EPA's 2011 Guidance for Funding Development and Administration of
Tribal Pesticide Field Program and Enforcement Cooperative Agreements, the
agency suggested that "to mitigate the impact of staffing changes on the viability
of the tribe's program a tribe should consider:
20-P-0012
8
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• "Cross-training its staff to enlarge the pool of skilled staff
members available to implement its pesticide program.
• "Encouraging 'peer matching' where personnel holding similar
pesticide program responsibilities in different tribes agree to
support each other by sharing experiences and challenges and
providing a forum for problem solving.
• "Investigating the feasibility of using a circuit rider for pesticide
field programs and/or compliance and enforcement programs."
Our review of agency data showed that tribes conducted nine types of pesticide
inspections in FYs 2016 and 2017. Use (agricultural and non-agricultural) and
marketplace inspections made up 88 percent of all completed inspection types for
FYs 2016 and 2017. (The two inspection types made up 90 percent of what the
tribes committed to in their negotiations with the EPA.) The types of inspections
conducted were based on identified priority risks to each participating tribe, and
accomplished inspections mirrored the numbers projected in the work plans.
The tribes also committed to perform other enforcement-related activities in
addition to the above inspections. For example, tribes agreed to manage and report
results of their agreements to the EPA, build staff expertise on pesticide issues,
provide outreach and compliance assistance, and maintain access to adequate
laboratory support.
We found that tribes met 86 percent of applicable work-plan commitments.
Fourteen percent of applicable commitments were "incomplete," with the most
common work-plan activities not being fully completed being the requirements to
maintain and follow Quality Management Plans and Quality Assurance Project
Plans. Nine of the 17 tribes were in the process of developing these plans.
Inspection-related activities made up 20 of the 25 required work-plan activities.
As a result, for four of the 17 tribes, many required work-plan activities were
noted in work plans as "incomplete" or "not applicable" due to the need to replace
and train a new inspector as a result of unforeseen turnover. Tribal inspections
conducted in FYs 2016 and 2017 resulted in eight EPA regional enforcement
actions. An example of an EPA enforcement action taken based on an inspection
conducted by a tribal pesticide circuit rider is detailed below.
20-P-0012
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Case Example: Pesticide Spray Drift Triggers "For Cause" Inspection and Civil Penalty
According to the EPA, "the drift of spray from pesticide applications can expose people, wildlife and the
environment to pesticide residues that can cause health and environmental effects." Staff and students at
a tribe's elementary school saw a plane that was spraying pesticides overhead near the playground area.
Some staff said that they smelled chemicals and had headaches, and one staff member said that his/her
car was wet from the plane's pesticide spray. School staff
contacted the EPA and the EPA's tribal circuit rider inspector
about possible pesticide contamination of the school, teachers and
students. The EPA's circuit rider inspector then conducted
"for cause" inspections at both the elementary school and the
location of the business that owned the plane. Samples taken from
playground equipment during the inspection by the EPA circuit
rider tested positive for the pesticides that were being sprayed by
the plane (see EPA photo on right). This was a violation of the
pesticide label language that states "Do not apply the product in a
way that will contact workers or other persons, either directly or
through drift. ... Avoiding spray drift is the responsibility of the
applicator." EPA filed an enforcement action and the violator
agreed to pay a $1,000 civil penalty.
jpmple Area I
EPA Can Improve Planning and Communication with Tribes Using
Pesticide Circuit Riders
In FYs 2016 and 2017, the EPA funded four tribal enforcement cooperative
agreements that included a circuit rider: Cheyenne River Sioux Tribe (Region 8),
Confederated Salish and Kootenai Tribes (Region 8), Inter Tribal Council of
Arizona (Region 9) and Coeur D'Alene Tribe (Region 10), as shown in Figure 4.
Figure 4: FY 2017 EPA tribal pesticide circuit rider summary
Cheyenne River SiouxTribe
FY 17 Funding: $240,760
FY 17 Projected Inspections: 82
Number of Circuit Rider
Inspectors: 2
Number of CircuitTribes: 9
MT
10
OR
SD
WY
NV
UT
CO
CA
AZ
AK
Coeur D'AleneTribe
FY 17 Funding: $104,000
FY 17 Projected Inspections: 25
Number of Circuit Rider
Inspectors: 1
Number of CircuitTribes: 6
Inter Tribal Council of Arizona
FY 17 Funding: $151,353
FY 17 Projected Inspections: 6
Number of Circuit Rider
Inspectors: 1
Number of CircuitTribes: 3
Confederated Salish and KootenaiTribes
FY 17 Funding: $65,000
FY 17 Projected Inspections: 50
Number of Circuit Rider Inspectors: 2
Number of Circuit Tribes: 4
Source: EPA's OECA Office of Compliance.
20-P-0012
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We found three areas where the EPA can improve its planning and communication
with tribes using pesticide circuit riders for FIFRA enforcement cooperative
agreements:
• The EPA did not require circuit riders to include tribes on their circuits in
plans for inspections to be conducted under cooperative agreements.
• The EPA lacks guidance for circuit riders on communicating with tribes on
their circuit about work-plan activities and inspections.
• The EPA did not solicit feedback from all participating tribes about circuit
rider inspector activities, performance or pesticide needs.
As a result, tribes using a pesticide circuit rider may not be fully aware of the scope
or outcome of activities circuit riders conducted and the EPA may not be aware of
changing pesticide needs or risks for these tribes. Improving planning and
communication with tribes using pesticide circuit riders could help the agency
identify tribal enforcement needs and pesticide risks, and measure the progress and
impacts of work-plan activities. Details follow.
Tribes Using Circuit Riders are Not Always Included in Priority-Setting
Plans for Inspections
EPA regions that oversee tribes with pesticide enforcement cooperative agreements
did not require priority-setting plans to include consideration of tribes being
serviced by circuit riders. Tribes are required to submit priority-setting plans for
regional review with their enforcement cooperative agreement application. Priority-
setting plans are to include:
• A list of the priorities.
• An explanation of the criteria for establishing priorities.
• A review of information sources and listing of problem areas.
• A ranking of problem areas to be addressed.
• A distribution of available resources to the problem areas based upon the
magnitude of the problem.
EPA regional staff said that the cooperative
agreement guidance and priority-setting
plans requirement only apply to the grantee
(circuit rider and host tribe). Staff in three
regions said it is up to the circuit rider to
determine if or how the needs of the other
tribes on their circuit are included in
priority-setting plans. For example, one
circuit rider said he/she did not have an
overall or circuit-wide priority-setting plan;
instead, the inspector proposed that each
tribe on the circuit develop and implement
Promising Practice
According to EPA Region 8 staff,
development is underway for
documents and lists of specific
inspection entities (names and
addresses) for Region 8 tribes (and
states) for FY 2019. This initiative
addresses regional concerns about
tribes inspecting the same
locations for many years and
adding variety in the types of
inspections conducted by tribes.
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its own priority-setting plans. Another circuit rider used a priority-setting plan but
the plan did not explain how tribes are prioritized. As a result, tribes on a circuit
may not be consistently included when circuit riders are developing priority-
setting plans for pesticide inspections.
EPA Can Improve Circuit Rider Guidance on Communicating with Tribes
An OIG email questionnaire sent to the 17 tribes that use circuit riders found that
four of the five tribes that responded were generally satisfied but had varying
expectations for the services provided by their circuit rider. One tribe said its
expectations for the circuit rider were based on annual work-plan activities in the
tribal enforcement cooperative agreement. Three tribes said their circuit rider
discussed work-plan activities and inspections with them at an annual meeting.
However, the remaining tribe said that when it joined the program the EPA did
not provide it with any information on the role of the circuit rider and what to
expect.
According to the EPA, for each tribal pesticide enforcement agreement that
includes a circuit rider, the EPA enters into a cooperative enforcement agreement
with the tribe that will be hosting the inspector. According to the agency, the EPA
also requires written agreements among the EPA, the tribe with the circuit rider
cooperative agreement, and all tribes that agree to allow the circuit rider to
conduct inspections on their tribal lands.
We found that the enforcement agreements between the EPA and the circuit riders
only provide information on the circuit riders' roles and responsibilities associated
with conducting pesticide inspections and general conditions for carrying out the
agreement with the EPA and the host tribe.5 As a result, some circuit tribes may
not know how and when to expect circuit riders to communicate with them about
EPA-related work-plan activities, inspections and other pesticide incidents that
may affect their communities.
EPA Can Improve Feedback Opportunities for Participating Tribes
None of the circuit riders or tribes that use circuit riders we spoke with said they
were aware of the EPA or a regional office contacting the tribes on their circuits
to ask them for feedback on either inspector performance or how effective the
program had been in addressing their pesticide needs and risks.6 EPA regional
staff told us that they instead rely on circuit riders for continuous feedback
during the year about the activities with the tribes they serve. The circuit riders
5 The 2016 authorization agreement between EPA Region 9 and the Inter Tribal Council of Arizona Inc. has a
section that details EPA Region 9's role in communicating inspection results to participating tribes. According to
EPA Region 9 staff, no feedback has been provided to participating tribes due to delays in receiving inspection
reports from the council.
6 According to the agency, EPA Region 10 staff meet with all circuit rider tribes and the tribal inspector annually at
an in-person meeting.
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we spoke with said they receive ongoing feedback from these tribes about their
services throughout the year while in the field, at tribal events and trainings, and
through on-the-job communications and other interactions with tribal staff.
As a result, the EPA may not be aware of changes in pesticide program needs or
risk for tribes on a pesticide circuit. For example, two tribes we heard from said
that using a circuit rider no longer meets their pesticide enforcement needs and
they would like to transition toward administering their own pesticide
enforcement programs. One of these tribes recently entered into its own
enforcement cooperative agreement with the region. Feedback from tribes that use
circuit riders could help the EPA track progress toward achieving national and
regional goals; identify exposure and risk in tribal lands; and help support
necessary changes to individual pesticide enforcement cooperative agreements
and work plans.
Conclusion
Tribes with pesticide enforcement cooperative agreement work plans were close
to supporting the achievement of the EPA's goals and requirements for pesticide
enforcement. We found that for the FYs 2016-2017 period, the 17 tribes
completed 87 percent of projected inspections and met 86 percent of applicable
work-plan requirements, some with assistance from tribal circuit riders. To
improve the circuit rider process, the EPA needs to set clear expectations, develop
priority-setting plans, and provide feedback opportunities for tribes serviced by
circuit riders. These actions should help the EPA identify tribal pesticide risks,
measure progress toward goals, and support work-plan changes. Such action
should enable the EPA to better detect and prevent pesticide misuse and
unnecessary risks to human health and the environment in Indian country.
Recommendations
We recommend that the Assistant Administrator for Enforcement and
Compliance Assurance:
1. Require circuit riders to include the pesticide needs and risks of each tribe
on their circuit in the development of their priority-setting plans, which are
a required component of tribal pesticide enforcement cooperative
agreements.
2. Develop and implement tribal circuit rider guidance for pesticide
inspectors that includes expectation-setting and communication with tribes
that are being served under a tribal pesticide enforcement cooperative
agreement.
3. Develop and implement regional processes to receive feedback directly
from tribes using pesticide circuit riders.
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Agency Response and OIG Evaluation
The agency agreed with our recommendations and provided acceptable corrective
actions and completion dates for all three recommendations. The agency's
response to our draft report is in Appendix A.
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Status of Recommendations and
Potential Monetary Benefits
RECOMMENDATIONS
Rec.
No.
Page
No.
Subject
Status1
Action Official
Planned
Completion
Date
Potential
Monetary
Benefits
(in $000s)
1
13
Require circuit riders to include the pesticide needs and risks of
each tribe on their circuit in the development of their priority-
setting plans, which are a required component of tribal pesticide
enforcement cooperative agreements.
R
Assistant Administrator for
Enforcement and
Compliance Assurance
12/31/22
2
13
Develop and implement tribal circuit rider guidance for pesticide
inspectors that includes expectation-setting and communication
with tribes that are being served under a tribal pesticide
enforcement cooperative agreement.
R
Assistant Administrator for
Enforcement and
Compliance Assurance
12/31/22
3
13
Develop and implement regional processes to receive feedback
directly from tribes using pesticide circuit riders.
R
Assistant Administrator for
Enforcement and
Compliance Assurance
12/31/22
1 C = Corrective action completed.
R = Recommendation resolved with corrective action pending.
U = Recommendation unresolved with resolution efforts in progress.
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V
Appendix A
Agency's Response to Draft Report
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1. Require circuit riders to include the pesticide needs and risks of each tribe on their
circuit in the development of their priority-setting plans, which are a required
component of tribal pesticide enforcement cooperative agreements.
2. Develop and implement tribal circuit rider guidance for pesticide inspectors that
includes expectation-setting and communication with circuit tribes that are being
served under a tribal pesticide enforcement cooperative agreement.
3. Develop and implement regional processes to receive feedback directly from tribes
using pesticide circuit riders.
OECA agrees with the draft report's recommendations. While the EPA's guidance on tribal
cooperative agreements does not explicitly require joint priority setting or establish specific
expectations for communication with circuit rider tribes, OECA is confident that the regions and
circuit riders understand the importance of providing high-quality service to the circuit rider
tribes and the need for ongoing, substantive communication. In the absence of specific guidance,
however, the regions and circuit riders address those goals in various ways.
In coordination with the regions, the Office of Pesticide Programs, and tribal representatives,
OECA will develop guidance to the regions on establishing efficient and effective
communication between the circuit riders and the tribes they visit and among the EPA regions,
the circuit riders and the tribes participating in the circuit rider program. The guidance will
specify that part of regular communication among these parties will be a focus on inspection
priorities, compliance assurance needs, and feedback on the services provided by the circuit
rider. Because of the inter-office coordination and tribal consultation that will be necessary,
OECA commits to completing the development of interim guidance by December 31, 2020.
OECA also commits to evaluating implementation of the interim guidance before finalizing the
guidance by December 2022.
Recommendation
Corrective Action
Date
1. Require circuit riders to include the
pesticide needs and risks of each tribe on
their circuit in the development of priority-
setting plans, which are required
component of tribal pesticide enforcement
cooperative agreements.
OECA agrees to develop
guidance which will require
circuit riders to include the needs
and risks of each tribe on their
circuit in the development of
priority-setting plans, which are
required component of tribal
pesticide enforcement
cooperative agreements.
Interim
Guidance by
12/31/20.
Final
Guidance by
12/31/22.
2. Develop and implement tribal circuit
rider guidance for pesticide inspectors that
includes expectation-setting and
communication with circuit tribes that are
being served under a tribal pesticide
enforcement cooperative agreement.
OECA agrees to develop
guidance for pesticide inspectors
that includes expectation-setting
and communication with circuit
tribes that are being served under
a tribal pesticide enforcement
cooperative agreement.
Interim
Guidance by
12/31/20.
Final
Guidance by
12/31/22.
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3.Develop and implement regional
processes to receive feedback directly
from tribes using pesticide circuit riders.
OECA agrees to develop
regional processes to receive
feedback directly from tribes
using pesticide circuit riders.
Interim
Guidance by
12/31/20.
Final
Guidance by
12/31/22.
OIG Response: In a subsequent correspondence, OECA confirmed that it would develop
and implement the guidances and processes agreed to in its corrective actions in response to
all three recommendations.
Contact Information
If you have any questions or concerns regarding this response, please contact the OECA Audit
Liaison, Gwendolyn Spriggs, at (202) 564-2439.
Attachment
cc: Lawrence Starfield, OECA
Patrick Traylor, OECA
David Hindin, OECA/OC
Martha Segall, OECA/OC
Rochele Kadish, OECA/OC
Gwendolyn Spriggs, OECA/OAP
Rosemarie A. Kelley, OECA/OCE
Gregory Sullivan, OECA/OCE
Royan Teter, OECA/OCE
Richard Keigwin, OCSPP/OPP
Jackie Mosby, OCSPP/OPP
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Appendix B
Distribution
The Administrator
Assistant Deputy Administrator
Associate Deputy Administrator
Chief of Staff
Deputy Chief of Staff
Assistant Administrator for Enforcement and Compliance Assurance
Assistant Administrator for Chemical Safety and Pollution Prevention
Assistant Administrator for International and Tribal Affairs
Agency Follow-Up Official (the CFO)
Agency Follow-Up Coordinator
General Counsel
Associate Administrator for Congressional and Intergovernmental Relations
Associate Administrator for Public Affairs
Principal Deputy Assistant Administrator for Enforcement and Compliance Assurance
Director, Office of Continuous Improvement, Office of the Administrator
Director, Office of Civil Enforcement, Office of Enforcement and Compliance Assurance
Director, Office of Compliance, Office of Enforcement and Compliance Assurance
Director, American Indian Environmental Office, Office of International and Tribal
Affairs Audit Follow-Up Coordinator, Office of the Administrator
Audit Follow-Up Coordinator, Office of Enforcement and Compliance Assurance
Audit Follow-Up Coordinator, Office of Chemical Safety and Pollution Prevention
Audit Follow-Up Coordinator, Office of International and Tribal Affairs
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