905R86105
REGIONAL PLANNING AND MANAGEMENT SYSTEM
U.S. ENVIRONMENTAL PROTECTION AGENCY
REGION V
JUNE, 1986
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION V
DATE: 06 JUN 1986
SUBJECT: py 87 Regional Planning and Management System Guidance
FROM:valdas V. Adamkus Alan Levin
Regional Administrator Deputy Regional Administrator
'Division/Office Directors
Attached is the final guidance for the Region's FY 87 Planning and Manage-
ment System. The guidance includes the RA/DRA's FY 87 Priorities (Appendix A)
and explains the management systems and schedules we will use during the
remainder of FY 87 to develop objectives, strategies, and workplans, assign
accountability and evaluate performance.
The FY 87 Planning and Management System is not greatly changed from last
year's System. We have made some minor format revisions so that future
system changes can be more easily incorporated. Also, the FMFIA section
has been revised to reflect new emphases and strengthened requirements.
In order to incorporate these changes into our Regional operations, we
encourage the distribution of the System guidance to all Regional Managers
and Supervisors. Everyone should pay particular attention to the updated
Planning and Management System schedules and the revised FMFIA section.
- - (Appendix 8)
We are confident the FY 87 Planning and Management System will build upon
past System experience and continue to be a fundamental part of the way we
accomplish our envi ronnental and programmatic goals..
Valdas V. Adattfkus /\ Alan Levin
Attachments
Addressees:
C. Sutfin, Director, Water Division
D. Kee, Director, Ai r Management Division
B. Constantelos, Director, Waste Management Division
W. Sanders, Director, Environmental Services Division
R. Springer, ARA for Planning and Management
J. Grand, Director, Office of Public Affairs
P. Wise, Director, Great Lakes National Program Office
R. Schaefer, Regional Counsel
EPA FORM 1320-6 (REV. 3-76)
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REGIONAL PLANNING AND MANAGEMENT SYSTEM GUIDANCE
TABLE OF CONTENTS
Page
Int reduction ,, ^ 1
System Overview , 2
System Oversight...,, 3
I. Program Planning Cycle ,, 4
0 SPMS 4
0 EMR Update , 4
0 FMFIA Requirements 4
0 Intra-regional Coordination , 5
A. Developing Objectives ,. 6
B. Developing Workplans , 6
C. Review of Draft Workplans , 7
D. Submittal of Final Workplans 7
II. Program Management Cycle 8
A. Quarterly Review Meetings 8
R. Management Reviews .... 8
C. Changes to Workplans 8
III. Federal Managers Financial Integrity Act (FMFIA) 9
A. Overview < 9
B. Development of FMFIA into Regional Objectives 9
C. Monitoring FMFIA Activities ,. 10
D. FMFIA Coordination , > 10
IV. Performance Standards and Evaluation Cycle 11
A. Performance Standards Development.. 11
B. Performance Standards Schedule , 11
C. Performance Standards Tracking and
Performance Awards 11
V. External Planning Cycle , I?.
A. Regional EMR Development 1?
B. Agency Guidance and SPMS Review 13
C. State Specific Guidance 13
D. State Workplans 14
E. State/EPA Enforcement Agreements 14
F. Development and Awarding of State Cooperative Agreements... 14
G. Monitoring and Evaluation of State Performance..... 15
H. Technical Assistance 15
I. End-of-Year Close-Out Meeting 15
VI. Management and Budget Cycle 17
0 Workload Analysis 1.7
0 Position Allocations 18
0 Staffing Charts 18
0 Operating Plan 19
0 Organizational Budgets » 19
0 Training Plan 20
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Appendix A RA/DRA's Priorities
Appendix B.. Planning and Management System's Schedule
Appendix C Standardized Format forUorkplan
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Regional Planning and Management System Guidance
The Region V's Planning and Management System encompasses six, on-going
cycles of management activity which interlink and run parallel in time:
I. The Program Planning Cycle during which we determine the direction and
focus of our activities, and plan and organize work for the fiscal year
so that we address Agency/Regional priorities and meet objectives.
II. The Program Management Cycle during which we monitor implementation of our
plans.
III. The FMFIA (Federal Managers Financial Integrity Act) Cycle during which
management practices with potential vulnerability for fraud and abuse
are identified, and internal control systems are developed, tracked and
reported on.
IV. The Performance Standards and Evaluation Cycle during which employee
performance standards are developed, employees performance evaluated,
and awards recommended.
V. The External Planning Cycle during which overall milestones for State/EPA
interaction occur, culminating in an end-of-year close-out meeting.
VI. The Management and Budget Cycle during which the Region determines how
it will divide resources (dollars and positions) and how it will manage
them.
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U.S. EPA - HQ
National
Guidance
(SPMS)
National
Budget
RA/DRA
Priorities
FMFIA
Program
Planning
Cycle
Management
and Budget
Cycle
Program
Management
Cycle
Performance
Standards
and Evaluation
Cycle
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REGIONAL PLANNING AND MANAGEMENT SYSTEM GUIDANCE
INTRODUCTION
The purpose of the Regional Planning and Management System is to focus work on
the environmental and programmatic priorities as determined by Headquarters,
the Region, and the States. The planning and management process is a management
system which provides the tools by which we organize the Region's work. It is
the means by which we direct productivity, assign accountability, and judge
effectiveness. The components of our Regional Planning and Management System -
objectives, workplans, performance standards - are dynamic in nature; we use
them to estimate where we want to be in the future and to manage how we get there.
Over time, Region V has refined its basic planning system to a point accepted
and supported by the Divisions and Offices. This guidance documents that
"core" system which should not change substantially from year to year. The
system guidance has been divided into individual sections corresponding to the
six major system cycles. As changes occur in the Agency's process, the re-
spective section relating to that particular cycle will be updated to reflect
current policy and procedures.
The Regional Planning and Management System also serves as an extension of the
Agency's Strategic Planning and Management System (SPMS). Within SPMS, the
Agency produces operating guidance which articulates EPA's goals and objectives,
provides direction, and sets priorities. To support the guidance and achieve
the goals, Headquarters, Regions, and the States make commitments to take
specific actions (SPMS measures). Then, the Agency uses reporting systems to
monitor progress on these commitments at Headquarters, in the Regions, and the
States.
It is the Region's responsibility to impact National goals and policies so
that Regional concerns are fully considered, and to translate National goals
to the Regional situation. Furthermore, the Region must conduct oversight in
environmental programs delegated to the States, and implement those programs
not delegated, so that our goals are clearly in view. Finally, we must monitor
progress toward goals and take corrective action where needed.
The major areas of emphasis in the process include the following.
0 focusing on environmental planning and results
0 strengthening our State relationships
0 addressing the RA/DRA's priorities (Appendix A)
0 working effectively as a regional team
0 addressing the Administrator's and national program guidance and
priorities
0 meeting regional commitments in the Strategic Planning and Management
System (SPMS)
ensuring that accountability is built into the regional management process
0 interdivisional coordination
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1.
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Planning and Management System Overview
The Planning and Management System includes, the concepts of the Program
Planning and Management Cycles, the Management and Budget Cycle, and the
External Planning Cycle which consists of milestones for State/EPA interaction.
Activities related to the development of FMFIA internal control procedures
and employee performance standards are separated out as parallel cycles.
As previously established, the Media Managers (MMs) are the focal points for
directing planning activities and coordinating regional operations for their
corresponding media - air, water, and hazardous waste. The Toxics Coordinating
Committee (TCC), the Groundwater Coordinating Committee (GWCC), and the Great
Lakes Coordinating Committee (GLCC), continue to be responsible for the develop-
ment, implementation, and oversight of regional strategies for addressing
environmental problems identified in the areas of toxicant contamination,
groundwater protection, and the Great Lakes, respectively. Also, Directors
for the Planning and Management Division, Environmental Services Division,
Office of Public Affairs and Office of Regional Counsel oversee the Planning
and Management System for their respective programs.
Organizational workplans are developed which outline activities necessary
to accomplish objectives. Objectives are driven by the following elements:
National guidance, RA/DRA priorities, SPMS by commitments, environmental
results, program operations, commitments to States and other agencies, and
internal control improvements (under FMFIA). The Deputy Regional Administrator
(DRA) will review and approve organizational objectives to ensure that the
above areas are appropriately addressed and that managers' performance
standards are effectively linked to the accomplishment of those objectives.
Following this, organizational workplans will again be used as a basis to
develop performance standards for regional personnel. During the operating
year, the DRA will monitor regional progress in meeting workplan commitments
through quarterly review meetings which assist him in evaluating program
implementation and in conducting performance evaluations. Additionally,
the DRA will provide regular feedback to each organization on the progress
being made towards meeting the objectives outlined in its workplans.
The Management and Budget Task Force (M&BTF) oversees the management and
budget cycle and is used for reaching consensus and/or providing recommen-
dations to the Regional Administrator (RA) on interorganizational budgetary
and resource issues.
The Planning and Management System is a framework outlining major milestones
that are to be met as we plan for the next fiscal year's activities and
as we oversee the implementation of those activities throughout the year;
as such, the system is on-going. The due dates for the milestones that are
identified in the Planning and Management System's schedule (Appendix B)
provide final dates by which specific outputs are due. Managers have the
flexibility to move ahead more quickly than this schedule outlines and, in
fact, are encouraged to do so. Managers should establish their own internal
working due dates to ensure these process due dates are met, coordinating
with other programs, where appropriate.
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Planning and Management System Oversight
Management responsibility for the Regional Planning and Management System
is tiered. The DRA has overall responsibility for ensuring that the RA's
needs are adequately addressed, that major products are appropriate and
timely, and that any major outstanding issues are resolved. RA level needs
are those that deal with, for example, Agency priorities, Regional/State
commitments to Headquarters, major Regional-specific environmental problems,
major management adjustments, or State oversight problems. Division/Office
Directors are responsible for identifying organizational objectives that
warrant PA/DRA - level attention, and for ensuring that supporting objectives,
at the branch, section, and unit levels, are developed.
Unforeseen circumstances, during the course of the year, can dictate the need
to adjust activities to meet objectives, or to change objectives. Managers
throughout organizational lines are responsible for exercising good judgment
in making appropriate adjustments so that we meet our environmental and pro-
grammatic goals. The usual method for making such adjustments is to propose
them to the next higher level of management, thus Sections to Branch, etc., -
except when the change warrants RA/DRA involvement, such as for SPMS, where
RA/DRA approval is necessary.
Monitoring implementation of the Planning and Management System is the respon-
sibility of the Planning and Budgeting Branch (PBB) Chief, who is the plan-
ning and Management System coordinator on behalf of the Assistant Regional
Administrator (ARA), and functions as an advisor to Division and Office
Directors, and acts as staff to the DRA, as needed. The PBB Chief is respon-
sible for tracking the overall progress of the Regional Planning and
Management System and for tracking the production of essential process out-
puts. The PBB Chief resolves issues, if possible, or surfaces issues that
must be resolved by the ARA or DRA.
The MMs and the TCC, fiWCC, GLCC, and M&RTF chairpersons are responsible for
ensuring that the media-related activities and products for which he/she is
responsible (as outlined in this guidance), are coordinated, completed, and/or
produced. Each MM should ensure that the varying interests of the appropriate
organizations are synthesized into one regional approach for the major com-
ponents of the Planning and Management System. Substantive differences
should be identified and a forum for decision-making provided. At a minimum,
each MM should coordinate 1) the media comments on the national guidance,
2) the guidance to be issued by the Region to the States, 3) objective setting
and the relevant portions of the regional workplans, and 4) the Region's
midyear and end-of-year evaluations on each State's progress in meeting its
environmental objectives.
Each MM is responsible for taking the measures necessary to meet these respon-
sibilities and is encouraged to hold media coordinating conmittpe meetings to
do so. Should a MM elect to hold meetings, an agenda should be circulated to
all members, the DRA and the PBB Chief at least 5 working days prior to any
meeting called, and a summary prepared of any major decisions, recommendations
and outstanding issues requiring resolution, that result from the meeting.
This summary is to be provided to all committee members, the DRA and the PBB
Chief within one week following the meeting.
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I. PROGRAM PLANNING CYCLE
As outlined earlier in this guidance, MMs are responsible for overseeing*
program planning and ongoing media coordination. Each MM has overall respon-
sibility for determining what is to be accomplished in the medium during the
fiscal year and for ensuring that the regional approach reflects the medium's
program managers working as a team. Each MM is the focal point to provide
interdivisional coordination in developing and implementing regional strategies
to achieve environmental results; in developing consolidated medium approaches
for State interface and coordinating subsequent State/EPA interaction; and
in fulfilling regional commitments to Headquarters, States or other agencies.
Following is an outline of the key steps that are to be taken in the program
planning cycle of the Regional Planning and Management System.
0 Strategic Planning and Management System (SPMS)
Draft SPMS measures are included in the draft Agency Operating Guidance
distributed by Headquarters and reviewed by the Region in January. Final
SPMS measures are included in the Agency's final Operating Guidance.
The Region begins to negotiate commitments for these measures with the States
and Headquarters during the spring and summer. Final Regional commitments,
including those involving the States, must be negotiated and submitted to
Headquarters by mid-August. Performance data will be entered into the various
computer and manual data management systems on a regular basis. As in past
years, this information will be pulled on a predetermined date and incorporated
into the Quarterly SPMS reports. Continued emphasis must be placed on entering
all data correctly into the various data systems so that our data are consistent
with Headquarters' data.
0 EMR Update
The Region continues to plan for environmental results. As reflected in
managers' performance standards, each MM is challenged with making strides in
environmental results planning. The Region undertakes EMR activities which
emphasize State involvement, geographic problems and development of environ-
mental indicators.
The process for accomplishing the annual EMR activity will include full
participation by senior managers with PBB providing staff support and co-
ordinating the effort. Specific guidance on EMR activity will be issued
annually.
0 Managers Financial Integrity Act (FMFIA) Requirements
To effectively implement FMFIA requirements in correcting internal control/
management weaknesses, FMFIA was integrated into the Regional Planning and
Management System. This is facilitated by the similarity of FMFIA1 s quarterly
reporting requirements and the Regions quarterly workplan reviews. Each
Division/Office is responsible for developing draft and final FMFIA objectives;
delineating key action steps, timetables, and responsible personnel in their
draft and final workplans; and monitoring FMFIA activities through the
quarterly annotated workplans.
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Identification of Areas for Improvements in Intra- regional Coordination
Each Division/Office is responsible for identifing areas where improvements
should occur in the coming fiscal year. [Examples of areas where increased
coordination can improve management or program operations are: coo.rdination
between the Planning and Management Division and other programs regarding
data processing practices; coordination between Office of Regional Counsel
(ORC) and other programs concerning case conduct and development; and, coordi-
nation between the Waste Management Division and other programs on the Record
of Decision (ROD) process].
It is also the responsibility of each Division/Office to identify necessary
outputs needed from other programs in the coming fiscal year in order to carry
out environmental and program objectives. [Examples of expected outputs
include numbers and types of inspections, schedules and requirements for quality
assurance activities, and numbers and types of samples to be analyzed].
A written list and description of the identified areas for improved coordi-
nation and required outputs must be prepared by each Division/Office and
transmitted to other affected programs, with a copy to the DRA. The lists can
then be used as a basis for negotiations from which Divisions/Offices develop
objectives/workplans for the coming fiscal year. These lists need to be
developed early in conjunction with the resource allocation process to insure
completion in time for inclusion in the draft workplan submittals. The DRA
will review the workplans to ensure these areas are appropriately included
in organizational workplans.
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A. Developing Objectives
An essential element to the success of our Regional Planning and Management
Systen is the participation by all levels of management in setting objectives.
Objectives should be negotiated with those who share responsibility in meeting
them. Top management has the responsibility of ensuring that specific
organizational objectives reflect agreement and understanding by their line
managers and support programs. Furthermore, objectives must be clearly
communicated to affected personnel.
In an effort to gain mutual understanding and agreement on the Region's major
objectives senior managers will present thei r organizational objectives at
one joint session. This should occur prior to DRA final approval of organi-
zational objectives.
Organizational Objectives
Division/Office Directors are responsible for preparing draft organizational
objectives for the DRA's review. Objectives must specifically address regional
commitments/requirements related to the following categories:
0 carrying out national guidance (including the Administrator's and
National Program Manager guidance)
0 fulfilling regional commitments to the SPMS
0 accomplishing the RA/DRA priorities
0 carrying out program operations, including corrective action under FMFIA
0 fulfilling commitments to States and other agencies
0 implementing strategies to resolve environmental problems
Division/Office Directors should be selective about which objectives warrant
RA/DRA level attention. Organizations are encouraged to begin developing
objectives as soon as possible. MMs should sort out appropriate organizational
roles and responsibilities for objectives with shared responsibilities within
the media.
The DRA reviews and comments on draft objectives prepared by organizations.
These draft objectives shall be submitted by Division/Office Directors to
the DRA in early June. The DRA will provide comments on these draft objec-
tives to each organization within 2 weeks of receipt. Final revised objec-
tives, based upon any DRA additions or modifications, shall be resubmitted to
the DRA within 2 weeks. The DRA will determine final approval.
B. Development of Organizational Workplans
Division/Office Directors will be responsible for preparing organiza-
tional workplans, and for ensuring that any specific concerns articulated
in the DRA's comments on draft objectives, are subsequently incorporated
into workplans.
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Because these workplans are monitored and tracked during the fiscal year, it
is imperative that the workplans clearly specify the steps needed to accomplish
an objective, milestones for completion, outputs/products that will result,
assign responsibility for implementation, and any contingencies/assumptions.
In order to provide for uniformity and consistency in workplans, the standardized
format developed for previous workplans will be used. (Appendix C).
Instructions on specific requirements for workplans will be provided to organi-
zations in mid-May. Before the workplans are developed, PBB will meet with
each Division/Office to discuss these requirements and the overall work-
planning process in more detail. PBB staff will also be available to assist
regional managers during the development of the workplans.
Draft organizational workplans are to be submitted to the DRA for review in
early August. Prior to submittal to the DRA, Division/Office Directors are
responsible for coordinating workplans with affected or involved organizations.
If an orgnanization is responsible for any activities related to an environmental
strategy developed by the TCC, GWCC or the GLCC, the appropriate TCC/GWCC/GLCC
chairperson should also have reviewed that organization's workplan prior to
DRA submittal. MMs have overall responsibility for ensuring continuity and
coordination among all organizations' workplans for media-related objectives.
Any unresolved issues should be identified, in writing, and submitted to the
ORA when the workplan is submitted.
C. Review of Draft Organizational Uorkplans
The DRA, with assistance from PBB, reviews organizational workplans to ensure
that the RA/DRA priorities are adequately addressed, regional commitments
will be met, and that major products are appropriate. The DRA will also resolve
any outstanding issues identified to him. Comments on draft workplans will be
provided to Directors within 2 weeks after receipt.
D. Submittal of Final Workplans
Directors will be responsible for addressing any comments received. Final
workplans are to be submitted to the DRA for approval in early September.
DRA response will occur within 2 weeks after receipt.
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II. PROGRAM MANAGEMENT CYCLE
Plans, by nature, are estimates of the future. Once the operating year begins,
it is necessary to ensure effective, productive management so the plan can be
implemented. All levels of management monitor activities to achieve results
expected from the Region; however, it is equally necessary that the management
style be flexible enough to deal with real changes and events which occur
during the operating year.
A. Quarterly Review Meetings
The PRA will be responsible for implementing a system for reporting progress
on regional commitments to HQ and other major organizational objectives and
workplans. As in SPMS, tracking is the link between plans and performance.
Quarterly workplan reviews will ensure that the Region is getting the desired
results.
Each quarter, Division/Office Directors will submit annotated workplans - clearly
indicating when and how key action steps have been completed, or if due but
not completed, why - to the DRA for review. The DRA will meet quarterly with
each program to discuss progress. At quarterly review meetings, managers will
focus on the accomplishments of and significant problems encountered in the
last quarter. Where reasons for significant slippages are not readily apparent,
management reviews are undertaken to identify necessary corrective actions.
The P8R will facilitate this process and serve as staff to the DRA/ARA to
coordinate these activities.
R. Management Reviews
Each manager, who has responsibility for fulfilling our plans, must establish his
or her own monitoring system for assessing progress and adjusting to change. The
workplans provide key objectives and major activities for our organizations; so,
work of others must be effectively monitored and routinely compared to workplans
to reexamine what progress is being made, what adjustments are necessary to meet
objectives, and which activities should be changed due to unanticipated events.
C. Changes to Workplans
Changes to workplan objectives or to key action steps that affect outputs,
which were approved by the DRA, can be made by submitting the changes, along
with the reasons for the changes, to the DRA. However, the mere fact that a
commitment is unlikely to be achieved is not considered sufficient cause for
change. Additionally, before negotiations to change SPMS commitments with the
Headquarters' program office begin, all requests for proposed changes must be
submitted to the RA, through the DRA, with a copy to PBB. A brief explanation
of the reason(s) for the changes should also be included. After the RA approves
the requested commitment changes and negotiations with the program office are
completed, the Division should route a formal transmittal memo through the
Planning and Management Division for the RA to send to the National Program
Manager (NPM). After RA signature, PRB will send a copy of this transmittal
nemo to the Office of Management Systems and Evaluation (OMSE).
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III. FEDERAL MANAGERS FINANCIAL INTEGRITY ACT (FMFIA) REQUIREMENTS
A. Overview
EPA is required to identify, report, and correct all actual or potential
instances of waste, fraud, abuse, and mismanagement in the Agency, including
the possible perception of weak controls. It is a broad mandate covering
all internal control weaknesses needing correction and does not apply
to just financial management aspects of the Agency's operations.
It should include all regional management practices and systems whether
related to State programs, Region V commitments to Headquarters, or just the
daily operation of the Region. The intent is to improve the management of
all regional practices and systems when weaknesses become evident.
The FMFIA process relies heavily upon self-evaluations and assurances of
internal controls at sub-primary office (i.e., Regional Office) levels called
assessable units. Beginning in FY 1986, each Regional Division and Division-
level office is an assessable unit.
Annually in the spring, the Region is required to update its existing internal
control documentation which addresses how the Region is managing various
internal control functions (assessable units, event cycles, control objectives,
and control techniques).
Every two years (i.e., FY 1986, 1988, etc.) vulnerablity assessments of each
assesable unit must be conducted. All program and administratrive areas are
ranked in terms of their potential vulnerabl il ity or susceptibility to fraud,
waste, abuse, mismanagement or perception of such occurrences. Areas of high
potential vulnerability must undergo an internal control review, testing exist-
ing control mechanisms to determine whether controls are adequate. Any weakness
discovered during internal control reviews, or as a result of audits of Regional
programs or other reviews and activities by Regional staff, must be corrected as
quickly as possible.
Following the end of each fiscal year the RA is required to submit an annual
assurance letter to Headquarters identifing actions taken during the year to
assure (and improve upon) the adequacy of the Region's internal controls. All
administrative and program weaknesses identified during the fiscal year but not
corrected by year-end must be reported in the RA's letter. The weaknesses are
entered into a National Corrective Actions Tracking system (CATS). Quarterly
status reports on CATS actions are required until all corrective actions are com-
pleted.
The Administrator uses the annual assurance letter from each RA (and Headquarters'
AAs) to submit an annual statement to the President and Congress on the status of
the Agency's internal control systems.
B. Development of FMFIA into Regional Objectives
Because of FMFIA1s goal of correcting internal control/management weaknesses and
its recurring reporting requirements, it is advantageous for the Region to integ-
rate FMFIA into the regional planning process of objective setting, workplanning
9.
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and nonitoring. To the extent possible, internal control initiatives
should he included when establishing draft and final organizational
objectives. Not unlike SPMS, the development, assessment and maintenance
of internal controls is an ongoing process with activities which can
be estimated early and updated as the fiscal year progress. These
activities should be included in the draft workplans with key action
steps, timetables and responsible personnel identified as soon as
possible.
C. Monitoring FMFIA Activities
As part of the workplan, FMFIA objectives will be monitored at least every
quarter when annotated workplans are submitted to the ORA. Each quarter's
annotated workplan should concide with the Region's CATS status reports,
making the system not only more effective, but streamlined. Hhile
separate CATS foms are needed for Headquarters, the two processes
should reinforce each other allowing for smooth, effective management
of the vulnerability assessments, internal control reviews, the annual
assurance letter and the quarterly CATS status reports.
D. FMFIA Coordination
Because the Office of the Comptroller manages FMFIA for the Agency, the
responsibility for coordinating and monitoring FMFIA events is in the
Planning and Management Division with the Deputy Director designated as
the Regional Internal Control Coordinator (ICC). The Regional ICC will
issue specific call memos and coordinate any training necessary to
implement FMFIA. This is not to be construed as narrowing FMFIA1 s
scope in the Region to financial and administrative activities, but to
assure a solid link back to the Comptroller's Office.
Each Region V Division and Office has designated a Divisional ICC to co-
ordinate internal control activities withing the Division or Office and
to interface with the Regional ICC. The Divisional ICC is normally the
Deputy Division Director or Director, where no Deputy exists. This
level of attention is designed for two reasons: one, to assure high
level management attention to internal controls within, each Division
and Office; and two, to assure proper integration with the Region's
organizational workplans and workplan monitoring frame work.
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IV. PERFORMANCE STANDARDS AND EVALUATION CYCLE
A. Performance Standards Development
Perfomance standards will continue to be closely linked to the objectives
of the workplan, as a part of our continuing effort to increase account-
ability. However, performance standards go beyond workplans. Performance
standards should describe, in as objective terns as possible, the elements
of good management in addition to producing results - e.g., demonstrating
full consideration of other organizations and the Regions' needs; in-
stilling a cooperative attitude; governing inside and outside relationships
with diplomacy and tact. The link between plans,. results, and how we got
there needs to be fully considered in development of both the performance
standards and award recommendations.
B. Performance Standards Schedule
In order to alleviate the end-of-year workload crunch the Region will allow
standards to be completed after evaluations are conducted. Agreements
on performance standards for Division and Office Directors will precede
establishment of the remaining performance standards for regional staff.
Therefore, Division and Office Directors' draft performance standards
are to be submitted for ORA review in early October; agreements with
Directors are to be completed by mid-October. Performance standards
are required for every staff member in the Region and are due by the
first working day of November. Personnel will issue guidelines for the
development of performance standards in August.
C. Performance Standards Tracking and Performance Awards
On a periodic basis, the Personnel Branch will provide each Division/
Office with a list of newly assigned, promoted, and hired employees who
do not have current performance standards on file with the Employee
Relations Staff, and set a 30-day deadline by which to submit them.
Perfomance Award nomination information will be sent to all supervisors
during the first week of September.
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V. EXTERNAL PLANNING CYCLE
Region V's ability to achieve our environmental goals rests on our relation-
ships with the States. The External Planning Process sets forth the operating
principles and guidelines used in maintaining our State partnerships; it
reconfirms and reinforces current Regional practices and procedures.
The Region has an overall successful record in carrying out effective over-
sight of our delegated States. However, as indicated in the Agency's
oversight policy, the importance of EPA's oversight efforts requires that
we document a "comprehensive, consistent, and constructive approach to
oversight of State programs. Such an approach necessitates both a continuing
strong EPA presence and a workable State/EPA relationship that takes advantage
of the particular strengths and capabilities of each, in order to deliver
more efficient and effective environmental protection."
The External Process parallels the general timeframe of our internal planning
process. Components of the External Process include: State involvement in
EMR development; State review of the agency guidance and SPMS measures; develop-
ment of State specific guidance; State workplans; development and awarding
of program grants; monitoring of State performance (including evaluation or
State audits); State/EPA enforcement agreements; and the RA/State Director
end-of-year close out meeting.
Each year we must focus on the quality and consistency of State relationships.
We recognize the differences in State interactions that emanate from different
laws, programs, and State needs. However, those differences need to be
identified and examined to assure the State/EPA relationships are proceeding
according to Regional guidelines; and, that those guidelines effectively
further our mutual progress towards environmental goals.
The individual media managers are responsible for conducting the State/EPA
interactions for their programs. In addition, as a part of that effort,
media managers are responsible for assuring that other regional organizations
with a stake in these interactions are effectively involved, so that their
needs and priorities can be addressed.
On an ongoing basis, senior managers should examine and clarify the principles
and guidelines governing State relations. Where we fall short as a Region,
or a program, in operating under those guidelines, we will need to adjust
activities accordingly.
A more indepth description of the components of the external planning process
follows:
A. Regional EMR Development
The Region and the Agency will continue our current momentum to plan for
environmental results. Region V will continue to place special emphasis on
geographic problems, greater State involvement, and measures of environmental
12.
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quality. It is important to involve the States in our EMR approach. State
cooperation is particularly essential to the successful resolution of geographic
problens and development of realistic and effective environmental indicators.
Involving the States will help define where environmental problems are most
severe and where National, Regional, and State programs/tools are inadequate.
'This is particularly important for programs delegated to the States.
At a minimum, the Region will request State counterparts to review the yearly
draft EMR write-ups. Further, the program divisions are responsible for ensuring
that State workplans reflect the appropriate projects or activities required
to meet EMR-related goals.
R. Agency Guidance and SPMS Review
Region V will continue to involve the States in development of the Agency's
operating guidance and SPMS measures. The RA will distribute draft operating
guidance to appropriate State Directors for review and comment. Media managers
should involve their program counterparts in the guidance development process,
as well. Considering State concerns and informing the States of new or changing
priorities should occur during preliminary guidance development stages. Meeting
with State Directors to review guidance and program implications is encouraged.
The Region will forward State comments on the draft guidance document to Head-
quarters. Media managers should follow through with Headquarters counterparts
on State concerns and respond back to the States on the extent to which their
comments were taken into account.
C. State Specific Guidance
The first step for developing State specific guidance occurs with the receipt
of comments from the States on the Agency's draft guidance and SPMS measures
for the coming fiscal year. Generally, very little changes from the Agency's
draft to the final guidance. Consequently, the Divisions/Offices should begin
as soon as possible to "tailor" the Agency's draft guidance and the State
comments into State specific guidance. Further, since the States have their
own planning and budgeting cycle, the earlier the better. This allows time
for the States to approach their respective legislatures when additional
funding or authorization is needed.
Divisions/Offices translate the overall program guidance into specific expec-
tations of the States. State specific guidance reflects State abilities,
maturity of State programs, special environmental problems, etc. Also, it re-
flects the appropriate policy and cross media concerns, e.g., "Oversight Policy",
"Federal Facility Policy", "EMRs", "Indian Lands Policy", "Enforcement
Agreements", etc.
The Region's "model" for developing State specific guidance is as follows:
0 Proposed level of fiscal year funding (base)
0 Base plus incentive funding
0 Administrative procedures for grant application
0 Guidance plus SPMS translated to State specific actions
0 Areas for improvement based on previous evaluations
0 Special initiatives agreed to through FMR development
13.
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The media managers are responsible for ensuring that the appropriate
Divisions/Offices are involved in the development of State specific guidance.
D. State Workplans
State specific guidance translates to specific activities and outputs which
are itemized in State workplans. Generally, the States develop two workplans
for regional review, a draft and a final. Usually, the draft workplans are
good enough to form the basis for developing the initial regional comnitnents
to the Administrator's Strategic Planning and Management Systems (SPHS).
Media managers are responsible for ensuring that the draft and final workplans
are circulated to the appropriate Divisions/Offices for review and comment, and
for managing negotiations with the States on behalf of all programs involved.
E. State/EPA Enforcement Agreements
While States and local governments have primary responsibility for compliance
and enforcement actions within delegated or approved States, Region V retains
responsibility for ensuring fair and effective enforcement of Federal require-
ments, and a credible Regional deterrence to non-compliance. The Region
will develop enforcement "agreements" with each State to ensure that there
is: (1) clear oversight criteria, specified in advance, to assess good
compliance and enforcement program performance; (2) clear criteria for
direct Federal enforcement in delegated States with procedures for advance
consultation and notification; and (3) adequate State reporting to ensure
effective oversight.
Each Program Division will individually negotiate State-specific enforcement
agreements for their media or medium, as per Headquarters guidance. State/
Federal enforcement "agreements" will be set forth in program cooperative
agreements and the enforcement commitments are to be included or referenced
in each State's final workplan. The regional ad hoc committee on State/EPA
"agreements" should reconvene annually to evaluate this process for the
current year. The committee should then report findings to the RA by the
end of the second quarter so that programs can address issues during the
upcoming grant year State negotiations.
F. Development and Awarding of State Cooperative Agreements
Media Managers should conduct State negotiations so that the grants can be
awarded as soon as our appropriations are received. Special conditions on
grants to govern State behavior should be rare. This is in recognition of
the cooperative agreement as an agreement where program expectations have
been negotiated, agreed to in advance, and documented in State workplans.
Special conditions appear where agreement is uncertain or other controls are
necessary.
14.
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G. Monitoring and Evaluation of State Performance
Monitor!rig of State performance focuses primarily on the meeting of SPMS and
other Headquarters, Regional, and workplan commitments. Monitoring activities
include analysis of quarterly program reports, State visits, file audits,
monthly or bi-monthly conference calls, etc. The basis for monitoring and
evaluation of State programs should be negotiated with the States at the
time of State workplan development and made part of the grant.
An essential element of successful evaluation is mutual and clear agreement
on expectations. Usually, the States are evaluated twice annually, at mid-year
and at the end of the fiscal year. Evaluation is the assessment of how well
the States are meeting their program objectives and how well the Region has
supported their efforts. Evaluation focuses on the short and long tern out-
puts States programs in meeting National and regional priorities. Evalu-
ation focuses on program policy and direction. Evaluation seeks to improve
decision-making and program management at the State and Federal levels. The
results of State evaluations are factored into State-specific guidance and
State workplans of the next fiscal year.
H. Technical Assistance
The Region provides technical assistance to the States on a wide range of
activities. This includes providing information or expertise to the States
in developing permits, SIPs, data systems, etc. State technical assistance
needs should be assessed continually as programs mature and priorities change.
I. End-of-Year Close-Out Meeting
Annual close-out meetings between the RA and each State Agency Director will
be held during October-November. These meetings are intended to be open
discussions on areas of concern or importance to the States or the Region.
However, these meetings function as a subset of evaluating State performance
and set the tone for the next fiscal year.
Prior to the close-out meeting, Water, Waste, Environmental Services and Air
Divisions and the GLNPO are to prepare short summaries of each of their
respective programs to serve as a basis for the end-of-year report, which
will be prepared by the State Coordinators. The end-of-year report will be
used to brief the RA in preparation for the close-out meeting and is to
portray a regional perspective on each State. A memo will be issued in early
September outlining the format, due dates and schedules for the end-of-year
report/close-out meeting. An essential element of the close-out meeting is
follow-up. The ORA will be responsible for preparing summary reports on the
close-out meetings, and highlighting items for follow-up by Division and
Office Di rectors.
15.
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Summary
Each Media Manager is responsible for identifying and coordinating State/EPA
interaction for their respective medium. MMs will be responsible for ensuring
that regional interaction with States in the areas of program delegation and
policy direction is coordinated among the various organizations involved in
these areas. MMs are also responsible for ensuring that the national oversight
policy is implemented in their respective mediums.
16.
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VI. MANAGEMENT AND BUDGET CYCLE
The Management and Budget Cycle of the planning process is the system by
which the Region determines how it will divide resources (workyears and
dollars) and how it will manage them. Except for the three-tier approach
to the workload analysis process, this cycle of the planning process will
remain relatively unchanged from year to year.
The M&BTF will continue to oversee this cycle of the planning process. The
M&BTF will be responsible for providing the ORA with recommendations on
regional position allocations after final workyear targets for Region V are
known and for reaching regional consensus on interorganizational budgetary
and resource issues.
The following is a description of the major elements of the management and
budget cycle:
0 Workload Analysis
The results of the Agency's Budget Process lead to the distribution of work-
years to the Regions through the workload analysis (WLA) process. The WLA
process begins in early January and is concluded in March. The workload
models identify major work elements required to carry out a program, estimate
the level of resources in workyears necessary to support the work elements
identified, calibrate/prioritize work elements so that the model conforms
with available workyears, and determine regional shares of each Program
Element (PE).
In FY 86, there was a consensus in both Headquarters and the Regions that the
workload analysis process during past years had been overtaxing time, labor,
and patience. Therefore, Headquarters developed a three-tier system to
streamline the process. Tier I program elements have new models developed,
Tiers II and III program elements rely on existing models and may be slightly
modi fied.
Because of the time and effort required to construct new models, Tier I is
limited to a few program elements. Headquarters hopes to cycle all programs
through Tier I in about three years to keep the models up to date and to
meet the NAPA recommendation to bring all models toward a consistent format.
The remaining program elements are placed in Tier II or Tier III depending
on the degree to which the models need to be changed for program activities
in the coming year. While work groups on Tier I models start meeting in
late fall, there are no formal work groups or extensive meetings for Tier II
and III models because they rely on existing models. However, the national
program manager's staff are to consult the lead Region informally as they
adjust a model's workyear distribution.
The workload analysis process officially begins with the issuance of the
"call letter" by the Office of the Comptroller (OC) in January which directs
17.
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the national program offices to subnit the models with their workyear distrib-
utions by a due date in March. Once submitted to DC, the models are sent to
the Regions for their review and comment. This stage is the most critical
for Region V. The Regions then have about two weeks to submit appeals on the
workload models.
Two significant changes have been brought about in the final phases of the
WLA process by the new three-tier system. First, DRAs no longer vote
to accept or reject each model. Second, it is expected that the number
of appeals will be reduced considerably. While there is no limit on
appeals on Tier I models, few are expected because of the thorough review
by all participants during the model's development. Appeals on Tiers II
and III models should, according to Headquarters, be limited to those
situations where a Region's workyears in that program element are changed
by at least 10 percent from a "documentable alternative to the proposed dis-
tribution" for Tier II models and by at least 10 percent from the Comptroller's
Prorated Distribution for Tier III models.
0 Position Allocations
After final workyear targets resulting from the WLA process are received
by the Region from Headquarters, regional position allocations will be deter-
mined. These allocations divide resources among organizations sharing PE's.
Workyear allocations will again be determined using the following
procedure: The M&BTF chairperson will publish a list of targets by PE which
will be distributed to the appropriate Division/Office Director. It will be
up to each Division/Office Director to negotiate with the Directors of the
support organizations (primarily P&MD and ESD) to determine the level of
services and accompanying resources to be provided. There will be two weeks
allotted for these negotiations and agreements. For PE's which are not
under dispute, the PE coordinator will complete simple resource distribution
forms to be submitted to the M&BTF. For PE's in dispute, each organization
allocating the resources will be required to document what is expected to be
accomplished in terms of outputs, and to delineate the need and level for exact
support services and their pricing. Each receiving organization disputing the
allocation must show why it disagrees with the pricing (amount of resources
or level of effort). These data, along with the allocations already agreed
to, will be collected by the H&BTF and furnished to the RA who will make all
final decisions on position allocations. The M&BTF will then publish finalized
position allocations which will set the stage for the development of each
organization's staffing chart.
0 Staffing Charts
After the distribution of positions within the Region has been approved by
the RA, each organization's staffing chart will need to be reviewed to incor-
porate any changes necessitated by changing organizational ceilings for
the coming year. In order to effectively manage toward our organizational
levels, a staffing chart which reflects current levels will be provided.
18.
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Depending on changing needs within organizations, these staffing charts
may need to be adjusted. All adjusted staffing charts should be transnitted
to the Planning and Budgeting Branch for approval. On October 1, and at
the beginning of each quarter in the fiscal year, each Division and
Office must submit an updated staffing chart for its entire organization.
This includes identifying all PFT and OPFT positions as well as any
positions you plan to fill through the Upward Mobility program. Contractor,
AARP and SEE employees should also be identified on the staffing chart.
Operating Plan
To begin the development of the operating plan, the Office of the Comptrol-
ler provides dollar limitations by appropriation, i.e., Superfund, Great
Lakes, Salaries and Expenses (S&E), and Abatement, Control and Compliance
(AC&C). Within these appropriations, the Office of the Comptroller
further breaks down dollar amounts in various resource categories such
as travel, printing, transportation of things, etc. Although changes
between appropriations are not permitted, the Region has some flexibility,
with the exception of travel, to adjust between categories within appro-
priations from year-to-year.
The Budget Analysis Section (BAS) of the Planning and Budgeting Branch
has the overall responsibility for the spread of funds into those categories
which make up the operating plan. The operating plan is sent to Head-
quarters where it is reviewed and approved. In its final form, it
establishes the Region's budgetary control totals per program element
(from which detailed organizational budgets are ultimately constructed).
The operating plan may go through several revisions before the fiscal
year begins and even during the fiscal year, based on changes to the
Region's or Agency's budget.
Organizational Budgets
Organizational budgets will be developed, contingent upon the availability
of funds. Object classes (e.g., travel, training, contracts, contingency)
and their funding levels will be developed by BAS and approved by the RA.
Once these funding levels are set for the whole Region, the BAS, through the
M&BTF, will work with the Divisions and Offices to develop their organizational
budgets. The BAS will also coordinate with the appropriate Divisions and
Offices to develop the Superfund and Great Lakes budgets.
19.
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Training Plan
As the resource allocation process establishes how much funding is avail-
able for regional training, Personnel will develop a training plan to best
satisfy the Region's needs. To develop this train.ing plan, Division and
Office Directors will appoint three ad hoc committees: Management, Support
Services, and Technical. Each committee will meet separately for six
one-hour sessions, initiating training proposals which will address the
training needs of their individual Regional programs and responsibilities
in the coming year. The Regional Health and Safety Committee is also
encouraged to identify and submit health and safety training needs. The
training plan will be issued by mid-September.
20.
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APPENDIX A
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
\ REGION 5
^^^^^ f 230 SOUTH DEARBORN ST.
\f. ~ ' ~ ^ CHICAGO, ILLINOIS 60604
REPLY TO THE ATTENTION OF
__ _
MAR 3 1 1986
5RA-14
MEMORANDUM
SUBJECT: FY-87 RA/DRA Priorities
FROM: Alan Levin Valdas V. Adankus
Deputy Regional Administrator Regional Administrator
TO: Division and Office Hi rectors
Intergovernmental Relations Staff
Attached are the final RA/DRA priorities for FY-87. Based on the few
comments received, we have made several relatively minor changes. First,
since the Indian Lands program is now well under way, we have deleted
that as a priority for FY-87. Secondly under Program Management priorities,
we have strengthened the paragraph on Integrating Water Pollution
Problems Associated with the Great Lakes.
Please be sure to incorporate the RA/DRA priorities as you develop your
FY-87 work plans and performance agreements.
Alan Levin Valdas V. Adamjcus
Attachment
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FY 87 RA/DRA PRIORITIES
*
For FY 87 our priorities have, not changed significantly from FY Rfi, supplement
the Agency's priorities found in the national guidance, and fall into four
main categories: program management, state relations, human resources management
and special environmental initiatives. We are proud of the progress
already nade toward our FY 86 priorities.
In program management, we need to continue our efforts for improving inter-
divisional coordination across program lines, particularly on multi-media
problems. In addition, we need to develop more innovative ways to improve
public health through the EWR Action Plan, and to control toxics across
media. We also need to improve our public outreach program and continue to
pursue compliance by Federal Facilities. In enforcement, we intend to remain
the leader Region v has always been through aggressive, hut fair enforcement
actions in conjunction with the States.
In State relations, we began several new initiatives during FY 85 and 86. For
example, our meetings with tiie State Directors twice a year and the HRA's visits
to the State pesticide organizations are proving successful' in improving
Region/State communications. In addition, our efforts to involve the States
in the very early stages of the Agency's and Region's planning orocess as
well as the EMRs must continue and improve in FY 87. Also, we again will
set forth clear enforcement expectations for both the Region and the States
in State/EPA Enforcement Agreements.
In the area of human resources management, our policy was issued in FY 86 and
is being implemented. We now have an up-and-running Human Resources Council
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and a fully participative training progran that is providing more training
opportunities than ever to our employees. The supervisory training progran
(McGraw-Hill) has been enthusiastically accepted, and we continue to make
excellent progress in meeting our affirmative action goals in FY 86. We want
Region V to be exemplary in human resources management 1n FY R7.
Each Region V media manager must take the national priorities, our priorities
and their own assessment of environmental needs into account when planning
media objectives, organizational objectives, and State guidances for FY 1QR7.
Alan and I continue to see Region V as a pacesetter in many areas critical to
Agency operations. We are asking you to maintain that momentum in FY R7.
Our most serious environmental challenges are increasing in complexity;
they are often unprecedented and involve real uncertainty. These environ-
mental problems need cross-media control and Federal/State cooperation to
be solved effectively. In the future, our sense of accomplishment will rest
not only on successfully meeting these environmental challenges, but having
met them as a team ~ with one another, with our State partners, and the
involved Region V citizenry.
Our priorities for FY 87 follow:
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PROGRAM MANAGEMENT
An overall, guirlinq principle for FY 87 is to continue to improve our
MULTI-MEDIA APPROACH to solving environmental problems. In particular,
we want to emphasize a multi-npdia approach for:
* Solving "areas-of-concern" identified within the Great Lakes'
basin, where other organizations in the Region need to
contribute to remedial plans.
* Superfund clean-up, so that water and air resources are
protected as we change land disposal practices. (Also, we
need to ensure that cost recovery is pursued, when appropriate.)
* Groundwater, so that diverse programmatic efforts to protect,
clean-up and enhance this vital resource are conducted in a
coordinated manner.
* Enforcement, so that we pursue compliance, having considered problems
across media - then take action.
* Control of toxics, so that transfer of these contaminants from
"scrubber to sludge" is no longer left unchecked. This means that
the Region continues our initiative for an integrated approach in
identification of toxicant sources, pathways and fate so that
adequate safeguards are provided.
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We want to continue our emphasis on FEDERAL FACILITIES COMPLIANCE for FY 87.
We are in a position to make the Federal government a leader in environ-
mental compliance, and have a responsibility to take steps to do so. . In
Region V, we need active support from top managers in sorting out what
needs to be done and who needs to do it - assuring that States take
action where they have the lead. We will be involved in Federal Facility
problem resolution as a Region.
We look to all media work plans and program operations for INTEGRATED
SOLUTIONS TO WATER POLLUTION PROBLEMS IN THE GREAT LAKES. The most
pressing environmental problems - toxic chemical loadings from atmospheric
deposition, nonpoint source, groundwater infiltrations and sediments -
require commitment and support from every office to be resolved.
The Region made real progress toward improving INTERDIVISIONAL COORDINATION
in FY 85 and first half of FY 86, and we must continue and improve these
efforts in FY 87. Interdivisional communication needs should continue
to receive top management attention and should be clearly understood at
branch, section, and unit levels within organizations.
Region V operates an outstanding ENFORCEMENT program. We are in a position
where we can think in terms of innovative approaches. This effort links
to other priorities. We can make improvements through: use of multi-media
inspections; making Federal Facility compliance a model; better criminal
enforcement, and shared efforts with the States. Also, we need to
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maintain our monentum in pursuing new cases while assuring follow-through
on cases previously initiated.
» Part of our team responsibilities Is to effectively Inform and involve
the public in the Region's decisions. Region V needs to improve our
OUTREACH to all our constituencies to gain understanding and support.
In particular, we must strengthen and expand our contacts with the
news media.
STATE RELATIONS
In our state assistance programs, we will follow the Performance Rased
Assistance Policy. We must achieve an uniform approach in providing
program assistance guidance, negotiating commitments, managing funds,
and conducting reviews.
For FY 87, we must continue to develop our programs in partnership with
the States, particularly through EARLY STATE INVOLVEMENT in EMR, guidance,
and SPMS measures development.
We must INCREASE our efforts to FOLLOW THROUGH on State concerns as
expressed through the above means and as gathered during technical
assistance, program evaluation and end-of-year, close-out meetings.
We will continue to articulate our enforcement expectations through the
STATE/EPA ENFORCEMENT AGREEMENTS.
9 We must continue to examine and define program purposes and to REFINE our
processes for OVERSIGHT, accordingly.
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We must assure that all Region v employees establish and, at all times,
maintain a courteous, sensitive, and cooperative relationship with our
State partners.
HUMAN RESOURCES MANAGEMENT
The Region will continue its efforts to implement an effective human resource
development program.
ue need to open more OPPORTUNITIES for CAREER GROWTH and DEVELOPMENT so that
our employees see their career future at EPA.
» To be effective we need to focus our efforts on instilling a SENSE OF
ACCOMPLISHMENT and a SENSE OF WORKING AS A TEAM in the Region.
We will continue to place our attention on PERFORMANCE EVALUATION AND
FOLLOW-UP. We need to work with supervisors and employees to make clear
the requirements of good performance.
We must continue to sensitize our managers and supervisors to the various
opportunities for fulfilling our EEO/AA RESPONSIBILITIES in the areas of
recruiting, training and promotion.
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SPECIAL FNVIRONMENTAL INITIATIVFS
Region V chose the Grand Calumet (Southeast Chicago/Northwest Indiana) area to
concentrate our efforts for the FY 86 EMR action plan. We will continue these
efforts for FY 87. Additionally, for FY 87 we will look to senior management
to develop more innovative ways to improve public health through the F.MR Action
plan, for initiatives to complement our EMR efforts through selection of
geographic areas for cross-media approaches to environmental problem solving;
and for development of environmental-quality success indiicators.
We will assure that the States are involved in the early stages of EMR Action
plan development, and support, their efforts for environmental pilots in FY 87.
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